New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph C. Podgurski v Merrill Lynch Pierce Fenner & Smith Inc. and Joseph Dougherty Attorneys: For Claimant's): Joseph C. Podgurski - Somers, NY For Respondent's): Maura T. Kelly Esq. - New York, NY Date Filed: 03/15/93 First Scheduled: "i :i{\'\)> Decided: 11/12/93 Case Summary: Claimant alleges that respondent overcharged him on purchases of U.S. Treasury Notes

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Madeline Wall, Amy Wall Bobker and Marcia Wall Names of the Respondents Noble International Investments, Inc. a/k/a The Noble Financial Group, Michael Dill, Mark Simon, Nico Petrus Pronk and Peter Jung Case Number: 01-04695 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Madeline Wall, Amy Wall Bobker and Marc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Omld M. Farr and Hashem M. Farr v. Pacific Brokerage S¥£ervk»s Inc. Attorneys: For Clainttuit(s): OmM M. Farr and/or - Saratoga, CA For Respondent's): Jo-Anne Wallace - Los /Vngeles. CA Date Filed: 03/22/93 First Scheduled: O6/21/93 Decided: '^ (la 1} Case Summary: Claimant v. member firm alleging an unauthorized trade of IBM options. Claimant requests $3,278.00 in damag

New York Stock Exchange In the Matter of Arbitration Between u NYSE Case: Prudential Securities Inc. v. Stuart Glashow and Janet Glashaw Attorneys: For Claimant(s): Lewis H. Rosenbaum Esq. - New York, NY For Respondent(s): Stuart Glashow - Flushing. NY Date Filed: 03/22/93 First Scheduled: 08/I8/93 Decided: 09/20/93 Case Summary: Member firm v customers alleging that 10,000 shares of ICOS Corp. stock were purchased for Respondents' a

New York Stock Exchange In the Matter of Arbitration Between L^' NYSE Case: Robert S. Medvecky vs. Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Clalnnnt(s): N. James Turner Esq. - Orlando, FL For Reapondenl(s): John F. Potanovic Esq. - Fort Myers, FL Date Filed: 03/15/93 First Scheduled: 09/21/93 Decided: 09/22/93 Case Summary: customer vs. Member Firm alleging failure to foltow instructnns to transfer accounts into an in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mohammad and Raihanna Akmal v. Prudential Securities Inc. Attorneys: For Clalnianl(s): Mohammad T. /Vkmal and - Corona, CA For Respondent(s): Patricia Fitzpatrick Esq. - New York, NY Date Filed: 03/i 1/93 First Scheduled: 01/12/94 Decided: -, / / Case Summary: claimants allege that Respondent committed fraud by altering certain documents. It is also alleged that Responde

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marianne Johansen v. Roney & Company Attorneys: For Clainianl(s): Ralph J. Sirlln Esq. - Detroit, Ml For ne8pondenl(s): Steven M. Ribiat Esq. - Detroit, Ml Date Filed: 03/19/93 Case Summary: customer v member firm, securities and use of margin accounts. First Scheduled: 09/13/93 Decided: 09/20/93 Claimant alleges respondent made unsuitable trades and misrepresent

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elzabeth S, Pucker v. Kidder Peabody & Company and Mkrhaol Holzbenrlein Attorneys: For Claimants): Hunter C. Harrison. Jr. Esq. - McLoan. VA Por Reapondent(s): Robert A.W. Boraks Esq. - Washington. DC Thomas R. Dyson Esq. - Washington. DC Date Filed: 03/15/93 First Scheduled: 0B/2&93 Decided: O&^&M Case Summary: claimant allogos that Respondonts have violated Rul

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Norma Grau Gerrity vs. Paine Webber, Inc. and Joseph Fillmore Attorneys: For Claimant(s): Bruce A. Herald Esq. - West Chester, PA For Respondent(s): Theodore Krebsbach Esq. - White Plains, NY Date Filed: 03/22/93 First Scheduled: 08/05/93 Decided: 11/18/93 Case Summary: Customer vs. Member Firm and Registered Rep alleging unsuitable investments in an annuity and warr

u- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Pickei v. Shearson Lehman Brothers Inc., Roger Bach and John Hawk Attorneys: For Clalmant(s): Evan L. Gordon Esq. - New York, NY For Respondent(s): Kevin B. LeBlang Esq. - New York. NY Date Filed: 03/04/93 First Scheduled: 08/26/93 Decided: 11/17/93 Case Summary: Registered Representative alleges member firm breached an employment contract and defamed cl