y^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barry A. Smitti v Charles Schwab & Co., Inc. Attorneys: Fbr Claim8ni(s): Mtohael D. Thompson Esq. - Austin, TX Fbr ReapondenltB): Davkl L. Burgert Esq. - Houston, TX Date Filed: 01/10/94 First Scheduled: 08/09/94 Decided: 08/22/94 Case Summary: claimant altoges Respondent faitod to advise him of ttie risk of options bading and ttiat such tt-ading was unsuitabt

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hugh C. Toland vs. Dean Witter and Gary Freedman Attorneys: For Claimant(s): Dan A. Druz Esq. - Pt. Pleasant, NJ For Respondent(s): Pauline C. Scalvino Esq. - Philadelphia. PA Date Filed: 01/03/94 First Scheduled: 06/07/94 Case Summary: Customer vs. Member Firm and Registered Rep alleging fraud, fiduciary duty with regard to investments in 'junk bonds." Produ

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elizabeth Hulick v Shearson Lehman Brothers and Chris Pappas Attorneys: For Claimant(s): Joshua Friedman Esq. - New York, NY Fbr Respondent(s): Neil Sussman Esq. - New York, NY Date Filed: 12/29/92 First Scheduled: O8/12/93 Decided: 01/04/94 Case Summary: Claimant alleges ttiat Respondent Pappas fraudulentiy pursuaded her to invest by lending money to one of Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 01-04566 Joel E. Hill Name nf the Respondent Hearing Site- Richmond, Virginia Trendline Research and Management Corp, a/k/a Trendline Capital Management, John H. Cecil, Jr., John H. Smart, II., William H. Shelor, Jr., and Investors Security Company, Inc., KF.PRF.SENTATTON OP PAKTTFS Claimant, Joel E. Hill, hereinafter referre

/ \ 1 y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John C. Bell IV v Nomura Securities International, Inc. Attorneys: For Claimants): Laura Schnell Esq. - New York, NY For Respondentis): John F. Gibbons Esq. - New York, NY Date Filed: i2A)g/92 First Scheduled: 08/03/93 Decided: 03/15/94 Case Summary: Registered representative against member firm for alleged breach of contract involving claiman

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Steven M. Rk;kmeier v Kklder Peabody & Co., Inc. Attorneys: For Ciaimant(s): Laurence M. Shanahan Esq. - New York, NY For Respondent(s): Robert Boraks Esq. - Washington, DC Sheila A. Chervin Esq. - New York, NY Date Filed: 11/16/92 Case Summary: Claimant, anon. -member, First Scheduled: 12/06/93 has alleged that respondent breached their contract

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Cary Cimino Attorneys: For Claintant(s): Harry Frisch Esq. - Naw York, NY Fbr Respondent(s): Cary Cimino - New York, NY Date Filed: 11/25/92 First Scheduled: 07/27/94 Decided: 12/20/94 Case Summary: Member Firm vs. Registered Bep (ex-emptoyee) seeking to recover amounts allegedly due under a promissory note and for liquidated damages plus in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter Hoffman v. Shearson Lehman Brothers Attorneys: For Claimant(s): Peter L. Hoffman - New York. NY Fbr Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 11/27/92 First Scheduled: 07/O6/93 Case Summary: Claimant alleges that respondent failed to execute an option cancel J Product: OPT In a timely Decided: manner. ly^arket: 01/26/94 Cl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Miller v. Menill Lynch, Pierce, Fenner & Smith Inc., George T. Baskannlle, Joseph Cashman, Steven Ham. and Winthrop Smith Attorneys: For Claimants): J. Benjamin Dick Esq. - Charfcjttasvilie. VA For ReepondanUa): James E. Farnham Esq. - Richmond, VA Date Filed: 11/13/92 Rrst Scheduled: 10/28/93 Deckied: 2/22/94 Case Summary: Registered representativa against m

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Secwitias Incorporated v. Scott T. Bakig Attomeys: For Claimant(s): John N. Camperlengo Esq. - New York, NY For Roapondant(s): Scott T. Balog - Rockville, MD Date Filed: 11/06/92 Rrst Scheduled: 10/28/93 Decided: 10/28/93 Case Summary: Customer against member firni for breach of k>an agrBement-$20,000.00. Product: Market: Claim Data Claim