New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Meghan Pugh, MeredHh Pugh and Glynn Pugh v. Charles Schwab & Company Inc. Attorneys: - For Clainnnt(s): Glynn A. Pugh Esq. - Corpus Christi, TX Fbr Reapondenl(s): Scott A. Hum Esq. - San Frandsco, CA Date Filed: 02/16/95 First Scheduled: Decided: 6'(S'9S Case Summary: Ctaimams, puUn customers, altoge respondem, a member firm, faitod to comply wHh ctaimants' reque

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald Ford v MerriU Lynch, Pierce. Fenner & Smith, Inc. and Patty Dickens Attorneys: For Claimants): Mark G. Evans Esq. - /Ulanta, GA Fbr Respondent(s): Brett A. Rogers Esq. - /Vtlanta, GA Date Filed: 01/30/95 First Scheduled: OB/og/95 Decided: OB/23/95 Case Summary: Clalmam alleges that Respondents negligemiy and in breach of their agreemem wHh Claimam, turne

New York Stock Exchange In the Matter of Arbitration Between NYSE .Qase: George Fanf^ousakis v Westminster SecurHies Corporation and Darto Myman Attorneys: For Claimam(s): Ralph A. Gant Esq. - New York, NY For Respondem(s): Marc D. Powers Esq. - New York, NY Date Filed: 02/07/95 First Scheduled: 09/19/95 Decided: 12/11/95 Case Summary: Clalmam alleges that Respondents misled him into making investments he dM not understand and which were

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stanley S. Kalender and Joyce Kalender, JT Ten v. A.G. Edwards & Sons, inc., and Ronald GoMen Attorneys: Fbr Ciainiant(s): Stantoy and Joyce Kalender - Fort Lauderdato, FL FOr Responder«(s): Clay Grumke - St. Louis, MO Date Filed: 02/14/95 First Scheduled: 8/17/95 Decided: 8/17/95 Case Summary: Clalmam alleges misrepresentation as regards purchase of bonds.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Don R. Matthews v OMe Discount Corporation; and Hugh Dyson Attorneys: For Clainiam(s): Nicholas D. Thomas Esq. - Ratoigh, NC Fbr RespondenKs): Inna N. Otto Esq. - DelroH. Ml Date Filed: 02/13/95 First Scheduled: O8/23/9S Oecided: 08/23/95 Case Summary: Claimam aUeges Uiat ftespondents churned in his accoum and convinced him to purchase unsuHabto securities wtthout di

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark N. Gordon vs. KMder Peabody & Company, Inc. Attorneys: l=br Clainiant(s): David B. Wechstor Esq. - New York, NY Fbr Re8pondem(s): Sheila A. Chervin Esq. New York, NY Date Filed: 02/14/95 First Scheduled: 07/12/95 Oecided: 12/061^5 Case Summary: Clalmam seeks an award for an unpaid bonus in 1994. Product: Market: Ciaim Data Claim: $450,000.00

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Atox Brown & Son incorporated v. Aton Samos-Buch Attorneys: For Ctoimam(s): Nancy Palmer Esq. - BaHlmore, MD For Respondem(s): Paul R. McMenamin Esq. - New York, NY Date Filed: 02/02/95 First Scheduled: 10/17/95 Decided: 11/16/95 Case Summary: Clalmam, a member firm, alleges respondem, a registered represemalive and former emptoyee, failed lo pay the balance due on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Lerner Associates, Inc., (Claimant) vs. Salomon Smith Barney, Inc. and Ralph Haebich, (Respondents) Case Number: 01-04599 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, David Lerner Associates, Inc., hereinafter referred to as "Claimant": Michael G. Shannon, Esq., Brown Raysman Millstein Felder & Steiner LLP, New York, NY. (Mr. Shannon was with the la

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Robert d. Snodgrass v Merrill Lynch. Pierce, Fenner & SmHh and Anne C. Hayes Attorneys: For Ctoimant(s): Robert D. Snodgrass - Daly CHy, CA For Ftespondem(s): John K. Shannon, Jr. Esq. - New York, NY Date Filed: 02/07/95 First Scheduled: 10/17/95 Oecided: 10/18/95 Case Summary: Claimam altoges that misrepresentations by respondents as to the registered represem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dean WHter Reynolds,lnc. v. Rauscher Ptorce R6fsenes,lnc. ,Lawrence H. Wilson.Jr., Edmond P. LenJhan,Jr., Kathryn S. Wheetor, Gayto Terry, Darryl W. Traweek and Greg Leisey Attorneys: For Ctamianl(s): William B. Steel, III, Esq. - Dallas, TX For ltespondem(s): Coyt Johnston Esq. - Dallas, TX Date Filed: 02/13/95 First Scheduled: 02/21/95 Decided: 5-3-95 Case Summary