New York Stock Exchange In the Matter of Arbitration Between NYSE Cass: ChMlM ZMcNord V. Pludrtiri-Baetw SacurttH bw.« John p. Ormr Attorneys: TIM nMnmiti) ChHtH Zndtord - RoolQ«B, MD For RnppniMM: MeMonM.FwnWMUMrBq.-Wartingm.DC MiehMl aoinricy E^. - WMingUn. DO Date Filed: oaorm First Scheduiad: taanea Casa Summary: tta^latafai RtpniMiSw v, Manber Finn & RiQiiimi nmawimiw • fKWnumf leKnaa imuwiu aHgoo Hrangiw tHimniBDni wn nonnnB iiiwiw

New Yorl( Stocit Exchange In the Matter of Arbitration Between NYSE Case: Delores McCann v. Stamford Niou Attorneys: For Clainiant(8): Stephen T. Gannon Esq. - Richmond, VA For Respondent(s): John S. Barr Esq. - Richmond, VA Edward Werner Esq. - Weefiawken, NJ Date Filed: 10/01/91 First Scheduled: 02/09/93 Decided: 04/16/93 Case Summary: claimant alleges that Respondent engaged in unsuitabto and unauthorized trades whtoh were contrar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ken Raphael a/k/a Kenneth Raphael vs. Merrill Lyneh, Pieroa, Fennor & Smith, Ine. Attorneys: For daimants): Thomas M. Compare! Esq. - Los Angeles, CA For nnspondenl< »): Petar Bro«m Dolan Esq. - Los Angeles, CA Date Filed: 1 08/30A)1 First Scheduied: '7.^ D(^13 Case Summary: Regtsterad rapraseniatim against nwmbar firm for unpaid oomnriiatons. an signing b

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: P & R industries. Inc. v Prudential Bache Securities, Inc. and William Tain), IV Attorneys: For Clainwnt(8): Ann M. Williams Esq. - Pittsford, NY For ReBpondent(s): Flor Ferrer Esq. - Rochester, NY Date Filed: os/i2/91 First Scheduled: O6/03/92 Decided: 01/04/93 Case Summary: claimant seeks damages for tosses incurred as a result of alleged unsuitable and unaut

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Slmon v. Haberman v Bear Steams & Co. Inc. and Thomas Brazil Attorneys: For Claimant(s): John Lawtor - Garden City, NY Fbr Reepondent(8): Michael D. Blutrtoh Esq. - New York, NY Dantoi S. Taub Esq - New York, NY Date Filed: O8/27/91 First Scheduled: 02/27/92 Case Summary: claimant altoges that Member Firm and Registered Representative Product: OPT Decided: 03/17/

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roy S. Sanders, v Eva D. Weinberg, The Weinberg Group, and Shearson Lehman Hutton, Inc. Attorneys: For Claimant(s): Roy S. Sanders Esq. - Syracuse,, NY For Respondent(s): G. Wayne Hillis, Jr. Esq. - Atlanta, GA Date Filed: 08/02/91 First Scheduled: 06/04/92 Decided: 12/10/93 Case Summary: Customer alleges that firm and registered representative acted fraudently; enga

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers, Inc. v Leonard W. Krane Attorneys: For Claimant(s): Thomas M. Newmark - St. Louis, MO For Respondents): Leonard W. Krane Esq. - Louisvilto, KY Date Filed: 07/29/91 First Scheduled: 10/20/92 Decided: Case Summary: claimant aHeges that Respondent has breached two outstanding promissory note agreements made contingent upon his emptoy equali

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company, Inc. vs. Peter Reiss Attorneys: For Clainiant(8): Emelia DeMeo Esq. - New York, NY For Re6pondent(8): Peter Reiss - New Canaan, CT Date Filed: 09/03/91 First Scheduled: O6/24/92 Decided: 04/01/93 Case Summary: Member Firm vs. Registered Representative (ex-emptoyee) seeking to recover amounts altogedly due under the terms of a promissory note an

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04660 Morris D. Cohen Residuary Trust Name of the Respondent Hearing Site: Memphis, TN Henry Fereydouni REPRESENTATION OF PARTIES For Morris D. Cohen Residuary Trust (the "Trust"), hereinafter referred to as "Claimant": Stephen I. Cohen, Esq., Memphis, TN. For Henry Fereydouni ("Fereydouni"), hereinafter referred to as "Respondent": David A. Genelly, Es

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roberto Ledesma & The Conjugal Partnership ot Roberto a Melanie Ledesma vs. Paine Webber. Inc and Tha Conjugal Partnership of Ramon Ahnonia and Jane Doe Attorneys: For CiainiBn^i): Maria H. Sandoval Esq. - Santurce, PR For naspondentQ-. (SuHerme Bobonis Esq. - Condado. PR Date Filed: 09/23/91 First Scheduled: 06^2/92 Decided: 05/20/93 Case Summary: aalmam aleges