y .4ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Red Rock Trading v Prudential Securities, Inc. Attorneys: For Clajniant(s): Oleg Rivkto Esq. - New York, NY f=br Respondenl(s): Donald R. Levine Esq. - New York, NY Date Filed: O8/31/94 First Sctieduled: 04A)4/95 Decided: 06/07/95 Case Summary: claimant, a non-member firm, has altoged that respondent failed to return certain funds after the termination of

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Robert and Barbara Rivdl v Smitti Barney Shearson, Alan Scepkowski, Robert Baity, Jeffrey Mark, Robert Calabrese and John Does 1-100 Attorneys: For Ctalnwnl(s): Avrom J. Goto Esq. - West Orange, NJ For Respondeni(s): Davto S. Frtodman Esq. - New York, NY Date Filed: 09/O6/94 First Scheduled: 05/09/95 Decided: 11/09/95 Case Summary: claimant, a customer, has alt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard M. & Nancy Johnson v Prudential Securittos, Inc. and Paul W. Majane Attorneys: For Clainwnt(s): Edmund S. Pun/es Esq. - Larchmont, NY For Respondent(s): John M. Powers Esq. - New York, NY Date Filed: O8/29/94 First Sctieduled: O6/06/95 Decided: 11/15/95 Case Summary: Claimant, a customer, has alleged that respondent executed unauthorized ti-ades in several st

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Martin Newmark v York Securities Inc. Attorneys: For Clajnwnl(s): Martin Newmark - Brooklyn, NY Fbr Respondenl(s): David J. Corcoran Esq. - New York, NY Date Filed: 08/30/94 First Sctieduled: 02/16/95 Case Summary: Claimant, a customer, has alleged that respondent dto not provtoe Bank rights offering. Product: EQU information Decided: 02/16/95 in a ti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc., (Claimant) vs. Michael J. Bernstein, (Respondent) Case Number: 01-04537 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantone Research, Inc., hereinafter referred to as "Claimant": Frank Napolitano, Esq., Sr. V.P. & Director of Compliance, Cantone Research, Inc., Tinton Falls, NJ. Previously represented by: Steven M. Gerstel, Esq., CFO

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Sallyanne Nurge v Norman V. Lind and Lind & Co. Attorneys:. For Claimants): John E. Lawtor Esq. - Garden City, NY For Respondent(s): Mtohele D. Forziey Esq. - New York, NY Date Filed: 09/22/94 First Sctieduled: 03/07/95 Decided: 05/17/95 Case Summary: claimant, a limited partner, has alleged that respondent breached the Limited Partnership Agreement and Cash Su

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: VHo & Josephine Insinga v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Ctalniant(s): Josephine Insinga - Southampton, NY For Respondent(s): Howard G. Meyers III Esq. - New York, NY Date Fiied: 09/22/94 First Sctieduled: 03/28/95 Decided: 05/23/95 Case Summary: Claimants, customers, have alleged that the purchase of a Corporate income Fund, Coltateralize

3w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Unda A Van de Wint Jorgersen v. Advest Attorneys: For Cleinwnl(s): Limja A. Van de Wint Jorgensen - Hartford, CT Fbr^KJiaefes?*^"^^- ^^'l- - Hartford, CT Beverly W. Garofato Esq. - Hartford, CT Date Filed: 09/12/94 First Sctieduled: 4/21/95 DecMed: 8/14/95 Case Summary: Ctaimam altogea breach of emptoyment agreement, mlsraprasentation regarding ttw securing of a t

New York Stock Exchange In the Matter of Arbitration Between ty NYSE Case: Lehman Brothers, Inc. v Beta Asset Management, Inc. Attorneysi- Fbr Clainwnt(s): Bryan R. Williams Esq. - New York, NY Fbr Respondent^): Robert Stewart - Plainvtow, NY Date Filed: 09/06/94 Case Summary: claimant, a member firm, result of a debit balance in the account. First Sctieduled: 03/21/95 has alleged that respondent faitod to Product: make p

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: S.R. Masrl vs. Lashco, Inc. and Robert M. Pepper Attorneys: For Claimanl(s): Norman S. Lewi Esq. - New York, NY Fbr Respondenl(s): Rkdwrd A Miltor Esq. - New York, NY Robert M. Pepper - Staten Island, NY Date Filed: 09/20/94 First Scheduled: 02/O8/95 Oecided: 03/10/95 Case Summary: Member vs. Member Firm and Leased Member alleging failure to make toase paym