/. New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. George Pogatsias Attorneys: For Clainianl(s): Donakl N. Cohen Esq. - New York, NY Fbr ReBpondent(8): George Pogatsias - New York, NY Date Filed: 02/17/94 First Sctieduled: 06/14/94 Decided: 11/14/94 Case Summary: Member firm vs. Registered Rep. Claimant alleges respondent has failed to pay back toan as per terms of his emptoyment agre

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Edward Schwartzman vs. Waterhouse Securities Attorneys: F=or Claimant(s): Edward Schwartzman - Bethesda, MD For Respondent(s): Robert F. Bohrer - New Yori< , NY Date Filed: 02/10/94 First Sctieduled: 06/17/94 Decided: 06/17/94 Case Summary: Customer vs. Member Firm alleging respondent breached their fiduciary duty by not exercising adequate caution allowing

y y y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rebecca E. Greer vs. Fleet Brokerage Corporation Attorneys: For Ciaimant(s): Rebecca Greer - New York, NY For Respondent(s): Kathleen Cawley - New York, NY Date Filed: 02/17/94 First Sctieduled: 05/20/94 Decided: 05/26/94 Case Summary: Customer vs. Member Firm. Claimant alleges respondent gave incomplete and inadequate information regarding a mandat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of tb e *" 1 -lflirpf m *' g OISF Nmrifor 01-04567 DonaLd Daughenbaugh Harry Maxwell Wilbur Corson Mamp of thp T^gpnnHpntg Hearing Site- Philadelphia, PA Silvio J. DiMedio RhettH. Kirchhoff, Sr. Fleet Securities, Inc. f7k/a US Clearing Van C. Kirchhoff DiMedio Kirchhoff & Co., Inc. The Kirchhoff Organization, Ltd. CIBC Oppenhei

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jay Brandon v Keith Coffin and Corporate Securities Group Attorneys: For Clainvant(s): Jay Brandon - Houston, TX For Respondentis): Keith CoHin - Port Jefferson Station, NY Gregory Tendrich Esq. - Boca fteton, FL Date Filed: 01/27/94 First Sctieduled: 06/23/94 Decided: 07/06/94 Case Summary: claimant alleges Respondents made unauthorized and unsuitable purchases

New York Stock Exchange In the Matter o^^ Arbitration Between NYSE Case: Wllllam J. Brown v. Gradison (Divison of McDonakl & Company Securities Inc.) Attorneys: Fiir Claimant(s): William J. Brown - Wyoming, OH For Respondent(s): Kevin Irwin Esq. - Cincinnati, OH Richard M. Wachterman Esq. - Cincinnati. OH Date Filed: 12/27/93 First Scheduled: 05/23/94 Case Summary: Claimant, a public customer, alleges respondent breached its claimant

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bernard Fuchs v Ladenburg Thalmann & Co. Inc. Attorneys: For Claimant(s): John Halebian Esq. - New York, NY For Fiespondent(s): Norman S. Lawi Esq. - New York, NY Date Filed: 01/18/94 First Sctieduled: 09/07/94 Decided: 12/O6/94 Case Summary: claimant alleges that Respondent wrongfully refused to pay Claimant compensation due to him at the time of his terminatk

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James P. O'Connor and Norma R. O'Connor v Smith Barney Shearson. Inc., Smith Barney, Harris, Upham & Co. and William J. Leahey Attorneys: For daiirauiKs): Fredernk W. Rosen Esq. - Rumson, NJ For Respondent(s): Paul Giappone Esq. - New York, NY Date Filed: 01/05/94 First Sctieduled: 07/26/94 Decided: 10/20/94 Case Summary: Claimants, public customers, allege that resp

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Herman Ratner and Juliet P. Ratner v Smith Barney Shearson, Inc. and James Marsh Attorneys: For Clainnnt(s): Susan N. Perkins Esq. - New York, NY Fbr Respondent(s): Douglas C. Wurth Esq. - New York, NY Date Filed: 01/04/94 First Sctieduled: 07/20/94 Decided: 09/12/94 Case Summary: claimants, public customers, allege that respondents engaged in unauthorized and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grace A. Leaf v. Josephthal & Co. & GeraM Fuss Attorneys: For Ciainianl(s): Grace A. Leaf - Jupiter, FL For Respondanl(s): Ed Dantes - Islip. NY Gerald Fuss - New York. NY Date Fiied: 01/06/94 First Sctieduled: 8/18/94 Decided: 8/18/94 • Case Summary: claimant alleges unauthorized purchase of Unisys shares, mismanagement of account and failure to execute orde