New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sylvester Petryk v Philip McElynn, Waterhouse Securities Inc., Jim Dunwoody, Stifel, Nk»laus & Company Incorporated Attorneys: For Claimant(s): Sylvester Petryk - Senneville, Qubec, CN For Respondent(s): Philip McElynn - Chatham, NJ Forest M Smith Esq - St Louis, MO Lawrence M. Waterhouse, Pres-Dlr. - New York, NY Date Filed: 08/23/93 First Scheduled: ''(:i3h3 °^

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Marlkay Vance v Rodman & Renshwaw. Inc. and Frederic R. Ritschard, III Attorneys: For Claimant(s): Robert W. Mysliwiec Esq - South Bend, IN For Respondent(s): Dale T. Miller Esq - Chicago, IL Date Filed: 07/26/93 First Scheduled: 01/20/94 Decided: '^l^iiy/Yf Case Summary: Customer against member lirm and registered representative for unsuitable investments, misrepresentation

New York Stock Exchange MySE Csss: Sterriii Lysch, fisrse, ?tscss! & Ssith, les. v. Siehsrd ^isb .tttftrns'/s.: Far €l3lU!A< a]!: Ssa& E. Capbell Es!^. - Hssi Ysrli, iK Fsr Rs^!s&d95t(s).: Richsrd Alias. - Irs-eras City, liS Sichard ftllea- Ira!.«rae Cit;, «! Date fiisji: mmm fivei SfiheduieG!.: < 12.mm Dscided: CZ.^/3^ Csse Susaary.: Claissat aiisgss that Bespcsdeet failed, ts. rsp4>. Isses. psjrsusst ta & p.«-0ftiS3sry. nsts. Proiksf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fift Mnrnhpr 01-04715 Nancy E. Krivacek Hearing Sitr Milwaukee, Wisconsin James A. Nickels; and Raymond James Financial Services, Inc. o Claimant Nancy E. Krivacek ("Krivacek") was represented by Peter K. Richardson, Esq. of the firm of Michael Best & Friedrich LLP S located in Milwaukee, Wisconsin. Respondents James A. Nickels ("Nickels") and Raymond James Finan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard G. Pitzer & Deborah Kelly v Butler Wick & Company, Inc. & Douglas M. Evans Attorneys: For Claimant(s): Frank G. Verterano Esq. - New Castle, PA For Respondent(s): Phillip D. Lehmkuhl Esq. - Columbus, OH Date Filed: 08/11/93 First Scheduled: 11/17/94 Case Summary: claimants allege that Respondents failed to sell put options when they Product: OPT were

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hillary J. Turett v. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For ClaimiantCs): Louis Brown Esq. - Coconut Creek, FL Fbr Respondent(s): Erk: D. Landsverk Esq. - Seattle, WA Date Filed: O8/I8/93 Case Summary: Customer v Member Firm - First Scheduled: 03/01/94 Decided: 09/14/94 - Claimant alleges misrepresentation In connection with the firm's fees a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donaki C. & Dorottiy J. Grubba v. PaineWebber Inc. & Stephen J. Erickson Attorneys: For Claiiiiant(s): Donald C. Gmbba - Westboro, MA For Raepondeni(s): Edward Wemer Esq. - Weehawken. NJ Date Filed: 08/13/93 Case Summary: Customer regarding purchase of Cariyla First Scheduled: 12/09/93 V. Member Finn & Registered Representative Real Estate Umited Partners

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers, Inc. v Willard White Attorneys: For Claflnant(s): Craig J. Donahue Esq. - Dallas, TX For Respondent(s): Willard White - Fort Worth, TX Date Filed: 07/23/93 First Scheduled: 03/17/94 Decided: 07/01/94 Case Summary: Member Firm V Registred Representative for tiie alleged failure to repay a promissory note following the respondent's termination

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman arotliers. Inc. v Gerakt Carlton Attorneys: For Claimant(s): Craig J. Donahue Esq. - Dallas, TX For Respondent(s): Geraki Carlton - /\rlington„ TX Date Filed: 07/2a/93 Cas / I: First Scheduled: 03/16/94 Decided: 12/OS/94 ji Summary: Member Firm alleges that broker failed to repay promissory note upon his terminatton of emptoyment. Prod

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kemper Securities Inc. v. Michael Watts Attorneys: For Claimant(s): Diane Fischer Esq. - Chk^go, IL Michael Kraft Esq. - Chicago, IL For Respondent(s): William J. Hawkins Esq. - Houston, TX Date Filed: O8/03/93 First Scheduled: 03/10/94 Decided: /ft.-S-'?^ Case Summary; claimant, a member firm, alleges Respondent, a registered representtive and former employee, f