New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Koki Babagana v Gruntal & Co. Attorneys: For Clainnnt(s): Kok) Babagana - Arlington, VA For Reapondanlfs): Harry D. Frisch Esq. - New York, NY Date Filed: 04/23/94 First Sctieduled: 10/25/94 Decided: 10/25/94 Case Summary: Claimant alleges wrongful advk» and misrepresentatnn regarding sale of Corner Stock and purchase of Cambridge Bntech stock, failure to act

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04579 Wachovia Securities, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Kimberly C. Bennett REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Peter J. Covington, Esq. and James L. Ward, Esq. of Smith Helms Mulliss & Moore, L.L.P., Charlotte, North Carolina. For Kimberly C. Bennett, hereinafter

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Scott McKinney vs. Smith Barney Shearson Attorneys: For ClaimantCs): Scott McKinney - Elmhurst, NY Fbr Re8pondeni(s): Barbara A Silvan Esq. - New York, NY Date Filed: 05/04/94 First Sctieduled: 08/18/94 Decided: 08/13/94 Case Summary: Registered Rep (ex-emptoyee) vs. Member Firm alleging an unjust terminatnn, abuse of authority, unethical and unprofesskinal behav

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Dorothy Love Brunswick. Gwen Stacey Brunswick and Carrie Lynn Fink v. PaineWebber and Gregory Fabki Attorneys: For Claimantis): Albert Kostrinsky Esq. - Great Neck, NY For Respondefit(s): David E. Robbins Esq. - New York, NY Steven S. Rogers Esq. - Weehawken, NJ Date Filed: 04/05/94 First Sctieduled: 09/30/94 Decided: 11/30/94 Case Summary: claimants, publi

y^ New York Stock Exchange In the Mailer uf Arbilraliuii Belween NYSE Case: J.C Brodford ft Co. V l^bort Talia'orre and Joseph M. Johnson Atlorrieytc PorCWrmuiiM: Kenneth A. DehMrt Csq. - Louisvlto KY Fur RsmandanKs): Craig R. Alen Esq. - Chattanooga. TN Date Filed: 04/27/94 Flr.«;t Rr.hfHliilAri: nR.on.iM Deckled: oSAMym Case Summary: Membun' Fim ui^ial ReunleiuJ f^upittwiUilivib lu' Uuduli uf cuiilrHct. Product: OTHER Marka

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephana Aubry v Quick & Reilly Attorneys: For Claimant(s): Stephana Aubry - Canada M5V3C9, For Respondent(s): Nicholas J. Chopey Esq. - New York, NY Date Filed: 04/18/94 First Scheduled: 07/12/94 Decided: 09/12/94 Case Summary: Claimant, a customer, has alleged respondent entered an unauthorized purchase of Chemical Waste Management and has withdrawn money in ac

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marilyn 0. Clampett and Davto Clampett v Dean Witter Reynotos and Terry Brennan Attorneys: For Ciaimanl(s): Davto Ctompelt - Portland, OR Fbr Ra8pondenl(s): Wendy R. Robinson Esq. - San Francisco, CA Date Filed: 04/12/94 First Scheduled: oa/01/94 Decided: 08/25/94 Case Summary: customer v Member Firm. Ctaimants seek damages for loss incurred as a result of an a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cathleen M. Krahe v Smith Barney Shearson Financtol Consultant Marc Karstaedt Attorneys: For Claimant(s): Cathleen M. Krahe - /Vspen, CO For Respondent(8): Aim Parry Esq. - New York. NY Date Filed: 04/21/94 First Scheduled: 10/13/94 Decided: 10/13/94 Case Summary: claimant alleges unsuitabto investment m Putnam Managed High Fieto Trust bond fund, misrepresentatio

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Michael C. Duban v. Smith Barney Shearson Attorneys: For Claimant(s): Michael C. Duban - White Ptoins, NY For ltespondent(s): Ellen Slipp Esq. - New York, NY Date Filed: 04/18/94 First Scheduled: 12/15/94 Decided: 12/15/94 Case Summary: Claimant alleges that Respondent misrepresented the nature of the securities it recommended to Claimant. Product: Market: Claim Da

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joel R. DeLuca v. Smith Barney Shearson Attorneys: For Claimant(s): Dr. Joel R. DeLuca PH.D - Berwyn. PA Joel R. DeLuca, PhD - New York, NY For Re5pondent(s): Ann Parry Esq. - New York. NY Date Filed: 04'11/94 First Scheduled: 12/15/94 Decided: 12/15/94 Case Summary: claimant seeks reimbursement of fees charged by North American Securities Life in connection with