.\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Company, Inc. vs. W. Robert White Attorneys: For Ctaimam(s): Douglas Jaffe Esq. - New York, NY Fbr Respondents): W. Robert White - Venice, CA Date Filed: 04/12/95 First Scheduled: 09/13/95 Decided: 12/07/95 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts aHegediy due for an unsecured debit batance customer accoum fo

INew York Stock Exchange In the Matter of Arbilration Between NYSE Case: Dmn WMBT ReyiwMi Inc. v. Pairiak J. DudinM- Attomeys: FwCUnwMW: .Intaph p. Sadl, Jr. Esq. - BuHato, NY Till rVwpoiiiliinUfi) Edwaid S. Btoombefg, Esq. - Buffato, NY Date Filed: 04/17/9S Rrst Scheduled: 04/so/9$ Decided: 4-20-95 Case Summary: Monibw iirm ernptoyniMit agrsaniem. Ctalmam ttwt (ormsr amptoyae wronetuHy remtMnd confidertial diem racordt and s

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Devorah Max Kostar vs. Piper Jaffray, Inc. Attorneys: Fbr Clainrant(s): Devorah Max Kbsler - Bedford, MA Fbr Respondent(s): Lawrence J. Field - MinneapoUs, MN Date Filed: O4A)3/95 First Sctieduled: 3/32/95 Deckled: e/31/95 Case Summary: Clalmam altoges misrepresenlation regardtog purdiase of 'American Govammem Income Portfolto* shares for an IRA aocounL Product

New York Stock Exchange ^ In the Matter of Arbitration Between NYSE Case: Dwight Emanuel Day v. Olde Discoum Corporation Attorneys: For Ctaimant(s): Dwight Emanuel Day - Laguana Hills, CA For Respondem(s): /\my Kutt-Richards Esq. - DetroH, Ml Date Filed: 01/20/95 First Scheduled: O8/04/95 Decided: August 9, 1995 Case Summary: Claimant, a public customer, alleges bonds were purchased at a certain yield, but confirmation indicated a lower

New York Stock Exchange In the Matter of Arbitration Between Case: Prudential SecurHtos Inc. v. Christopher Garofato NYSE Attorneys: For Clainnm(s): Arthur Baumgartner Esq. - New York, NY Fbr Re8pondent(s): Christopher Garofato - Greenwtoh, CT Date Filed: 03/27/94 First Sctieduled: 09/20/95 Case Summary: Member firm against registered representative for balance due on Product: OTHER Decided: promissory note. Market: 09/20

( / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential SecurHies Inc. v James M. Howell Attorneys: Fbr Ctoimant(s): Terry R. Weiss Esq. - Atlanta, GA Fbr Respondent(s): James M. HoweU - Water Valley, MS Date Filed: 03/13/95 First Sctieduled: 11/14/95 Decided: 11/14/95 Case Summary: Clalmam alleges Respondem owes money on a promissory note that became due and payabto when Respondem's emptoymem t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joann Ancona (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frank Santanello (Respondents) and Joann Ancona (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc., Frank Santanello, and Thomas Lewis Tartagiia (Respondents) Case Number: 01-04603 (consolidated w/02-06864) Hearing Site: New York, New York 01-04603 Nature of the D

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Daniel p. SchneMer vs. FidelHy Inveshnenis, Inc. and Manual Santayana Attorneys: Fbr Claimant(s): Dantoi P. SchneMer - HavarhiU, MA Fbr RespofKlent(s): Robert A. Buhlman Esq. - Boston, MA Manual Santayana - Newttjn Cemre, MA Date Filed: 03/21/95 - First Scheduled: 8/24/95 Decided: g/^^^^^ Case Summary: Clalmam altoges misrepresentation, failure to execute and neglige

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brottiers Inc. v Robert J. Cohlan Attorneys: Fbr Clainiant(s): Mark J. Alonso Esq. - New York, NY Fbr Respondam(s): Robert J. Cohlan - West Harrison, NY Date Filed: 03/20/95 First Scheduled: 08/15/95 Oecided: oa/i5/9S Case Summary: Claimam, a member firm, has altoged ttiat respondem faitod to repay ttie money that is due on a promissory note. Product: PROM

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: SunCHy Cemer Investmem Club Per: George P. Tateosian, Presiding Partner vs. First Affiliated SecurHies, Robert S. Duffy, CFP, Manager and Bear Stearns & Company. Attorneys: Fbr Ctaimanl(s): George P. Tateosian - SunCHy Cemer, FL For Respondem(s): Jonathan Bekhor - Beverly Hills, CA Robert Duffy - SunCHy Cemer, FL Daniel S. Taub Esq. - New York, NY Date Filed; 03/22/9