Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 01-04778 Frederick W. Stanmyre, individually and on behalf of his IRA, and Eugene M. Schmidt, individually and on behalf of his IRA of thfi Rfi g pon.dmt g Hf firing Sitp' Dallas, Texas Derek B. Radzikowski and First Union Securities Financial Network Claimants Frederick W. Stanmyre, individually and on behalf of his IRA ("Stanmyre") and Eugene

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\rthur B. Jacobs & Joy Jacobs v Merrill Lynch, Pierce, Fenner & Smith Attorneys: For Claimant(s): Arthur B. Jacobs Esq. - San Jose, CA For Respondent(s): Walter Baldowski Esq. - New York, NY Date Filed: 11/30/92 First Sciieduled: Case Summary: Claimant, a customer, has alleged that respondent Product: EQU was negligent in Decided: 02/22/93 1 recommending

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eleazar Selechnik, Ana de Selechnik & Karen Seiechnik v. Pmdential Securities, Inc., f/kte Prudential Bache Securities, Charies Wasserstain & Donaki Lachon Attorneys: For Claimant(a): Philip S. Vova Esq. - Miami, FL For Reepondeni(e): Delmer C. Gowing Esq. - West Palm Beach. FL Date Filed: 12/07/92 Rrst Scheduled: 07/07/93 Deckled: Case Summary: Customer v. Membe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Raymond C. Fazzalaro v AG. Edwards & Sons, Inc. and Hyman M. Scheff Attorneys: For Clafanant(s): Mtohael Pilarz Esq. - Buffato, NY Fbr Respondent(8): Mtohael D. Gates Esq. - St. Louis, MO Date Filed: 11/24/92 First Scheduled: O6/24/93 Decided: 10/20/93 Case Summary: Registered Representetives against Member Firm fbr alleged breech of comract in falling to pay for the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joyce Rodriguez v Barbara Siever Merin & Merrill Lynch, Pierce, Fenner & Smitti, Inc. Attorneys: For Clainiant(s): Daniel P. McCarttiy Esq. - San Antonio, TX For noapondent^): Emerson Banack Esq. - San Antonio, TX Margaret P. Sullivan Esq. - San Antonn, TX Date Filed: 11/09/92 First Sciieduled: 10/05/93 Decided: 10/13/93 Case Summary: Registered Representative v

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrill Lynch, Pierce, Fenner & Smith, Inc. v Thomas Hegarty and Raymond James & Co. Attorneys: For Clainnnt(s): Thomas T. Loder Esq. - Paoli, PA For Respondent(8): Curtis Carlson Esq. - Miami, FL Date Filed: 10/15/92 First Sciieduled: 03/23/93 Decided: 03/29/93 Case Summary: Member Firm V Registered Representative for alleged breach of fkiudary duty, unfair competit

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James G. Seton v Fidelity Investtnents Attorneys: For Claimanl(s): James G. Seton Jr. - Lancaster, PA For Reapondant(s):, Daniel T. Fitch Esq. - Philadelphia, PA Date Filed: 11/19/92 First Sciieduled: 05/26/93 Decided: 05/26/93 Case Summary: Customer egalnst member firm for elleged failure tt> disctose regarding Ohn Mattress common stock (OMT). Claimant raceivBd

(ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated v. Brian Bertonazzi Attorneys: For Clalinanl(e): Richard Janvey, Esq. - New York, NY For Ree|>ondent(e): Anthony M, Fredella Esq. • Somen/ille, MA Date Piled: ii/23/9z First Scheduled: 04/1S/93 DacWed: 7/13/93 Case Summary: Member Firm v. Registered Representative - daimant alleges breach of employment agraement and nonpayment of promissory

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: valentine P. Bloch for Jeremy end Michael Bloch v AG. Edwerds end Merrill Lynch Attorneys: For Clainiant(s): Valentine P. Bloch - Tenafly, NJ For Respondent(8): Walter Baldowski Esq. - New York, NY Michael D. Gates Esq. - St. Louis, MO Date Filed: 11/25/92 First Scheduled: 02/26/93 Decided: 03/26/93 Case Summary: customer against member firtns for alleged i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marvin R. Scherler v Ronakl Scott Diamond and Bear, Stearns & Co., Inc. Attorneys: Fbr Claimant(s): William B. Federman Esq. - Oklahoma City, OK For Respondent(s): B.J. Rothbaum. Jr. Esq. - Oklahoma City, OK Date Filed: 11/16/92 First Scheduled: 04/21/93 Decided: 09/23/93 Case Summary: customer v Member Firm and Registered Representative for alleged churning and