New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer & Co., Inc. v U.S.A. Datastar. Inc. Attorneys: For Clalmant(s): Joseph F. Keenen Esq. - Garden City, NY For Respondent(8): Legal Depertment - New York, NY Date Filed: O6/02/92 First Scheduled: 04/20/93 Decided: 04/20/93 Case Summary: claimant, a member firm, alleges that respondent bought Litton Industries call optnns for which it failed to make payment.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harold E. Doley. Jr. v Robert W. Baini & Company Inc. Attorneys: For Claimant(s): Harold E. Doley, Jr. - New York. NY For Respondenl(s): Deborah J. Fabritz Esq. - Milwaukee. Wl Date Case Filed: 06A)1/92 Summary: First Scheduled: 10/27/92 Deckled: Member against member flnn for alleged breach of contract Involving the lease of daimant'i Product: OTHER

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Israelis and Raisa Reznikas, Israelis Reznikas IRA and Raisa Reznikas IRA, Claimants v. Morgan Stanley DW, Inc., Respondent Case Number: 01-04747 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Israelis and Raisa Reznikas, Israelis Reznikas IRA and Raisa Reznikas IRA, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq., Law Office of Neal J. Bl

New Yorl< Stoclc Exclnange NYSE In the Matter of Arbitration Between iose: ujruei Seymour Kuiiaia s. Grossman, i-'C, Pension Trust Segregatsd and alilliaiTi ^ Barbara Doniel >.•. Roney % . Company and Lewis tiief-f •Urorneys: For Claiaant(s>: :sepn ri. ijpisgei P.C, - .iL^'jthricld, "I For Respondent< s>: Kober'j .iackson tsq. - iierroLt. ;"1! !;ate i^iicd: 0G/1B,''32 !-'irst Schoduled: 02/25/93 Dscided: 0V30/93 I'ase iiuiTtmary: claimant jii

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph J. McLinden and Josephine McLinden v Prudential Bache Securities Attorneys: For Claimant(s): Joseph J. McLinden - West Redding, CT Fbr Respondent(s): William H. Freilich Esq. - New York. NY Date Filed: 06/22/92 First Sctieduied: 12/07/92 Decided: 12/14/92 Case Summary: customers against Member Firm elleging misrepresentations and omissions and unsuitable inves

.Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorothy A. Cox V Kevin F^ Hamilton Attomeys: For Claiiiiant(e): Edward N. Peny Esq. - Boston. MA For Reapondent(«); Donna Dever lEsc^ •• Philadelphia, PA Date Filed: 06/24«2 Case Summary: --' Rrst Scheduled: 01/14/93 Decklod: 3/12/93 Customer against member finns and ragiatered rapresentollve for alleged chuming, unsultabiiily and mistnam^ement

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patricia Ricci v janney montgomery Scott and Barabra Wisdom Attorneys: Fbr Clainiant(s): Patricia Ricci - Oowingtown. PA For Respondent(s): Frank. T. Salrea Esq. - Philadelphia, PA Barbara Wisdom - Philadelphia. PA Date Filed: 05/26/92 First Scheduled: 09/15/92 Decided: 09/15/92 Case Summary: Claimant, a customer, has alleged intentional infliction of emotional d

,/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CeclUa Chang v. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: Fbr Claimant(8): /Vntonn Cortez Esq. - El Paso, TX For Re8pondent(s): Joseph L. Hood Esq. - El Paso. TX Date Filed: 06/23/92 First Scheduled: 01/05/93 Decided: 2/9/93 Case Summary: customer v. Member Firm - Claimant alleges discriminatnn based on race end sex in vlolatnn of Title VII of th

1 New York Stock ^iwhaiij^ In the Matter of Arbitration Between Case: Jeanne Derbyshire v James Riesenberg \, ..-afiUiv Attorneys: Fbr Clainianl(8): Jeffrey A. Berr - New York, NY Fbr Respondanl(B): James Riesenberg - N. CaMwell, NJ Date Filed: 06/16/92 First Scheduled: oa/08/92 Decided: 06/10/93 Case Summary: Customer against registered representative fbr alleged unsuitability and misrepreeenlatnn. Product: BONDS Market

New Yorlc St.ock Exctiange In thie Matter o£ Arbitration Between NYSE Case; Shearson Lehman Brothers v. John Gittisarn Attorneys; For ClaiBant(s>: Colin Suainston Esq. - Long Beach, CA For ReapondBntCs): Richard M. Foster Esq. - Van Nuys, CA Date filed: OG/16/92 First Scheduled; WT^m Decided Case Summary: Member firm against registered representative for breach of training agreement - and $2,750.00 attorneys fees, plus interest a