New Yoric Stock Exchange In the Matter of Arbitration Between NYSE Case: Girard S. Havitand and Jane A. Haviland v. Paine Webber Attorneys: For Ctalmeni(s): Girard S. Havitand - Naples, ME For Respondent(s): Joseph F. GenerdH - Weehawken, NJ Date Filed: 10/20/94 Case Summary: Ctaimam eltoges failure to First Sctieduled: 3/2/95 Decided: ^^^^^^ follow instrucltons and transfer essets resulting in tax consequences. Product

ly New Yoric Stocic Exchange In the Matter of Arbitration Between NYSE Case: /Vnthony and Annette Ratto v Fiddity Brokerage Services, Inc. Attorneys: For CtaimBnt(s): Richard W. Copion Esq. - Newark, NJ For Respondents): Matthew Farley Esq. - New York, NY Date Filed: 10/26/94 First Scheduled: 04/20/95 Decided: 05/15/95 Case Summary: Claimant, a customer, has alleged that respondents engaged in fi'aud, breach of conb'ad and ftoudary d

New York Stock Exchange NYSE In the Matter of Arbitr^ion Between Case: JoaSfliSaninBan and EMiynBanmsonv Dean WmarRBynokli and James Qam Knowisa Attorneys: For CtaieaHiK}: Anttiony V. Trogan Esq. - Binninghain. Ml FOrHs^iandBnlM: Wanly R. Roblmon Esq. - San FrancHoo, CA Date Fiied: IOAWM First Sctieduled: dseaas DflckM: osaa/B5 Case Summary: CtoinMi« alege ttnt the Ri^xMidMils BDU Clalimnlt-shares wUwu auttnrinlkM Product: COMMOO

t Award NASD In the Matter of the Arbitration Between: Marshall and Sandra Pearlman, Claimants v. D.H. Blair & Co., Inc., Adam Lederman, J. Morton Davis, Kenton Wood, Kalman Renov, Alan Stahler, and William Badinelli, Respondents Case Number: 01-04543 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Marshall and Sandra Pearlman, hereinafter referred to as "Claimants": Darren C. Blum, Esq., Plantation, FL. For Respondents D.H. Blai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Isaac J. Tarasuto vs. Waterhouse Securities, inc. and Robert Bdlman Attorneys: For Ctaimant(s): Dan A. Druz Esq. - Sea Girt, NJ For Ftospondent(s): Theodore A. Krebsbach Esq. - New York. NY 'WtW Date Filed: 10/19/94 First Sctieduled: 06/01/95 Decided: Case Summary: Customer vs. Member Firm and Registered Rep aHeging fraud, neghgence, breach of fidudary duty, brea

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Richard W. Gordon Rollover IRA Acd. v A.G. Edwards & Merit >Mton Attorneys: For Claimants): FIrmin A. Puricdh Esq. - Ctayton, MO For Respondenl(s): William S. Port Esq. - St. Louis, MO Date Filed: 09/27/94 First Sctieduled: Case Summary: Ctaimant, a customer, has alleged that respondent account thereby causing addittonal tex liability. Product: EQU Decided

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Surt>jit Slngh v. MerriH Lynch Pierce Fenner Smith Inc. Attorneys: For Claimanl(s): S. Aftab Sharif Esq. - Houston, TX For Ftospondent(s): Charles L. Henderson Esq. - New York, NY Date Filed: 10/17/94 First Sctieduled: 03/22/95 Decided: os/io/gs Case Summary: Claimant, a publto customer, alleges respondent, a member firm, engaged in unautiiorized transactions with re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Annabel (/Vnn) Keely v Merrill Lynch, Ptorce, Fenner & Smith, Inc. Attorneys: For Clainiant(s): Jonattian R. Nelson Esq. - New York, NY f=br Respondent(s): Brad S. Maistrow Esq. - New Yorit, NY Date Filed: 09/30/94 First Scheduled: 05/22/95 Decided: 12-19-95 Case Summary: claimant alleges ttwt die account executive at die respondent firm induced her to sdl ATT an

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: E. Barry Kline, Trustee of Buitoers EmporUim UTD v MerrUl Lynch Attorneys: For Clainiant(s): Danid E. Chase Esq. - Trenton, NJ For Respondents): Danei A. Dotan Esq. - New York, NY Date Filed: 10/03/94 First Sctieduled: 05/I8/95 Oecided: 10/10/95 Case Summary: Ctaimant alleges that the firm was negligent in ttiat it failed to locate the claimant's shares which resulte

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\nne S. Holland v PaineWebber, Inc. Attorneys: For ClaJmanl(s): L. Bruce McDaniel Esq. - Raleigh, NC For Respondent(s): James E. Farnham Esq. - Rtohmond, VA Date Filed: 09/30/94 First Sctieduled: 03/21/95 Decided: 05/10/95 Case Summary: Claimant altoges ttiat Respondeni failed to disclose matertol information, issued false statements, made b-ansaaions with