New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard E. Dooiey v Smith Barney Shearson & Traveler's. Inc. Attorneys: For Ctoimam(s): Robert 8. Cosgrove Esq. - Red Bank. NJ For Respondem(s): Scott E. Kresch Esq. - New York. NY Date Filed: 01/20/95 First Scheduled: O8/O8/95 Decided: O8/08/95 Case Summary: Ctoimam alleges that Respondem tveached tfie provisions of its Capital Accumutotion Pton t>y not permit

J New York Stock Exchange In the Matter of Arbitration Between NYSE Case: DonaM E. Austey v Olde Discoum Corporation and Herndon Stokes Attorneys: For Claimant(s): Ntoholas D. Tfwmas Esq. - Ratoigh, NC Fbr Reapondem(s): Ina N. Otto Esq. - Detroit, Ml Date Filed: 01/06/95 Case Summary: Oaimam First Scheduled: 08/21/95 Decided: O8/21/95 aHeges that Respondents churned his accoum and purchased unsuitabto securilies for his accoum.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Sinsheimer and Ina Sinsheimer, Trustees for the marital Trust under Declaratton of the Sinsheimer Family Trusts Dated November 19, 1990 V. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Ctoimant(s): Martin N. Dantoi Esq. - Los Angeles, CA Richard Sinsheimer Esq. - Los Angetos. CA For Respondent(s): Mark W. Pugsley Esq. - Los Angeles, CA Thomas L. Taylor,

iVew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Teresa D. Judge vs. Merrill Lynch Attorneys: For Clairnant(s): Teresa 0. Judge - Langhorne, PA For Respondent(s): Donna M. Dever Esq. - Phitodelphia, PA Date Filed: 01/09/95 First Scheduled: oe/oe/gs Decided: oe^ie/gs Case Summary: customer vs. Member Firm alleging failure to pay the full amount of growth on her investment in the Nattonai Total Return Fund. Prod

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harry E. Fisher v J.C. Bradford & Co. v Qene Ehmann Attorneys: For Claimant(s): Nicholas D. Thomas Esq. - Raleigh, NC For Respondefit(s): Gene Ehmann - Charlotte, NC Claude Ramer Esq. - Nashville. TN Date Filed: 01/06/95 First Scheduled: O8/O8/95 Decided: 08/11/95 Case Summary: claimant alleges that Respondents recommended securities for his account without discl

New York Stock Exchange In the Matter of Arbitration Between Case: Frances M. Covington v Edward D. Jones & Co. and Terry D. Eskind Attorneys: For Clalmant(s): Nicholas D. Thomas Esq. - Raleigh, NC For Respondent(s): Heidi R. Youngs Esq. - Kansas City, MO NYSE Date Filed: 01/12/95 First Scheduled: 08/22/95 Decided: 08/22/95 Case Summary: claimant alleges that Respondent invested her money in an annuity that was unsuitable. Product:

Ly- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First National Bank of Rhinebeck v Merrill Lynch, Pierce, Fenner & Smith. Inc. Attorneys: For Clainnnt(s): Owen T. Clarke, Jr. - Rhinebeck, NY For Respondent(s): Marie A. Vara-Coleman Esq. - New York, NY Date Filed: 01/06/95 First Scheduled: 04/27/95 Decided: 04/27/95 Case Summary: Claimant alleges that Respondent failed to disctose that certain bonds were ca

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William M. Ludmer v Josephthal, Lyon & Ross Attorneys: Fbr Claimant(s): Joann D'Emilio Esq. - New York, NY For Respondent(s): Robert E. Murphy Esq. - New York, NY Date Filed: 01/11/95 First Scheduled: 09/28/95 Decided: 11/O8/95 Case Summary: claimant, a former employee, has alleged that material misrepresentations were made to induce him to join the respondent as an

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stanley and Joan Schultz v. Charles Schwab & Company Inc. Attorneys: For Claimant(s): Morgan W. Bentley Esq. - Newark, NJ For Respondent(s): Daniel J. Brooks Esq. - New York. NY Eamonn F. Foley Esq. - New York, NY Date Filed: 01/11/95 First Sctieduled: ; 06/27/95 Case Summary: Claimants, public customers, allege respondent, a member firm, and procedure and failed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Anthony V. Marrocco and Karen L. Karam v. Names of Respondents Charles Schwab & Co., and A. Robert Lawrence and Name of Cross-Claimant Charles Schwab & Co., Inc. v. Name of Cross-Respondent A. Robert Lawrence and Name of Counter-Claimant A. Robert Lawrence v. Name of Counter-Respondent Anthony V. Marrocco Case Num