IP*- •• j-^Wli^. New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllm a Bvbara HaR v. PaJnawabber Attorneys: Fv Olabninll(i): WEBam Hall - RMgeCnwl, QA For rWipendimti); Scott Ralchk* - Loi Angeles. OA Date Ried: 0£'8B«2 Case Summary: Claimant Firet Scheduled: Product: EQJ Dociciecl:oGn9y«2 K risky «tod< whwh cuitomer roEad an and lost money Market: Cialni Data Claim: $9.s68.44 Puni

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /^ron Llchtensteln v Rosenkrantz, Lyon & Ross, Inc., Moore Schley, Inc. and Jesup. Josephthal Attorneys: For Clainiant(8): /\aron Llchtensteln - Brooklyn, NY Fbr Ftospondent(s): Joseph Schmidt - New York, NY Date Filed: 02/10/92 First Scheduled: O6/15/92 Decided: 06/15/92 Case Summary: claimant, a customer, has alleged that respondents failed to execute a swap in Vis

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Davki and Teresa Thornton v Eppler, Guerin & Tumer and Robert Hayes Attorneys: FdrCMnanK^: John D. Hudson Esq. - Das Monies, lA For r>aapondant(»): Steven 1. Baron Esq. - Dallas. TX Date Filed: oz/o5«2 First Scheduled: ii/is/az Decided: a/feh^ Case Summary: Claimant, customers, have alleged ttwt rsspenderts made matarially mItrepreMrMd ttie risks involved in tin purc

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Terje Nilsen v Prudential-Bache Securities, Leim Thanh Nguyen and Thierry Van Essche Attorneys: For Clainiant(s): Ambrose M. Richardson Esq. - New York, NY For Ftospondent(s): Stephen L. Ratner Esq. - New York, NY Date Filed: 02/05/92 First Sctieduied: oa/04/92 Decided: O8/21/92 Case Summary: Claimant, a customer, has alleged improprieties in his account with r

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Herrls Upham & Co. v Jonattian Lamberto Attorneys: For Claimaitt(s): Scott E. Kresch Esq. - New York, NY For Respondent(s): Jonathan Lamberto - New York, NY Date Filed: 01/20/92 First Sciieduled: 09/22/92 Decided: 11/10/92 Case Summary: Claimant, a member firm, has alleged that respondent breached his ttBining agreement and in addition failed to reimburs

c c New York Stock Exchange In th'£ Matter of Arbitration Between NYSE Case: Richard B Hayat v. Josephthal, Lyons, R'r- 1-'^. Attorneys: For Clainiant(8): Richard B. Hayat Esq. - Nortfi Hills, NY Fbr Respondent(8): Peter Sheib - New York, NY Date Filed: 01/28/92 First Sctieduied: 08/20/92 Decided: 09/25/92 Case Summary: Claimant purchased stock in IPO for which Respondent was an undenwriter. Claimant alleges tfiat he gave several

New York Stock Exchange In .the Matter of Arbitration Between / NYSE Case: Oru«al & Company Inc. v PhiUip R. Ottavlani, Jr. Attorneys: FtfOmAhlA: Stephana n. Cooper EK). - New York. NY Fbr Rfl«pDndeiil(i): Philip R Ottavlani, Jr. - Framingham, MA Date Filed: oi/2aiB2 First Sctieduied: 09/17/82 Decided: 00/17/02 Case Summary: Merrtber (km agahst custamar seeking to recover a debt aooouiv balance pks intweel. Product: Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Jeffrey E. RiAiin v. Oppenheimer & Co.. Inc. Attorneys; For £JaiBBnt(5): .loseoh H SoieoeJ Esq, - Southfield, W For ResPondeDtCs}: John T. IteCuire - New York. N Y Date Filed: 02/03/92 First Scheduled; 09/1V92 Decided; oa'H/92 Case Sunnarv: Clainant alleoes that he was represented bv Respondent's in-house counsel in a case involving a customer clain and Claln

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank McCutdian vs. Raymond James & Associates, Inc. Attorneys: Fbr CiainKuit(s): James M. Reilly Esq. - Albany, NY For Respondent(s): Kevin A. Carreno Esq. - SL Petersburg, FL Date Filed: 01/13/92 First Scheduled: 07/10/02 Decided: 07/09/92 Case Summary: Registered Rep vs. Member Firm (ex-empk>yer) alleging failure to pay daimant's full commission for a transaction

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John R. Molloy vs. Merrill Lynch Pierce Fenner & Smitti, Inc. Attorneys: For Claimant(s): John R. Molloy - Sun City West, AZ Fbr Respondenl(s): William J. Crowe Esq. - New York, NY Date Filed: 01/21/92 First Scheduled: 09/23/92 Decided : 10/08/92 Case Summary: Customer vs. Member Firni alleging negligence and failure to follow instructions. Claimant alleges Responden