Vew York Stock Exchange In the Matter of Arbitration Between ty NYSE Case: James M. Hattield v Shearson Lehman Brothers, Inc. Attorneys: For Claimant(s): Terrell Black Esq. - Louisville, KY Robert J. Schumacher - Louisville, KY For Respondent(s): David G. Russell Esq. - Atlanta, GA Date Filed: 11/18/92 First Scheduled: 05/27/93 Decided: .'u/zj/fj Case Summary: claimant, a former employee of respondent, a member firm, alleges resp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas P. Rogaia and Case Number; 0.1-04776 Hearing Site: Southfield and Troy, Michigan Names of Respondents Darryl G. Duerbusch David B. Leszcynski Tia Duerbusch, and Terrence Payne REPRESENTATION OF PARTIES Thomas P. Rogaia ("Claimant") was represented by Andre J. McGuinness, Esq., and Dante A. Stella, Esq., Dykema Gossett PLLC, Ann Arbor, M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Timottiy W. Wallace and T.W. Wallace Constmction Corporation v. MerriH Lynch Pierce Fenner Smitti Attorneys: Fbr ClaiimnKs): Frederick D. Greco Esq - McLeen. VA For Re8pondenl(s): Rnhard J MonriHo Esq. - Washington, DC Date Filed: 11/11/02 First Scheduled: Decided: c/;^ [i3 Case Summary: Customer egalnst member firm for alleged unsutability. uneuttnrized trad

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers vs. Teekachand Tiwarl Attorneys: For Clairnant(s): Bryan R. Williams Esq. - New York, NY Fbr Respondent(s): Francis X. Stone Esq. - Boston, MA Date Filed: 11/23/92 First Scheduled: 03/26/93 Decided: 05/21/93 Case Summary: Member Firm against Registered Rep (ex-employee) seeking to recover an amount allegedly due on a promissory note plu

l/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph M. MuMer vs. Donaldson, Lufkin & Jenrette, Carl Manges and Rnhard Pachter Attorneys: For ClainMuit(s): Leslie Trager Esq. - New York, NY Fbr Re8pondent(s): D. Scott Wise Esq. - New York, NY Date Filed: 11/18/92 First Sciieduled: 03/29/93 Decided: 05/21/93 Case Summary: Ex-employee, internal Auditor vs. Member Rrm and Officers alleging ttiat when he unco

New York Stock Exchange _ In the Matter of Arbitration Between NYSE Case: shearson Lehman Hutton Inc. v. Scott Son Attorneys: For Clainfiani(8): Christopher P. Litterio.^ Esq. For rW)ipondent(a): Soott Son - Boston, MA Date Filed: 11/I8/92 Case Summary: Member Firm V. First Scheduled: 4715/93 Decided: 4/15/93 1 , RoQBtorad RoprasBntativB — claimsfit sllooos non—psymont off proinissofy not8 sftor iBsvinQ onipioy' off ctaifnwK.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllllam Kuntz, III V Pershing and Company, a division ot Donaldson, Lulkin and Jenerettc Attorneys: For Claniant(s): William Kuntz, III Lake Placid, NY Fbr Respondent(s): Michael D. Udoff Esq - Jersey City. NJ Date Filed: 11/09/92 Case Summary: Customer v First Scheduled: 05/07/93 Decided: 05/19/93 Member Firm for alleged failure to execute an order to bu

'•V X New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Caramango, Trustee v Merrill Lynch Attorneys: For Clainumt(s): Charles Caramango - Mt. Clemens, Ml Fbr Respondem(s): Daniel A. Gardella Esq. - New Yoric, NY Date Filed: 11/11/92 Case Summary: customer First Scheduled: 02/19/93 Decided: 02/19/93 ! ag^nst member firm for alleged misrepresentation and breach of fiduciary duty in connect

3. New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: PaineWebbar Incorporetgd v. Eari B. Briggs Attorneys: Fbr ClafcnMKs): Thomas Mierswa Esq. - Weehawken, NJ For RBipondenl|i): Frar* X. Moore Esq. - Atlanta, QA Date Filed: oo/30«2 First Scheduled: 05/i7>98 Deckled: 05(17/93 Casa Summary: Claimant aUaggB that Rwpondont has debit betanos in his acoounL nsspondent counlBfolwmi for reniiion of trades and

y ""kw York Stock Exchange in the Matter of Arbitration Between NYSE Case: Herbert M. Husid and Rivalee A. Husid v. Eugene B. Winslow and Smitti Barney Harris Upham & Company Attorneys: For Clainwnl(s): Herbert M. Husid - Birmingham, AL Fbr Respondent(8): Dov Schecter Esq. - New York, NY Date Filed: 11/09/92 First Scheduled: 02/12/93 Decided: 02/12/93 Case Summary: Clelmants ellege ttiat respondent WInstow made purchases of unsuitabl