New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Jackson v Adam R Ritzer and Richard Fischer Attorneys: For Claimant(s): W. Woody Schlosser Esq. - St. Louis. MO For Respondent(s): Kenton E. Knickmeyer Esq. - St. Louis. MO Date Filed: 07/13/93 First Scheduled: 02/1 &94 Decided: 04/27/94 Case Summary: claimant, a customer has alleged that respondents made traudulent misrepresentations and breached their fiduc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene & Esther Abis v Muriel Siebert & Co., Inc. Attorneys: For Clainiant(s): Eugene & Esther Abis - Orangeburg, NY For Respondent(s): Nicholas Dermlgny Esq. - New York, NY Date Filed: O6/21/93 First Scheduled: Decided: Case Summary: Customer.\a member firm/alleges that respondentjmismanaged claimant's rights and stocks because they failed to give information th

.Vew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Dain Bosworth Inc. v. Piper Jaffray Inc., Dennis Cunntoo, Mtohael L Deverich, Ronakl A. Icabone & Mark A. Kennedy Attorneys: For Claimanl(s): Linda L Hdstein Esq. - Minneapolis, MN For Reapondent(s); Mtohael J. McAllister Esq. - New Yorit. NY Date Filed: 07/19/93 First Scheduled: 07/27/93 Deckled: 7/28/93 Case Summary: Member Firm & Registered Representative v

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Philip MICUCCI VS. Smith Barney Harris Upham & Company, Inc. and Mr. Troisi Attorneys: For Clainnnl(s): DavkJ E. Robbins Esq. - New York, NY For Re8pondent(8): Davto S. Friedman Esq. - New York, NY Date Filed: 07/O8/93 First Scheduled: 02/09/94 Decided: 07/22/94 Case Summary: customer vs. Member Firm and Registered Rep alleging Respondents faitod to timely execute Cl

u- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: victor K. Miliar v Mark Johnson, PaineWebber Inc. Attorneys: For Clainiant(s): Vtolor K. Miller - Joliet. IL For Respondent(s): Jim DeNorscia Esq. - Weehawken, NJ Mark Johnson - Weehawken, NJ Date Filed: 07/01/93 First Scheduled: *i(io/73 Decided: ^[•^^{^^ Case Summary: customer ageing member firm and registered representative for failure to execut

Award NASD Dispute Resolution In the Matter of the Arbitration Between: rvF tfy* P)ftjrnaTiit Oiis? Nnihhn" 01-04711 Trustee Craig Fadem 0/B/O the Howard Goldstein Electing Small Business Trust Ferris Baker, Watts, Inc. Marianne Billek-Kuta g SI ftp- Washington, DC BF-PRFSFNTATffw np Claimant, Trustee Craig Fadem O/B/O the Howard Goldstein Electing Small Business Trust ("Claimant"), was represented by Brian C. Parker, Parker, Dumler & Kiely

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrill Lynch Pierce Fenner & Smith Incorporated v. George V. Ryan Attorneys: For Claimant(8): Michael Fortunate Esq. - Paoli, PA For Respondent(s): George Ryan - Bradenton, FL Date Filed: 06/11/93 First Scheduled: 11/10/94 Case Summary: Member flnn against former registered representative for breach of promissory Product: PROMISSORY NOTE Decided: note. M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hyman Easton & Dorothy Easton v Pacific Brokerage Sennces Attorneys: For ClaimBnt(s): Hyman Easton - Great Neck, NY For Respondent(s): Robert Petrocci - New York, NY Date Filed: 07/O6/93 First Scheduled: 09/30/93 Decided: 09/30/93 Case Summary: customer v Member Firm alleging that Respondent inconrectly placed an order to buy 500 shares instead of 300 of Eastman

New York Stock Exchange In the Matter of Arbitration Between ^ NYSE Case: Julius Yesner v. Gruntal & Co. Attorneys: For dainranKs): Julius Yesner - Lynbrook, NY For Re6pondent(s): Kimberly Unger Esq. - New York, NY Date Filed: 06/07/93 First Scheduled: O8/31/93 Decided: O8/31/93 Case Summary: Claimant, a publto customer, alleges fraud against respondent, a member firm, with respect to the purchase of shares In Sunshine Mining.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Sorkin and Marcla Sorkin v. Shearson Lehman Brothers. Inc. Attorneys: For Claimant(s) Charles and Marcia Sorkin - Brooklyn. NY For Respondert(s) Ann Parry Esq. - New York. NY Date Filed: 04/26/93 First Scheduled: Decided: 09/10/93 Case Summary: claimants, public customers, allege respondent, a member firm, failed to disclose information and made misrepresenta