New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Alex Browns and Sons, Inc. v Roger B. Coe Attorneys: For Clai(nant(s): Rebecca S. Beall, Esq.- Baltimore, ID For Respondent(s): Roger Coe - Boston, MA Date Filed: 11/11/94 First Sctieduled: 3/2/95 Decided: 7/14/95 Case Summary: Claimant alleges non payment of promissory note. Product: OTHER Market: Ciaim Data Claim: $i8,089.5o Punitive

** • - Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04546 Gloria Staelgraeve, Gloria Staelgraeve Trust FBO G. Staelgraeve U/A 06/28/77, George Staelgraeve and George Staelgraeve Trust FBO George Staelgraeve U/A 06/28/77 Names of the Respondents Hearing Site: Boca Raton, FL Costa Financial Group, Inc., Morgan Financial Co., Inc., Securities Service Network, Inc. and Andrew G. Costa REP

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bear Stearns v. Oarron Brastow Attorneys: For Claimant(s): J. Todd Cook Esq. - New York, NY For Respondentis): Thomas J. Hanrahan Esq. - New York, NY Date Filed: 11/11/94 First Sctieduled: 05/23/95 Oecided:-7,12,-< | 5 Case Summary: claimant, a member firm, seeks to recover the difference between respondent's received compensation and commissnns eamed for the time

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Davki M. Warmin v Smith Barney Shearson Inc. Attorneys: Fbr ClainMnl(s): Davki M. WarmIn - Brooklyn. NY For Respondent^): Soott E. Kresch Esq. - New York, NY Date Filed: 11/16/94 First Sctieduled: 06/29/95 Decided 06/20/95 Case Summary: Claimant alleges that Respondent failed to process an exercise of stock options, after Ctaimant pakl therefor and submitlBd the n

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George E. Serniuk, et al v Merrill Lynch end Sydney Kogan Attorneys: For Claimant(s): /Anthony V. Trogan, Jr. Esq. - Birmingham, Ml For Respondent(s): Clarence L. Pozza, Jr. Esq. - Detoit, Ml Date Filed: 11/01/94 First Scheduled: 05/26/95 Oecided: 07/31/95 Case Summary: Claimant alleges that Respondents high risk, ilik)ukl, and unsuitable securities, contrary to Clai

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Klrlakos Kolokithas v Waterhouse Securities, Inc. Attorneys: For Claimant(s): Fred L. Kurlander Esq. - San Francisco, CA Fbr Respondent(s): J. Michael Thomason - New York, NY Date Filed: 11/08/94 First Sctieduled: O6/23/95 Decided: 10/19/95 Case Summary: claimant, a customer, alleges Respondent failed to notify him that warrants of Excel Technokigy had been cal

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorothea and Louis Rosasco v Okie Discount Corporation and Henry Wilkens Attorneys: For Claimant(s): Dorothea & Louis Rosasco - New York, NY For Respondent(s): David T. Doyle Esq. - Detroit, Ml Date Filed: 11/14/94 First Sctieduled: 02/O6/95 Oecided: 02/06/95 Case Summary: Claimants, customers, have alleged that respondents did not provide them checks for their money

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Reinaklo Chipi v Dean Witter Reynokls, Inc. Attorneys: For Claimant(s): Juan /Vntonk) Ramos Diaz Esq. - San Juan, PR Fbr (tospondanl(s): Nestor M. Mendez-Gomez Esq. - Hato Rey, PR Date Filed: 11/08/94 First Sctieduled: 09/12/95 Oecided: 11/22/95 Case Summary: Claimant alleges that a purchase of the stock of Commodore Intematnnal was unauthorized and unsuitable. Claim

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Jay A. and Linda Grunin vs. Smith Barney Shearson, Inc. Attorneys: For Clajniant(s): Linda Kalmanowitz Esq. - Toms River, NJ Fbr Respondent(s): Susan E. Harkins Esq. - New York, NY Date Filed: 11/07/94 Case Summary: apprecietnn, interest First Sctieduled: 06/06/95 Customers vs. Member Firm alleging misrepresentations concerning , costs and attorneys fee

iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Tom Manos and Shiriey Manos vs. Olde Discount Corp. Attorneys: For Claintant(s): Tom Manos - Encinitas, CA For Re8pondent(s): Timothy L. Isom Esq. - Detroit, Ml Date Filed: 11/01/94 First Sctieduled: 02/23/95 Decided: 02/23/95 Case Summary: customers vs. Member Firm alleging misrepresentations and unsuitability conceming investments In Federal Home Loan Mortgage,