New York Stock Exchange In the Matter of Arbitration Between I/' NYSE Case: Martin Shafron v. Prudential Securities Inc. & Charias Waserstain Attorneys: For Claiinant(s): Lee H. Schillinger Esq. - Hollywood, FL For Reapondent(s): Delmer C. Gowing, III Esq. • W. Palm Ueach, FL Delmer C. Gowing, III Esq. - W. Palm Beach, FL Date Filed: 08/11/93 First Scheduled: 02/03/94 Deckled 3/15/94 Case Summary: Customer v. Member Finn & No

/ > ' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bruce and Marjorie Topman v Shearson Lehman Brothers, Inc. and Claud Baruch Attorneys: For Clainiant(s): Bruce Topman Esq. - New York, NY For Respondent(s): Linda R. Alport Esq. - New York, NY Date Filed: 07/15/93 First Scheduled: 01/19/94 Decided: 01/20/94 Case Summary: claimants, public customers, allege respondents, a member firm and registered r

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: S. Aaron Simpson v Ellntt Nadel, Timothy G. Glynn and Prudential Securities, Inc. Attorneys: For Claimant(s): William J. Cantwell Esq. - New Yorit, NY For Respondent(s): Gerard J. Kowalski Esq. - New York, NY Date Filed: 07/23/93 First Scheduled: 01/21/94 Decided: 04/13/94 Case Summary: claimant, a public customer, alleges respondents, registered representatives and

New York Stock Exchange In the Matter of Arbitration Between L^ NYSE Case: Elizabeth M. Barto vs. Smith Barney Harris Upham & Co. and Virginia Thompson Attorneys: For Claimant(s): Elizabeth M. Barto - Inverness, FL For Fto8pondent(s): Unda R. Alport Esq. - New York, NY Date Filed: O8/02/93 First Scheduled: 12/I6/93 Decided: 01/21/94 Case Summary: Customer vs. Member Firm and Registered Rep alleging unsuiteble investments, churning an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nampnf the Claimant rasp?. Number: 01-04713 John T.Wright, "Marr^ nf the Respondent Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant John T. Wright, hereinafter referred to as "Claimant," was represented by Kenneth R. Wynne of The Wynne Law Firm located in Houston, Texas. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referre

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Emory Baker Perry v Joe Miranda and Rauscher Pierce Refsnes, Inc. Attorneys: For Clainwnt(s): Emory B. Perry - Irving, TX For Respondent(s): Dagny W. Young Esq. - Dallas, TX Date Filed: 07/20/93 First Scheduled: Case Summary: Customer alleges Respondents acted negligentiy ir common stock prior to the company's plan of reorganization. Product: EQU 12/09/93

.New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Evelyn V. (Bums) /Vnderson vs. Charles Schwab a Company, Inc., John Doe I and Jane Doe I and John Doe II and Jane Doe II Attorneys: For Claimant(s): Osmond Burton Esq. - Tucson. PiL For Respondent(s): Paul Roshka Esq. - Phoenix, AZ Date Filed: 07/22/93 First Scheduled: 12/09/93 Decided: 02/16/94 Case Summary: Customer vs. Member Finn, Registered Rep and Branch Offic

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: shearson Lehman Bros. vs. Robert Leben Attorneys: For Claimant(s): Bryan R. Williams Esq. - New York, NY Fbr Re8pondent(8): John E. Lawlor Esq. - Garden City, NY Date Filed: 07/13/93 First Scheduled: 12/01/93 Decided: 04/28/94 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover an amount allegedly due on a promissory note, interest,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: MerrU Lynch, Pierce, Fenner & Smith, Inc. v Christopher Buceheri Attorneys: For Cialmant(s): Harry M. Rifkin Esq. - Owings Mills, MD Fbr nospondent(i): M. Jane Matoesian Esq. - St. Louis, MO Date Filed: 07/i3/a3 Case Summary: Member v the Ik^udatad damages clause. First Scheduled: 02^08/94 Decided: 05/05/94 Reglstored Representative alleging a breach of the T

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jay B. Marcus. Susan Marcus, and Marcus & Courtade, P.C. Money Purchase Pension Plan/f/b/o Jay B. Marcus v. Prudential Securities Inc. and Kermit T. Krantz Attorneys: For Clalmant(s): Jay B. Marcus - Fairfield. 10 For Respondent(s); Donald R Littlefield Esq. - Dallas. TX Date Filed: 07/07/93 First Scheduled: 01/12/94 Decided: P /^'f*// Case Summary: custo