New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sharon E. Peterson v. PaineWebber Incorporated Attorneys: For Claimant< s): Sharon E. Peterson - Chino, CA For Respondent(s): James DeNorscia Esq. - Weehawken. NJ Date Filed: 07/10/92 First Scheduled: ,, 1,^ . Decided: y / ^ lis 1^3 C'f/y/< f3 Case Summary: Customer against member firm for alleged conversion Product: BONDS Market: NYSE Claim Data Cl

N York Stock Exchange In the Matter of Arbitration Between NYSE Case: John R. Flannagan and Jean C. Flannagan v Ladenberg, Thalmann & Co.. Inc. and Richard Fletcher Attorneys: For Claintant(s); Christine M. Gravelle Esq. - Providence, RI For Respondent(s); Richard Fletcher - New York. NY Norman S. Lawi Esq. - New York, NY Date Filed: oamioz First Scheduled: 04/21/93 Decided: 4/21/93 Case Summary: customer against Member Firm and Regi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Muriel Leighton v Shearson Lehman Brothers & Robert Solash Attorneys: For Claimant(s); Muriel Leighton - Fresh Meadows, NY For Respondent(s); Arthur C. Schupbach Esq. - Garden City, NY Date Filed: 06/22/92 First Scheduled: 12/16/92 Decided: 05/13/93 Case Summary: claimant, a customer, has listed approximately 65 stocks which were bought In her account, alleging unsui

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Donakl B. Sparks P/O/A for Gertrude K. Sparks v Dean Witter Reynolds. Inc. Attorneys: For Claimant(s): Donald B. Sparks - Houston, TX For Respondenl(s); Edward Larkin Esq. - New York, NY Date Filed: 07/27/92 First Scheduled: 01/22/93 Decided: ^/c/9S Case Summary: Claimant, a customer, alleges respondent, a member firm, failed to disctose information regardi

ev ork Stock Exchange 1 the Matter of Arbitration Between NYSE JSe: Thomson McKinnon Securities, Inc. v Gabriel Borenstein torneys: r ClaJmant(s); lly Kennedy Passantino - White Plains, NY r Respondent(s): jce R. Kaliner Esq. - New York, NY ate Filed: 07/06/92 First Sctieduied: 03/19/93 Decided: 05/10/93 3Se Summary: claimant alleges respondent failed to honor the terms of three promissory notes executed in favor of respondent and was th

New York Stock Exchange ^ In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers Ina v. Geraki Callahan Attomeys: For Claimant(a); John D. BoyMn Esq. - W. Palm Beach. FL For Reapondent(»); Mnhael S. Medkxk Esq. - Cohnnbia, SC Date Filed: 07/30/92 Case Summary: Member Firni v. whKh enabled him to purchase stocti First Scheduled: 04/21/93 DacUed: 4/21/93 Registared Representative • ClainKvit alleges non^nyment

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charkme L. Mange v. Prudential Securities Inc. and Tlmotliy D. Rannow Attorneys: Fbr Clainianl(s): Robert Strumor, Esq. - Albuquerque, NM For Re8pondent(s): Patrnia A. Fitzpatrick Esq. - New York. NY Timothy D. Rannow - Tucson. AZ Date Filed: 07/21/92 First Scheduled: 01/05/93 Decided: 1/5/93 Case Summary: customer v. Member Firm & Registered Representative

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harvey M. GoMstein and Mary Goklstein. and Hervey GoMstein. P.A.. Profit Sharing Trust v Prudential Bache Securities, Inc.. end Rick Martin Attorneys: Fbr Claimant(s); Andrew Hell Esq. - Miami, FL Fbr Fto8pondent(s); v. Mkshael /Vries Esq. - Boca Raton. FL Date Filed: 07/22/92 First Scheduled: 05/05/93 Decided: 10/01/93 Case Summary: Claimants allege Federal and Stat

New York Stock Exchange ;n the Matter of Arbitration Between NYSE Case: Rafael Anca et al v Isaac Menda Attorneys: For Claimant(s); Jose Antonio Pagan Nieves Esq. - San Juan, PR For Respondent(s): Isaac Menda - Hato Rey. PR Date Filed: 06/25/92 First Scheduled: 11/02/93 Decided: 11/02/93 Case Summary: Claimant, customers, have alleged they transferred Puerto Rican GNMA's from PaineWebber, INc. to the respondent on the advice of respo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Audrey Molinar vs. Prudential Bache Securities and Davkl Sigman Attorneys: For Claimant(s): Lawrence C. Rowe Esq. - |y|ew York. NY For Respondent(a): Davkl W. Schmidt Esq. - New York. NY Date Filed: 07/27/92 First Scheduled: 12/11/92 Oecided: 03/22/93 Case Summary: Customer vs. Member Firm and Registered Rep alleging unsuitable Investments in the Putnam HI Income Gov