New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Paul W. Smtth v. Gruntal & Company Inc. Attorneys: f=br Clainiant(s): Christopher C. Fountain Esq. - Greenwtoh, CT For ftespondent(s): Donato N. Cohen Esq. - New York, NY Date Filed: 12/19/94 First Scheduled: O6/27/95 Case Summary: claimant, a pubite customer, altoges against Respondent, a member firm, executive, and breach of ftoudary duty. Claimant seeks dama

•••3r'TB:w^-!r: New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas and Antta Mohan v Bear Stearns, Inc., Thomas R. Themell, Mtohael J. Margolis, Damion P. Carufe and Gregory A. Brumbetoe Attorneys: For Claimant(s): William A. Jacobson Esq. - Provtoence, RI For Respondent(s): William C. Maltory Esq. - New York, NY Jeffrey W. Willis Esq. - Atlanta, GA Date Filed: 12/15/94 First Sctieduled: 08/01/95 Decided

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Burton and Cheryl Silva v Bear, Stearns & Co. & Karen Sue Tekulsky Attorneys: For Claimant(s): William A. Jacobson Esq. - Provklence, RI For Respondenl(s): John N. Crttchlow Esq. - St. Petersburg, FL Paul W. Stivers Esq. - /Vtianta, GA Decided: 12/19/95 Oate Filed: 12/15/94 First Sctieduled: 10/17/95 Case Summary: claimants, customers, have alleged fraud, churnin

New York Stock Exchange in the Matter of Arbitration Between ly NYSE Case: Paul J. Coppoto MD PC v Mark Borelli Attorneys: For ClBiment(s): Paul J. Coppola MD - Madison, CT Fbr Raspondent(s): Timottiy Culver - New York, NY Date Filed: 12/19/94 First Sctieduled: ^'''U/21/95 Case Summary: Oaimam altoges misrepresentation regarding 'CD Pnidential Bank and Tmst'. Product: OTHER Market: NYSE Ciaim Data Claim: $2,917.70

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\sh L. Dua vs. Mabon Securtties Corporation Attorneys: For Clainiant(s): /\sh L. Dua - Annapolis, MD For Respondenl(s): Rochelto Elias - New York, NY Date Filed: 12/12/94 First Sctieduled: 06/01/95 Decided: 08/23/95 Case Summary: Claimant, a pubite customer, alleges he failed to receive an interest payment wtth respect to a purchase of New Hampstiire Publto Sen/

Sew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Gabrtolla Marcum vs. Olde Discount Corporation and Steven Schween Attorneys: l=br Clainiant(s): Robert Dyer Esq. - Oriando, FL For Respondent(s): Delmer C. Gowing III - West Palm Beach, FL Steven Schween - Attamonte Springs, FL Date Filed: 12/13/94 First Sctieduled: 04/04/95 Oecided: 06/01/95 Case Summary: Customer vs. IMember Rrm and Registered Rep allegin

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Laurence Zaik v. CS First Boston Corporation Attorneys: For ClaHnant(s): Robert W. Gottlieb Esq. - New York, NY For Respondertt(s): Robinson B. Lacy Esq. - New York, NY E. Marcellus Williamson Esq. - New York, NY Date Filed: 12/09/94 First Sctieduled: 05/09/95 Oecided: October 4, 1995 Case Summary: Claimant, a registered representative and former emptoyee,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert L. Hun v Smtth Barney and Ronald A. Oleet Attorneys: For Clainiant(s): Robert L. Hutt - Marlboro, NJ For Respondent(s): Ann Parry Esq. - Now York, NY Date Filed: 12/05/94 First Sctieduled: 07/19/95 Decided: O8/08/95 Case Summary: claimant alleges that Respondent failed to execute a trade. Product: OPT Market: Claim Data Claim: $18,973.16 Pu

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securtties Inc. v Kenneth Barker Attorneys: For Clainiartt(s): Janet V. McKenna - New York, NY For Responde(tt(s): Kenneth Barker - Pompano Beach, FL Date Filed: 11/23/94 First Sctieduled: Case Summary: claimant alleges breach of toan agreement and nor •• 6/15/95 i-payment of Product: PROMISSORY NOTE promissory Decided: note.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shlrley Pyrtle v, MarrW Lynch, Pierce, Fanner & Smltti Ine. ('MerriH Lynchi and Lyie Lamothe Attorneys: For Claimuil(B): Midiaet A Lindsay Esq. - Apple Valley, CA For Rospondonl(a): Michael A TTiurman Esq. - Long Beach, CA Date Filed: 11/1 e«4 First Scheduled: 08/28/95 Decided: 12/4/95 Cass Summary: Clabmiit aleget that ragislered representatlvB and member lirm churn