New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Klein v Chartos Schwab & Co., Inc. Attorneys: For Claimant(a): Louis Ktoin - New Yori(, NY For Reepondant(e): Rhonda Y. Jones Esq. - San Frandsco, CA Date Filed: 12/22/93 First Scheduled: 04A)S/g4 Case Summary: Claimant alleges that Respondent fimi pemfiittad trades In LTV trades should only have been permitted in his regular account. Product: EQU c

New York Stock Exchange In the Matter of Arbitration Between K^y NYSE Case: Edward Burger and Guadalupe Chavez v. Otoe Discoum Corporation and Bruce Tanis Attorneys: For Claimant(8): Dan A. Druz Esq. - Pt. Ptoasam, NJ For Respondenl(s): Mark L. Kowalsky Esq. - Btoomftok) Hills, Ml Date Filed: 12/16/93 First Scheduled: O8/15/94 Decided: Case Summary: Claimants, public customers, allege fraud, negligence, breach of fiduciary duty, brea

V New York Stock Exchange In the Matter of Arbitration Between NYSE Case: chartotte Kay Coffeen v. Mike Berger & Smith Barney Shearson Attorneys: For Ctoimam(s): Patrtoia A. Shub Esq. - Ft. Lauderdato, FL For f?espondenl(s): Madelyn A. Levy Esq. - New York, NY Date Filed: 11/I8/93 First Scheduled: 04/20/94 Decidec 06/29/94 Case Summary: customer v. Member Firm & Registered Representative - claimam alleges unethtoal and unprofesstonal

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph E. Halck vs. Smith Barney Shearson, inc., Joseph J. Plumeri and Malcolm Rogers, Jr Attorneys: For CtoJnfiant(s): Judith P. Vladeck Esq. - New York, NY For Respondent(s): Stuart M. Bompey Esq. - New York, NY Date Filed: 11/04/93 First Scheduled: 05/11/94 Decided: oa'23/94 Case Summary: Claimant alleges Respondents breached the agreements made at the time of his

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles and Elizabeth Ramm, Sandra and Joseph Consentino, and Stephen Consentino (Claimants) v. Joseph Miles and Clearing Services of America (Respondents). Case Number: 01-04651 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charles and Elizabeth Ramm ("The Ramms"), Sandra and Joseph Consentino

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alicia /Uan v Charles Schwab & Co., Inc. Attorneys: For Claimam(s): Alida Alan - New York, NY For Respondefit(s): General Counsel - San Francisco, CA Date Filed: 11/12/93 Case Summary: ciaimam, a customer. First Scheduled: 01/25/94 Decided: 01/25/94 has alleged that respondent failed to timely transfer bonds, preventing her from reinvesting the proceeds.

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Atsushi Uchida Attorneys: For Clainiiant(s): David R. Rappaport Esq. - New York, NY For Respondem(s): Atsushi Uchida - Brooklyn, NY Date Filed: 11/18/93 First Scheduled: O6/17/94 Decided: 06/17/94 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking recovery of amounts allegedly due under the terms of a promissory note, for liq

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Larry Dumas v Merrill Lynch, Pierce, Fenner & Smith, Inc. d/b/a Merrill Lynch and Company Attorneys: For Claimam(s): Michael W. Hinkto Esq. - Oklahoma City, OK For Respondent(s): Robert L. Wright Esq. - Dallas, TX Date Filed: 11/17/93 First Scheduled: O6/21/94 Decided: 07/01/94 Case Summary: Clalmam broker was employed by Respondem Firm. Claimam previously filed a wr

y New York Stock Exchange In the Matter of Arbitration Between (y NYSE Case: Lucas Antonelli and Genevieve HM. /^tonelli v Fidelity Investments Attorneys: For Claimam(s): Lucas V. Antonelli - France, For Respondem(s): Anne Marie Gillette Esq. - Boston. MA Date Filed: 10/21/93 First Scheduled: Decided: 04/07/94 Case Summary: claimant, a customer, has alkjged that respondent failed to execute a sell order of IBM stock and entered a

«few York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Company vs. BarlMira Guodardi Attorneys: For Clairmnl(s): Eric M. Berman Esq. - MIneoto, NY For Respondant^): Barbara Guocjanli - East Brunswick, NJ Date Filed: 11/17/93 Case Summary: Member Firm vs. First Scheduled: 05i20/94 Customer altoging respondem faitod to make full paymem for Product: OPT Decided: os/20/94 an opttons call trade Marke