New York Stock Exchange In the Matter of Arbitration Between ty" NYSE Case: Qrunial A Co. Inoorporated v. Jaffray Lisungh Attorneys: fnorCUMMlM: Richard Janmy Esq. - New York, NY For Raapondart(B): Martin A. Foigenbeum Esq - IMiaml, FL Date Filed: 07/oi/se First Scheduled: 10/28/93 Decided: Q2Aigfl4 Case Summary: Member finn seeks anidroemeffl of emphiynienl agreemera wherein raspondent agreed to IkiuklHied valunlanly tannkiaias

c iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Bros. vs. Joseph Perdue vs. Shearson Lehman Bros, and Robert F. Calabrese Attorneys: For Claimant(s): Brian F. McDonough Esq. - New York, NY For Respondenl(s): Lawrence R. Sandak Esq. - New York, NY Date Filed: 07/14/92 First Scheduled: 01/29/93 Decided: 10/28/94 Case Summary: Member Rrm vs. Registered Rep (ex-empkiyee) seeking to recover an amo

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lois B. Davis (Executrix Estate of Frank G. Bass) v Shearson Lehman Brothers Inc., American Express Company and Walter Kbvier Attorneys: For Claimant(s): Leonard W. Wagman Esq. - New York, NY For Respondent(8): Arttiur C. Schupbach Esq. - Garden City, NY Date Filed: 06/15/92 First Scheduled: 12/02/92 Decided: O8/31/94 Case Summary: Claimant alleges that Respondents

(y w York Stock Exchange 111 the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. v. Joel Deitch Attorneys: For Claimant(s): David W. Schmidt Esq. - New York, NY For Respondent(s): David E. Robbins Esq. - New York, NY Date Filed: 06/01/92 First Scheduled: 12/14/92 Decided: , [M^'i Case Summary: Member firm against former registered representative for balance due on promissory note - $20,294.00. Product: Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Bros. vs. Raymond Rapaglia Attorneys: For Clainianl(s): Kevin B. Leblang Esq. - New York, NY For Respondenl(s): Raymond Rapaglis - New York, NY Date Filed: 05/01/92 Case Summary: Member Rrm vs. attomeys fees and costs. First Scheduled: 12/07/92 Decided: 01/26/94 Registered Rep (ex-employee) seeking to collect a balance allegedly due un

4ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jane M. Abbott Statesir v. Josephttial & Company, Inc., Victor Lohmann & Shelly Bemnan Attorneys: For Claimant(s): Arttiur P. Fisch Esq. - New Yorit. NY For Reapondeni(8): DavM James Smitti Esq. - Miami, FL Date Filed: 04/28/92 First Scheduied: 12/16/92 Deckled: 1/10/94 Case Summary: Claimant alleges unauttiorized and unsuitable trading on margin, mismanagement of ac

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Virginia Isett v. Smith Bamey Harris Upham & Co. Inc. Attorneys: For Claimant(s): Michael J. Harrington Esq. - Bala Cynwyd, PA For Respondent(s): Scott E. Kresch Esq. - New Yoric, NY Date Filed: 04/28/92 First Scheduled: 11/04/92 Decided: 02/10/94 Case Summary: Claimant alleges wrongful tamiinatmn based on age and sex discrimination resulting In loss of Income and be

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04559 The Monica Vangjin Trust, UA 12/11/1999, claimant vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se through its Trustee, Monica Vangjin, Clearwater Beach, FL. For Respondent appeared in-house counsel, Janis Campanella, New York, NY. DATE FILED: August 27, 2001 CASE SUMMARY: Claimant alleged that respondent failed to transfer shares of

y^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lola Rotsteln v Kidder Peabody Attorneys: For Claimant(s): Jan Ira Gellis Esq. - New York, NY For Respondent(s): Richard Kelly Esq. - New York. NY Date Filed: 04/10/92 First Scheduled: 03/08/94 Decided: 05/'i8/94 Case Summary: claimant, a customer, has alleged that respondent engaged in unsuitable trading and churning the account with respect to option tra

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Carlos BInet Marques, Amenia Mendez Caban and Asfalto del Oeste, Inc. v PaineWebber, Inc. and Marcos Comas Attorneys: For ClaJmant(s): Frederkx) CaJaf LeGrand Esq. - Old San Juan, PR For Respondent(s): Guillermo J. Bobonis Esq. - San Juan, PR Marcos A. Comas - Weehawken, NJ Date Filed: 03/07/92 First Scheduled: 07/26/94 Decided: 09/13/94 Case Summary: clai