/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nlko Efstattilou v Merrill Lynch Pierce Fenner & Smitti, Inc. Attorneys: For Clainnnt(8): Niko Efstathtou - Yarba Linda. CA For Respondent(s): Daniel A. Gardella Esq. - New York, NY Date Filed: 08/04/92 Finst Scheduled: 11/09/92 Decided: 11/12/92 Case Summary: Customer against Member Firm to recover an investment in Giant Resources Limited (/\ustralia). The inv

y New York Stock Exchange In the Matter of Arbitration Between NYSE Crse: Anthony Annunziata v PaineWebber, Inc. et al Attorneys: For Clainnnt(8): Anthony Annunziata - Port Washington. NY Fbr Respondenl(s): Joseph /v. Valk) Esq. - Weehawken. NJ Date Filed: 07/01/92 First Sctieduied: 10/29/92 Decided: 10/26/92 Case Summary: Claimant, a customer, has alleged respondent failed to disctose the nature of the investment vehicle respondent

./ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorothea M. Cole v Raymond James & Asscciatas Attorneys: For daimanltt): Dorothea M. Cole - Naples.. FL For Respondeni(t): Lynn Pippenger - St. Petersburg.. FL Date Fiied: 07/13/92 First Sciieduled: 12/07/92 Decided: 12/07/02 Case Summary: claimant alleges Respondent faHed to sell Sunshine Precnus Metel bonds at ttw time her portfoln was restructured, which

/ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Carol G. Bramhall v Prudential Securities and Tom Huber Attorneys: For Clainiant(8): Carol G. Bramhall - Flagstaff. /\Z For Respondent(e): John M. Powers Esq. - New York. NY Date Filed: 07/27/92 First Sciieduled: 11/12/92 Decided: 11/12/92 Case Summary: customer against member firm and registered representative for alleged unauthorized trading of bonds for customer's IRA

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert J. Clein v Oppenheimer & Company Attorneys: FbrClaimanl(s): Robert J. Clein - Chariotte,, NC For Retpond8ni(i): Robert I. Kleinberg Esq. - New York. NY Date Filed: O6/30/92 First Scheduled: 12A)7/92 Decided: 12^)7/92 Case Summary: deimant alleges that Respondent failed properly manage the purchases ens sales of securities for daimant's IRA account. Pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ounlevy & Company Inc. v Stephen P. Laffey Attorneys: For Claimant(s): Paul E. Gorman - New York, NY Fbr Respondent(s): Shepherd D. Tate Esq. - Memphis, TN Date Filed: 07/06/92 First Sctieduied: 11/23/92 Decided: 11/24/92 Case Summary: Member firm against registered representative for alleged amount due pursuant to a commissions advance. Respondent sounterciaimed

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lois Bolnlck v Dean Witter Reynolds Inc. Attorneys: For Clainiant(s): Lois Bolnlck - Amherst, NH For Respondent(s): Michael J. Eisele Esq. - Boston, MA Date Filed: 07/06/92 First Sctieduied: 11/17/92 Decided: 11/3f/92 Case Summary: Customer against member firm for alleged misrepresentation and unsuitability. Product: MUT FUND Market: NYSE Cl

/ New York Stock Exchange In tlie Matter of Arbitration Between NYSE Case:'Ben F. Kittrell i Cheryl '.V. Kittrell v. Paine i;ebber Incorporated Attorneys: Foraaimant(s): Ben ?. Kittrell - Brandon, FL For Respondent(s): Michael R. Alford Hsc. Date Filed: First Sctieduied: Decided: 6/1/92 10/1/92 10/1/92 Qase Summary: Customer agaanst '^/lember Firm. Claimant seeks damages for losses incurred as a result of alleged failure to complete transfer

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Larry 0. Deem v Baker & Company Inc. Attorneys: For Clain»nt(s): Larry D. Deem - Vermilion, OH For Respondent(s): Timothy P. Henahan - Cleveland, OH Date Filed: 06/24/92 First Scheduled: 09/i8/92 Decided: 09/18/92 Case Summary: Customer against member firm for alleged failure to execute a sell order. Product: ECU Market: Claim Data Claim: $1,750.00

New yorJc ftock Exchange In the Matter of ArbJtration Between HYSE Case; Kidder Peabodv & Co v. Richard SteeJe flttornevs: For CJaiaantfa): Richard KeJJv - New York. NY For Respondentfs): RicharTJ SteeJe - Beverlv Hills. CA Date Filed; 0B/2E/92 First ScheduJed: 11/10/92 Decided: 11/10/92 Case Sunnsrv; Kidder Peabtxiv executed a pronissorv demand note with Mr, Steele on December 26. 1SB6 in the amount of $7,312.50 representjno s debit