1 < ew York Stock Exchange In the Matter of Arbitration Between /y NYSE Case: Prudemtal SecurHies, Inc. vs. Charles Damtoo Attorneys: Fbr Ctaimam(s): Christopher Freeze Esq. - New York, NY F=br RespondentCs): Charles Damico - Bryn Mawr, PA Chartos Damico - Bryn Mawr, PA Date Filed: 03/10/95 First Scheduled: 09/27/95 Decided: 09/27/95 Case Summary: Claimam aUeges breach of emptoymem agreemem and non-paymem of promissory note. P

L New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Metzger vs. McLaughlin Piven Vogel SecurHies, Inc. Attorneys: Fbr Claimam(s): Donna Von Gericmen - Freeport, NY For Respondem(s): Joseph D'Elto Esq. - Huminglon, NY Date Filed: 03/01/95 First Scheduled: 09/26/95 Decided: 10/18/95 Case Summary: customer vs. Member Firm alleging a wrongful transadton to ttie sale of NYC 8% General Obligation to generate

New York Stock Exchange m the Matter of Arbitration Between NYSE Case: Rtohard Pulton v Dean WMer ReynoMs Inc. Attorneys: For Ciainianlfi): Rtohard PuHen - Sparta, NJ Fbr Re8pondenl(s): Edward Larkto Esq. - New York, NY f^t'/ty Date Filed: 02/21/95 First Scheduled: 06/06/95 Decided: 9 Case Summary: Ctoimam alleges he inslruded Respondem to seH a term instrumem on August 25,1994 whteh Respondem dM not execute until September 1

New ¥Oi=ir Stock Exchange >^ NYSE In the Matter of Arbitration Between Case: OonaM C. Ntohols and Joyce E. Nichols v. Dean WHter Reynolds, Inc. Attorneys: For Clainnnl(s): DonaM C. Ntohols - /Arlington. TX For Re6pondem(s): EUen Fong - San Francisco, CA Date Filed: 03A)7/g5 First Scheduled: 07/20/95 Decided: IOAM/SS Case Summary: ctoimants allege misrepresentation to connedion wHh their November 22.1993 purchase of 5,000 share of TCW/DW Term

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anthony Staiano v. Quick & Reilly Attorneys: For Ctainiam(s): Anthony Staiano - /Astoria, NY Fbr Respondent(s): Nicholas J. Chopey Esq. - New York, NY Date Filed: 03/07/95 First Scheduled: 09/12/95 Decided: 09/12/95 Case Summary: claimant, a puUto customer, alleges that Respondem froze all assets in his accoum wHhout auttiorizatton and wHhout proper notification,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: KeHh A. Schooley v. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: Fbr Claimam(s): Richard J. Gore Esq. - Oklahoma CHy, OK For Respondem(s): Bruce W. Day Esq. - Oklahoma City, OK Date Filed: 02/17/95 First Scheduled: 09/18/95 Decided: 10-5-95 Case Summary: ctaimam alleges that the firm terminated his employmem in breach of contrad because of his allegattons abou

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Mabon SecurHies Corporation vs. M.G.S.I. SecurHies, Inc. Attorneys: For Claimanl(s): John Lovi Esq. - New York, NY Fw Respondem(s): Thomas Ftoming Esq. - New York, NY Date Filed: 03/01/95 First Scheduled: 09/20/95 Decided: 11/13/95 Case Summary: Member Firm vs. Non-Member, in a dispute arising from a dearing agreemem, whereby Claimam acted as a dearing agem fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Robinson, (Claimant) vs. Weiss, Peck & Greer, L.L.C. and Roger J. Weiss, (Respondents) Case Number: 01-04602 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Susan Robinson, hereinafter referred to as "Claimant": Michael H. Smith, Esq., Spitzer & Feldman P.C., New York, NY. Respondents, Weiss, Peck & Greer, L.L.C. ("WPG") and Roger J. Weiss ("Weiss"), h

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Doris Elias, Mary E. Ivanyi and Margaret E. Lehman v. Gruntal & Company Inc and George Reeves Attorneys: For Claimam(s): Brtan GuiUorn Esq. - New York, NY Fbr Respondent's): DonaM N. Cohen Esq. - New York, NY Date Filed: 02/16/95 First Scheduled: 07/24/95 Decided: 11/03/95 Case Summary: Claimants allege respondents persuaded them to purchase stocks and bonds no

w York Stock Exchange in the Matter of Arbitration Between NYSE Case: Frances Sherman vs. FidelHy Brokerage Services Attorneys: For Ctaimam(s): Frances Sherman - New York, NY For Respondem(s): Ann Marto Dever Esq. - Boston, MA Date Filed: 02/27/95 First Scheduled: Case Summary: Ctalmam alleges Respondem stated an articto was claimant sold the stock. In fact, the article was not negative so ctaimant - Product: 06/07/95 Dec