L^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Henry Levy v Fidelity Brokerage Services, Inc. Attorneys: For Claimant(s): Jay R. Benenson Esq. - Millburn. NJ For Respondent(s): Michael G. Shannon Esq. - New York, NY Date Filed: 05/06/93 Case Summary: Claimant, a customer, First Sciieduled: 12/09/93 has alleged that respondent delayed ir Product: Decided: 12/09/93 1 transferring funds out of the

^ • • New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John 'Jack' Zirru & Maryann Zima. individually and as Joint Tenants and Jack Zima, Inc. and Jack Zima, Inc. Empjoyes Profit Sharlnp Plan v. PaineWebber Inc, and Louis Albanese Altorneys: Fdr Clumnl(s): JeHrey A. Sefen Esq. - Buffalo. NY For nespondiiH(»): Evan L. Gordon Esq. - New York. W John R. Snyder Esq. - Hartford, CT Joseph A. VaHo Esq. - Weehawke

^ [ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothara Ina v. John Daw Attorneys: For Claiiiianl(s): Kristine D. Ragaglia Esq. - Hartford. CT For Raepondent(s): John Daw • Suffield, CT Date Filed: 04/15/93 Rrst Scheduled: 08/26/93 Deckied: 8/26/93 Case Summary: Member Finn v. |y|on-member - claimant alleges non-payment of promissory note executed by respondent for tha purpoae of purchas

L^^ New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Dolores Hutcheson v Shearson Lehman Brothers Attorneys: For Claimafit(8): Robert L. Harris Esq. - Dallas, TX For Respondentis): Craig J. Donahue Esq. - Dallas, TX Date Filed: 04/12/93 First Scheduled: 12/08/93 Case Summary: Claimant alleges Respondent recommended unsuitable securities whk:h resuhec alleged that Respondent engaged in misrepresentation and chur

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Sharon G. Fetterman v Prudential Bache Securities, Inc., WaHar J. Podgurski, Bernard Schwartz and Oonaid J. Loff Attorneys: For Claimaiit(s): Sharon G. Fetterman - Masdc Beach,, NY For Reapondenl(s): Mari( L Seffinger Esq. - New Yori(„ NY Date Filed: 04/20/93 First Scheduled: 08/20/93 Decided: O8/20/93 Case Summary: claimant alleges Respondent recommended unsui

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kathryn A. Verbeck and Terrence M. Verbeck and Robert E. Miner, Jr. v Jordan B. Netburn and Shearson Lehman Brothers Inc. Attorneys: For Claimant(s): J. Michael Gatien Esq. - Alliance, OH For Respondent(s): G. Wayne Hillis Esq. - Atlanta, GA Date Filed: 04/12/93 First Scheduled: 12/13/93 Decided: 5-2.-*?f Case Summary: claimants, public customers, allege that res

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Rubino v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Claimant(s): Joseph Rubino - Lake Ronkonkoma, NY For Respondent(s): Mkihael E. OIney Esq. - New York, NY Date Filed: 03/31/93 First Sctieduied: 09/14/93 Decided: 10/20/93 Case Summary: Claimant, a customer, has alleged that respondent churned his IRA account. The claim lists approximately 25 s

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Larry Choiniere Attorneys: For Clainiant(8): Emilia M. DeMeo Esq. - New York, NY For Re6pondent(8): Herbert M. Jacobi Esq. - New York, NY Date Filed: 04/12/93 First Sctieduied: oa/20/93 Decided: 11/05/93 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover an amount allegedly due on a promissory note and for trading

.ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kenneth D. Rush v. Bear Stearns & Company, Oppenheimer & Company, Carl Chaleff and Darlene Chaleff Attorneys: For Clalmant(s): Stephanie A. Johnson - New York, NY For Respondent(s): Nicholas P. lavarone Esq. - Chicago, IL Eugene A. Small Esq. - New York, NY Date Filed: 03/29/93 First Sctieduied: 12/13/93 Decided: 04/18/94 Case Summary: customer alleges that respo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Robert Scott Attorneys: f=br Claimant(s): Michael J. Lawson Esq. - San Francisco, CA For Re8pondem(s): Carolyn R. Klasco Esq. - San Francisco, CA Date Filed: 03/15/93 First Scheduled: 9/23/93 Decided: 11/22/93 Case Summary: Member Firm V Registered Representative (ex-employee) seeking to recover an insurance premium paid on a can