New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barbara J. Stein v. William Black and Oppenheimer & Company Inc. Attorneys: For Clainiant(s): Barbara J. Stein - New York. NY Fbr Respondent(s): Michelle A. Murphy Esq. - New York, NY Date Filed: 01/04/95 First Sctieduled: 06/07/95 Decided: 11/02/95 Case Summary: Claimant, a puUto customer, alleges respondents, a member firm and registered representative, failed to d

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Julhis Reiner v. Fidelity Investments Attorneys;. For Claimani(s): Julius Reiner - Utica, NY Fbr Respondeat(s): Anne Marie Dever Esq. - Boston, MA Date Filed: 12/14/94 First Sctieduled: 04/26/95 Case Summary: claimant alleges the firm failed to cancel a buy of 10 calls on Product: OPT Intel Decided: 05/05/95 Corporation, October 65, at 4 1/4. Ma

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Alex Eisenberg v. Merrlll Lynch Pierce Fenner Smith Attorneys: For Claimants); Alex L. Eisenberg - Montauk, NY For Respondent(s): Howard G. Meyers III - New York. NY Date Filed: 12/15/94 First Sctieduled: O8/15/95 Decided: os/i 5/95 Case Summary: Claimant alleges firm failed to adequately research a bond issued by MacNeal Schwendler. Claimant alleges the member

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Vdvest, Inc. v John Quatiini and Prudential Securities, Inc. Attorneys: For ClainKmt(s): William C. Freitag Esq. - Hartford, CT For Re8pondent(8): Christopher Freeze Esq. - New Yorit, NY Date Filed: 11/03/94 First Scheduled: 12/01/94 Decided: 12A>I/94 Case Summary: claimant, a member firm, has alleged ttiat respondent breached his agreement not to compete and failed

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Renee Sheivadiman v. Prudential Secuitigc Inc, and William Perone Attorneys: For CiMinanKs): Henas Shaivachman - New York, NY f=or naepondart< s): Mary U Manna Uirich Esq. - New York. NY Date Filed: io/03/94 First Scheduled: Decided: 11/29/94 Case Summary: claimant, a public customer, alleges respondents, a member firm and registered representative, alleges reapondsMs

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Barln G. Desai v Charies Schwab & Co., Inc. and Michael Wholey Attorneys: For Claimant(s): Barln G. Desai - Basking Ridge, NJ For Respondent(s): Rhonda Y. Jones - San Francisco. CA Date Filed: oa'24/94 First Scheduled: 12/15/94 Decided: 12/15/94 Case Summary: Claimant alleges that Respondents sold his options to cover a margin call without consulting him, costing him commissions

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Marie p. Pasternak v. Pacific Brokerage Services Attorneys: For Claimant(s): Marie P. Pasternak - Cherry Hill, NJ For ftespondent(s): James R. Kruger Esq. - Los Angeles, CA Date Filed: O8/03/94 First Scheduled: Case Summary: Customer against member firm for unauthorized debt in account Product: EQU Decided: Market: /^AM Claim Data Claim: $541.88

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Isklore Shapiro v. Smith Barney Shearson Inc. Attorneys: For Clainiant(s): Isidore Shapiro - Surfside, FL For f)espondent(s): Ann Parry Esq. - New York, NY Date Filed: 08/15/94 First Scheduled: 10/28/94 Decided: 10/28/94 Case Summary: Claimant, a public customer, alleges respondents, a member firm and registered representative, made mistatements regarding the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mamdoch (Mike) Z. Fahmi & Renee Fahmi vs. Charies Schwab & Company Attorneys: For C(aimant(s): Mamdoch Z. Fahmi - Tampa, FL For Re8pondent(8): Meg Welbom - San Francisco, CA Date Filed: 08/22/94 First Scheduled: 12/IS/94 Decided: 12/15/94 Case Summary: customers vs. Member Rrm alleging mishandling of a buy order for Specb-um Information Technokigy Stock. Product

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marlene J. Borgess, Claimant v. Johnny A. Burkes, Keith D. Seibert, Brandon J. Thompson and Salomon Smith Barney, Inc., Respondents Case Number: 01-04581 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant Jeffrey S. Salisbury, Esq. Law Office of Jeffrey S. Salisbury Eugene, Oregon For Respondents: Peter R. Boutin, Esq. Gordon C. You