New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Seymour H. Malamed vs. GoMman Sachs & Company Attorneys: For ClainMmt(s): Roger J. Bernstein Esq. - New York, NY Fbr Respondent(s): Joseph C. Datoy Esq. - New York, NY Date Filed: 04/14/94 First Scheduled: 08/04/94 Decided: 12/15/94 Case Summary: Customer vs. Member Firm altoging Respondent mislead ctoimant and pakl him only about 75% of the market value for his

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Marvin L. Ebert v MerriU Lynch, Ptorce, Fenner & Smith, Inc. Attorneys: (=or ClaJnwnl(s): Mannn L. Ebert - Great Neck, NY For Respondeni(s): Martin D. Edel Esq. - New York, NY Date Filed: 04A>4/94 First Scheduled: 06/30/94 Decided: O6/30/94 Case Summary: Customer v Member Firm. Claimant alleges Respondent misreprBsented the price to be received upon the sato of a mutual

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomson McKinnon Securities Inc. v. Paula Jane Frank Attorneys: For Ctoimant(s): Holly Kennedy Passantino Esq. - White Plains, NY For Ftespondent(s): .Steve J. Shore Esq. - New York, NY Date Filed: 04/07/94 First Scheduled: 09/27/94 Decided: 11/22/94 Case Summary: claimant, a former member firm, alleges respondent, a registered representative and former emptoyee, bre

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Michael G. Wells v Charles Schwab & Co., Inc. Attorneys: For Clain«nl(s): Michael G. Wells - Rtohmond, MO For Respondenl(s): Rhonda Jones Esq. - San Francisco, CA Date Filed:04/o4/94 First Scheduled: Decided: 08/30/94 Case Summary: Customer v Member Firm. Ctoimant altoges respondent failed to execute a buy order and this failure prevented him from realizing a gain. Produ

New York Stock Exchange In the Matter of Arbitration Between Ly- NYSE Case: W.J. Nolan & Co., Inc. v William Maksudian Attorneys: For Claimant(s): Hayward Richard Pressman Esq. - New York, NY For Respondent(s): Eric B. Levine Esq. - New York, NY Date Filed: 03/29/94 First Scheduled: 10/20/94 Decided: 12/14/94 Case Summary: Claimant, a member firm, has alleged that respondent breached his shareholders' agreement by refusing to sell hi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Davki DeLauter v Edward D, Jonas A Corr^mnf & John Brown Attorneys: FbrClalmBnfs): Mary T. Torres Esq. - Las Cruces, NM For Respondanfs): Joyce Montee Esq. - Las Crucae, NM Date Filed: 03/14/B4 First Scheduled: 10/11/94 Decided: 10/11/94 Case Summary: claimant aiieges taihire to foUow inttructtons to invest funds in lax qualified and tax deferred savings plan

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Lehman Brothers Inc. v Craig A. Klinger Attorneys: For Claimanfs): William Bennett Cullum Esq. - Dallas, TX For Respondenfs): Craig Alton Klinger - Dallas, TX Date Filed: 02/28/94 First Scheduled: 09/27/94 Decided: 10/14/94 Case Summary: Member Firm v Registered Representative. Claimant alleges respondent breached agreement to pay back the accidental overp

Nfew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Lehman Brothers, Inc. vs. Samuel Pilsbury Attorneys: For Ctoimanfs): Jeff A. Shumway Esq. - Phoenix, AZ For Respondenfs): Christopher G. Hamill Esq. - Phoenix, AZ Date Filed: 03/08/94 First Scheduled: 09/22«4 Decided: 09/22/94 Case Summary: Member Firm vs. Registered Rep, ex-emptoyee, altoging breach of contract and seeking to recover liqutoated damages for

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Seymour Levine v Shearson Lehman Brothers Attorneys: For Ctoimanfs): Seymour Levine - Forest Hills, NY For Respondenfs): John E. Jenkins Esq. - New York, NY Date Filed: 02/10/94 First Scheduled: 05/03/94 Decided: 08/04/94 Case Summary: Claimant, a customer, has alleged that respondent covered a short positton in Mid Lantic stock without authorization. Produ

u--' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Martin Gregor vs. Prudenttol Securities, Inc. Attorneys: For Claimant's): Martin Gregor - Long Beach, NY For Respondenfs): Alisa K. Strauss Esq. - New York, NY Date Filed: 03/04/94 First Scheduled: 09/07/94 Decided: 09/12/94 Case Summary: Customer vs. Member Firm alleging ttiat registered representative of Prudential Securities engaged in abusive and humilat