< ,' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alexander and Constance Ross v Fahnestock & Co., Inc. Attorneys: . For Claimant(s): Stuart Potter Esq. - New York, NY For Respondent(s): Erk: Shames Esq. - New York, NY Date Filed: 11/01/94 First Sctieduled: 04/11/95 Decided Case Summary: claimants, customers, have alleged that respondent breached their fiduciary duty and was shares of Paramount when requ

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Llllle Perry and Deborah Perry v. Pmdential Securities Inc. and Davkl R. Grigsby Attorneys: For Claimant(s): Thomas N. RothschiM Esq. - Brooklyn, NY For Raspondenl(s): Donna Ross Daniels Esq. - New York, NY Davkl Grigsby - Wesley Hills, NY Date Filed: 10/27/94 First Sctieduled: 04^)6/95 Oecided: oa/io/ss instructions. Product: Market: failure to folki

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04545 William Gumming and Karen Wadsten Gumming, JT WROS Elizabeth Cumrning-Eiermann Richard W. Gumming Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Steven T. Flacco Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Gumming

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marvin Krasner v MerriH Lynch, Pierce, Fenner & Smith, Inc. Attorneys: - For Claimant(s): GeraM B. Cohen Esq. - Buffato, NY For Respondent(s): Daniel A. Taykir Esq. - New York, NY Date Filed: 10/28/94 First Sctieduled: 05/05/95 Decided: 05/24/95 Case Summary: Claimant alleges the member firm shoukl have known about the possibility of a takeover bkl and shoukl not hav

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Titania KarnevKh v Dean Witter Reynolds, Inc. and Anthony McCrimlisk Attorneys: . Fi)r Claimanl(s): Titania Karnevich - New Paitz, NY Fbr ResporxJent(s): John v. McCambley Esq. - Wyckoff, NJ Date Filed: 10/17/94 First Sctieduled: 06A)2/95 Decided: O6/02/95 Case Summary: Claimant alleges registered representative purchased unsuitable stocks, mismanaged claimant's

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mars International Investments Inc. v Prudential Securities Inc. Attorneys:.- For ClanTnnt(s)-. Muhammad Rahman, Preskient - Dallas, TX For Respondenl(s): Charles B. LaChaussee Esq. - New York, NY Date Filed: 10/13/94 First Sctieduled: 03/07/95 Decided: 03/10/95 Case Summary: claimant alleges that the firm tost its stock certifnate and the k)ss of the certificate pre

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: {.^wrence J. Oberprlller end Shirley A. Ot)erpriller v. Piper, Jaffray & Co. Attorneys:- For Claniant(s): Lawrence J. Otwrprlller - Hot Springs, SD For Respondenl(s): Mark S. Reed - Minneapolis,, MN Date Filed: 10/25/94 First Scheduled: 5/3/95 Decided: ^^^^^^ Case Summary: claimant alleges failure to disclose informatnn regarding UNISYS Corporation and neglig

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. James F. CottreH Attorneys: For daimants): Christopher Freeze Esq. - New York, NY Fbr Respondents): James F. CottrdI - SomervHto, NJ Date Filed: 10/31/94 Case Summary: Member firm $4,365.00. First Sctieduled: 04/28/95 against former registered representetive for breach of Product: promissory Decided: 09/28/95 note

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Etefthenos FUrakis v Prudential Securities Attorneys:.. For Ctainiant(s): Elef G. Fitrakis - New York, NY Fi>r Respondent(s): Mary La Manna Uirich Esq. - New York, NY Date Filed: 10/20/94 First Sctieduled: 04/17/95 Decided: Case Summary: claimant altoges that Respondent made an error in his account and has failed to mdify the Product: Market: 04/25/95

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shari Ann Pollack on bahelf of Israd Pollack as Guardien tor Amy Pollack vs. Smitti Bamey Sheerson vs. Medeldne PoHack end Amy Pollack Attorneys: For Ctaimant(s): Shari A. Pollack - North Miami Beach. FL For Respondenl(s): Linda R. Alpen Esq. - New York. NY For Srd Perty: Madetoine and Amy PoHack - Ft. Lauderdato. FL Date Filed: 10/18/94 First Sctieduled: 6