New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Manuel Zimmerman and Nina Zimmerman v. Fidelity Brokerage Services, Inc. Attorneys: For Claimant(s): Nina Zimmerman - New Rochelle, NY For Respondent(s): Kenneth J. McDonald Esq. - Boston, MA Date Filed: 10/19/83 First Scheduled: 05/26/94 Decided: 05/26/94 Case Summary: Claimant, a public customer, alleges respondent, a member firm, failed to execute the sale o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wall Street Access, Claimant v. Mercury Samala Marilla a.k.a. Mercury Allen Goldman, Respondent Case Number: 01-04717 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert B. Best, Jr., Esq. Amber F. Van Hauen, Esq. Husch & Eppenberger, LLC Kansas City, Missouri For Respondent: Mercury Marilla In Propria Persona Garden Grove, Califo

New York Stock Exchange In the Matter of Arbitration Between 'y NYSE Case: Joanne Martinis Trustee FBO Joanne Martinis Trust UAD SI2SJ9I0 vs. Shearson Lehman Hutton Attorneys: For Claimant(s): Donald J. DeSisto Esq. - San Diego, CA Fbr Re8pondenl(s): George O. Richardson, III Esq. - New York, NY Date Filed: 10/28/93 First Scheduled: 07/26/94 Deckled: 11/02/94 Case Summary: customer vs. Member Firm alleging unsuitable investments, sho

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. Bradford K. Cohen Attorneys: For Ciaimanl(k): William S. Rogers, Jr. For Respondenl(s): Ai\ Goldberger Esq. - Philadelphia, PA - Worcester, ilA Date Filed: 10/22/93 First Scheduled: 7/27/94 Decided: 7/27/94 Case Summary: Member Firm V. Registered Representative - claimant alleges nonpayment of promissory note pursuant to k>an Pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard L. Wang vs Shearson Lehman Hutton and Allan Pines Attorneys: For Claimant(s): Harold S. Elovich Esq. - New York, NY Fbr Respondent(s): Christine Tracey Esq. - New York, NY Date Filed: 10/04/93 First Scheduled: 03/30/94 Decided: 06/23/94 Case Summary: claimant alleges that Respondents made investments that were unsuitable as retirement plan Investments. Claiman

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: J. O. Prince v, RauKhsr Piiras fWhms Ino. Attorneys: PorOUnMSM- DanM A SmUh Eiq. - Nsw Oitoam. LA for flaipondinm); WM S Moiil0oniary Esq. •• DslsSi TX Date Filed: owai/as First Scheduled: oaas«« DacMad: oaoaM Case Summary: Claimani all^iet thai Retpondem fiiW tB oMCM an erdor 10 pwchm akxit la 1 ^ to purchase at a Mger prioa. Product: EQU M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllliam Stonhaus and Richard Roush v Prudential Securities, Inc. Attorneys: For Claimant(s): Jeffrey D. Clason Esq. - Fresno, CA Fbr Respondent(s): 6iwislepliapiMwipam>Esq. ~ New York, NY Date Filed: 10/13/93 First Scheduled: 06/22/94 Case Summary: claimant, former employees, have alleged that respondent failed to their quarterly bonus. Product: Decided:

New York Stuck Exchange In the Matter of Arbitration Between NYSE Case: Onnar MlHubHigo V. Dean VMnar Riynaldi InooipwaM Attorneys: FdrOli*ii«iM: Qnw mrMubango - MbmawDlli, MN fornmfnakMm: San F«ng Eta - San Frandno, CA Date Filed: aa/i3«3 Can Summary: ciaimMt, • auaaam. iiagi Rrst Scheduled: tanoM iwtndBdon nufQVL Product: Dedded: 3{n (if Market: CiaiinDitB Claim: $io,oooM Punitive: UK AttyFafl6:iOjoo Dep

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Robinson, Charles Robinson, P.C, Charles Robinson, Trustee v Kidder Peabody, Inc., Shelley Tahlor and Dennis Joy Attorneys: For Ciaiinant(s): Dan A. Druz Esq. - Pt. Pleasant, NJ For l^espondent(s): Richard Kelly Esq. - New York, NY Date Filed: 10/20/93 First Scheduled: 05/11/94 Decided: 11/23/94 Case Summary: claimant, a customer, has alleged that the respond

< L Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judith R. Marcus vs. Kalb, Voorhis & Company and Herbert Hoffman Attorneys: For Ciainnnt(8): Frederick S. Newman Esq. - New York, NY For Respondent(8): Ben A. Indek Esq. - New York, NY Date Filed: 10/01/93 First Scheduled: 03/03/94 Decided: 05/06/94 Case Summary: customer vs. Member Firm and Registered Rep alleging failure to execute claimant's sell order of h