New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janet C. Roe (Davis) vs. Shearson Lehman Brothers Attorneys: For Claimant(s): Janet C. Roe - Portland. OR For Respondent(s): John P. Bevllacqua Esq. - New York, NY Date Filed: 06/10/93 First Scheduled: 02/22/94 Case Summary: Customer vs. Member Finn alleging that respondent has failed to recover principal, interest and costs. Product: IRA recover Deci

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence D. Paul v. Shearson Lehman Brothers Attorneys: For ClaJniant(s): Lawrence D. Paul - Wiscasset, ME For Respondent(s): Jeana Vasile - New York, NY Date Filed: 06/09/93 .-First Scheduled: 08/26/93 Decided: ^3(^/^3 Case Summary: Customer v. Member Firm. Claimant alleges respondent erroneously failed to follow Instructions concerning claimants account and

New York Stock Exchange In the Matter of Arbitration Between ^y NYSE Case: Thomas Strada v. MKI Securities Corp. Attorneys: For ClainKUTt(s): Michael Present Esq. - New York, NY For Respondent(s): Barry N. Saltzman Esq. - New York, NY Date Filed: 05/19/93 First Scheduled: 12/15/93 Decided: 03/24/94 Case Summary: Claimant, a registered representative and former employee of respondent, a member firm, alleges respondent breached its

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas A. Turley v. MN Associates f/k/a Mabon, Nugent & Co. Attorneys: For Claimant(s): Marvin J. Goldstein Esq. - New York, NY For Respondent(s): Eric Rieder Esq. - New York, NY Date Filed: O6/02/93 First Scheduled: 12/14/93 Decided: 12/23/93 Case Summary: Claimant, a registered representative and special limited partner of respondent, a member firm, alleges respond

o^' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene Weissman & Sylvia Weissman Trust v Gruntal & Co., Maurice Cohen and Steven Danielli Attorneys: For Ctaimant(s): Daniel G. Vogel Esq. - St. Louis, MO For Respondent(s): Emilia M. De Meo Esq. - New York, NY Date Filed: 05/26/93 First Scheduled: 02/16/94 Decided: Case Summary: claimant, a customer, has alleged that respondent failed to deliver shares of S

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: victor Lownes v Aurex Financial Corporation and Russ Colella Attorneys: For Claimant(s): Philip Raible Esq. - New York, NY For Respondent(s): Scott G. Goldfinger Esq. - New York, NY Date Filed: O6/02/93 First Scheduled: 11/12/93 Decided: 11/I6/93 Case Summary: Claimant, a customer, has alleged that respondent failed to execute a seH order for Philip Morris stock. Product

Stipulated Award NASD Disniite Resnlntinn In the-Matter of the Arbitration Between: Name of the riai'mants f.asp Number 01-04710 John Doherty and Sharon Doherty Name of the Responrtents Hearing Site: Philadelphia, PA Continental Broker-Dealer Corp. Curtis Williams RF.PRFSFNTATTON OF PARTTFS Claimants, John Doherty and Sharon Doherty, hereinafter collectively referred to as "Claimants", were represented by Debra G. Speyer, Esq., Law Offices of De

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers Inc. v. Howard Schnepper Attorneys: For Clainnnl(s): Robert J Kuker Esq. - Chcago, IL For Re8pondent(s): Howard Schnepper - ChKago, IL Date Filed: 05/17/93 First Sctieduied: 01/21/94 Decided: ^ /^/ry Case Summary: claimant alleges respondent failed to pay for stocks he ordered through claimant's snri'Ter. Product: EQU Ma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kemper Securities Inc. v. Roger Campbell Attorneys: For Clalmant(s): Diana C. Fischer Esq. - Chicago, IL For Respondent(s): Cathryn B. Mayers Esq. - Denver, CO Date Filed: 06/11/93 First Scheduled: 10/06/93 DecWed:10/15/93 Case Summary: Member Firm v. Non-Member - claimant alleges breach of contract, non-payment of promissory note, non-payment of salary advance.

^ew York Stock Exchange ..1 the Matter of Arbitration Between NYSE Case: Fred C. Fishbaek v. Waierhotae Securities inc. Attorneys: For CiBintani(s): Frad C. Rshback ' Grossa Points Park, Ml For HMpondant(s): Robert Bohrer Qsq. - New York, NY Date Filed: os/itwss Case Summary: Customer v. Preferred Series B. Member Firm • First Scheduled: 12/20/93 Decided: 12/20/93 - Claimant alleges Respondent unilaterally reversed the so