New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Jonas lOxwp, Klara lOwop and Fielia Knoop v Smith Barney Harris Upham & Co., Inc. and Howard Guggenheim Attorneys: Ry CiaJmanlO): Lawrence Schectitertnan Esq. - Boca Raton, FL For Raapondenlfi): Edward G. Turan Esq. - New York, NY Date Filed: 05/04/92 Rrst Scheduled: oi/i2«3 Deckled: 07/23/93 Case Summary: customers allega respondents acted fraudulently and neg

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Murray A. Stomal v Shearson Lehman Brothers, Incorporated Attorneys: For ClainBnt(s): David C. Harrison, Esq. - Philadelphia, PA Fbr Respondent(8): Daniel T. Fitch Esq. - Philadelphia, PA Date Filed: os/20/92 First Sciieduled: 03/02/93 Decided: 03/02/93 Case Summary: Claimant, a customer, against Respondent, a Member Firm, alleging unsuitable trades and misrepr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Martha L. lott v Dean Witter Reynolds, Inc., and Jerry D. Taylor Attorneys: For Claimant(s): David L. Sobel Esq. - Tulsa, OK For Respondent(s): Curt H. Mueller Esq. - San Francisco, CA Date Filed: 04/29/92 First Sciieduled: 04/13/93 Decided: 04/20/93 Case Summary: claimant alleges that her retirement funds were invested in a high-yield mutual fund that was unsuitable

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the naimaTrN Case Number- 01-0474? Mukesh Agarwai POA for Prakash Agarwal Thomas and Edna Brannigan Marie Hani on Ann R. McLaughiin Joan C. Miiewski David Niederman Kenneth R. Olinger James J. Popelarski Name of The Respondents Hearing- Site- Philadelphia, PA First Montauk Securities Corporation Brian M. D'Alfonso gf,PRFSFNTATTON OF PARTTFS Claiman

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First Albany v. Martin Rokeach Attorneys: Fbr Clainnnt(t): Thomas McCabe - New York. NY For Respondenl(s): Martin Rokeach - Hohokus. NJ Date Filed: 05/29/92 First Scheduled: 11/05/92 Decided: 11/05/92 Case Summary: claimant alleges Respondent promised to reimburse Claimant for money paki to customer in settlement of customer's claims of unauthorized trading

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrill Lynch Pierce Fenner & Smith Inc. v. Tony L. Jones, J.D. & Deborah H. Jones, M.D. Attorneys: For ClaJmant(s): Jeffrey P. Bloom Esq. - Washington, DC For Respondent(s): Tony L. Jones J.D. - Ft. Washington, MD °fMn3 Date Filed: 05/06/92 First Sciieduled: 08/03/93 Decided: Case Summary: Member firm against public customers, alleging nonpayment of debit

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judlth Carso V. Painewebber a Davkl Ameen Attomeys: ForCtainwnM): Joseph Spiegel - SouthlieM, Ml For Raipondeiit(8): Thomas M. Mierswa, Jr. Esq..- Weehawken, NJ Dafe Filed: o&2a/9i First Scheduled: ta/isiss Oecided: 02/10/93 Case Summary: Claiment aHegos Respondents misled her regarding her invasbnents and purchased unsuitaMa securities, Product: Market

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward P. Sendler and Jayne C. Sendler v Dean Witter Reynolds and Jeffrey P. Hunt Attorneys: For Clainiant(s): Edward & Jayne Sendler - Cleveland,, TN For Respondent(s): Paul J. Dubow. Esq. - San Francisco.. CA Melinda S. Herbst Esq. - New York, NY Date Filed: 05/06/92 First Scheduled: 09/16/92 Decided: Case Summary: claimant, a customer, alleges Respondents, a membe

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: shearson Lehman Bros. vs. Anthony DeFrles and MainMan, S.A Attorneys: For Clainiant(8): James T. Meyer Esq. - New York. NY Fbr Respondent(s): /\ngela Slater Esq. - Morristown, NJ Date Filed: 05/I8/92 First Scheduled: 05/13/93 Decided: 10/21/93 Case Summary: Member Firm V. Customers alleging that Respondents owe a debit account balance which resulted from options tran

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judith C. Marcy vs. Shearson Lehman Bros., and Alfred Koffler Attorneys: For Clalniant(s): R. Demarest Duckworth Esq. - New York, NY For Respondent(s): Henry S. Caron Esq. - New York, NY John E. Jenkins Esq. - New York, NY Date Filed: 05/13/92 First Sciieduled: 10/08/92 Decided: 01/22/93 Case Summary: customer vs. Member Firm and Registered Rep alleging uns