New York Stock Exchange In the Matter of Arbitration Between ^Y YSE Case: irma V. Dalton v. Merrill Lynch Pierce Fenner Smith and Stephen Duffy Attorneys: F=6r Claimam(s): Irma V. Dalton - Westminister, CA For Respondeiit(s): Kevin Kane Esq. - New York, NY Date Filed: 06/19/95 First Scheduled: Decided: 11/17/95 Case Summary: Ctalmam, a public customer, alleges she was advised by Respondents, a member firm and registered representativ

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michad E. Meisner v. Alfredo Sandoval and MerriH Lynch Ptarce F«nner Smith Inc. Attorneys: For Claimam(s): Mhshael E. Meisner - Cincinnati, OH Fbr Respondem(s): Mnhael F. Haverkamp Esq. - Cincinnati, OH Date Filed: O6/29/95 First Scheduled: 11/21/95 Decided: 12-3-95 Case Summary: Ctalmam alleges respondem misrepresented matertal facts rotating to an initial publi

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Emll Stich v. Prudemial Securities Inc. Attorneys: For Claimam(s): Emil Stich - Brooklyn, NY For Respondent(s): Alisa K. Strauss - New York, NY Date Filed: 05/19/95 First Scheduled: Decided: ^-i(_95' Case Summary: Claimam, a public customer, alleges respondem, a member firm, made misrepresentations with resped to an IRA investmem in Global Government Plus F

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorottiy Feklman v Merrill Lynch Attorneys: For Clainiant(s): Dorothy Fekiman - River Vata, NJ For Respondem(s): Marta A. Vavra-Coleman Esq. - New York, NY Date Filed: 06122/95 First Scheduled: 11/20/95 Deckled: 11/20/95 Case Summary: Clalmam alleges that Respondem failed to disctase the risky nature of the securities recommended to Claimam, whtah were unsuitabto

Award NASD Dispute Resolution In the Matter of the Arbitration Between: flr 01-04609 Zola Levitt, IRA Account; Zola Levitt Ltd.; Zola Levitt Ministries, Inc.; Zola S. Levitt; Sandra Ol. Levitt IRA Account; Mark Levitt IRA; Sarah S. Levitt Custodial Account; David M. Levitt Custodial Account; James L. Levitt Custodial Account; June S. Levitt IRA Account; and June Levitt, Joint Tenants Account f rvf flip fl^spnflfforit s Hiring Si

w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ariene Berliner v. Fidelity Investments Attorneys: For Ctainiam(s): Ariene Berliner - East Brunswick, NJ For Respondem(s): William Gloer - Boston, MA Date Filed: O6/O6/95 First Scheduled: 09/29/95 Decided: 09/29/95 Case Summary: Clalmam, a publk: customer, alleges respondem, a member firm, paid less than currem market value of a New Jersey Educational Facilittas bo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack A. and l^ura Godler vs. Prudential Securities, Inc. Attorneys: For Claimam(s): Jack A. Godler - Laurelton, NY Fbr F)espondem(s): Janet V. McKenna - New York. NY Date Filed: 06/26/95 First Scheduled: 12/01/95 Oecided: 12A)I/95 Case Summary: customers vs. Member Firm alleging failure to process accoum transfers as per instrudions, unauthorized accoum transfers and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Revocabta Living Trust of Lester Kurtz, Lila KurU and Lester Kurtz, Trustees v. Prudential Securities Attorneys: For Claimam(s): Lester Kurtz - Cranbury, NJ For Respondem(s): Davkl Weimraub Esq. - Boca Raton, FL Date Filed: O6/12/95 First Scheduied: 10/27/95 Oecided: 11/09/95 Case Summary: claimant altages respondem acted in volation of SEC Rules by not listing an al

y" New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Benjamin S. Jones & Annette C. Jones v MerriU Lynch, Pierce, Fenner & Smith Attorneys: For CtaHnant(s): Benjamin S. Jones - /Mexandria. VA For Respondem(s): Joseph Dougherty Esq. - New York, NY Date Filed: O6/13/95 First Scheduled: 10/19/95 Decided: 10/19/95 Case Summary: Ctalmam alleges negligence in failure to advise of a redemption dale for bonds which resulted in a lo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest, Inc. v Ruben Serrano Attorneys: For Ctaimant(s): Barry Kronemer Esq. - Hartford, CT For Respondem(s): Eric W. Berry Esq. - New Yorit, NY Date Filed: 06/05/95 Case Summary: Ctaimam, First Scheduled: 12/13/95 a member firm, has alleged that respondem failed to re-pay Product: PROMISSORY NOTE Decided: the amoum due on i Market: 12/13/95 1