New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sutro & Co. v Robert Kernwds and Greg Sklar Attorneys: For Ctoimanfs): Thomas J. Kavaler Esq. - New York. NY For Respondenfs): Mtohael D. Dempsey Esq. - Los Angeles, CA Date Filed: O8/10/94 First Sctieduled: 04/25/95 Decided: 08/07/95 Case Summary: claimant, a member firm, has alleged ttwt respondents hava faitod to repay money due as a resutt of a production bonus,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fredrtok J. Aley v Prudenttol Securtties, Inc. and /Ufred Capuzzi Attorneys: For Ctokiwnfs): Christopher C. Fountain Esq. - Greenwtoh, CT For Respondent's): Gerard J. Kowalski Esq. - New York, NY Date Filed: 08/10/94 First Sctieduled: 02/09/95 Decided: 02/09/95 Case Summary: claimant altoges that respondent made an unsuttabto recommendation for ttw purchase of Soutti

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Robert Fehrman v Advest, Inc. and James Dobberstein and Danid Mc/Vuliffe Attorneys: For Clainwnfs): FIrmin A. Puricelli Esq. - ST. Louis, MO For Respondent(s): Sherri C. Strand Esq. - St. Louis, MO Date Filed: ; 08/09/94 First Scheduied: 12/14/94 Decided: 12/27/94 Case Summary: claimant, a former registered representative, has alleged ttiat respondents made defamatory st

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Alan M. Silverman v. Ladenburg Thalman & Company Inc. Attorneys: For Ctoimartt's): Alan M. Silverman - New York. NY For Respondenfs): Norman S. Lawi Esq. - New York, NY Date Filed: 08/16/94 First Sctieduled: 02/01/95 Decided: 7/14/95 Case Summary: claimant, a registered representative and former employee of Respondent, a member firm, alleges Respondent failed to pay commissi

iVew York Stock Exciiange In the Matter of Arbitration Between NYSE Case: Dominick V. Tropea and Nancy I. Tropea v First Albany Corp. and Frank Netti Attorneys: For Clainianfs): Dominick V. Tropea - Liverpool. NY f=br Respondenfs): Arttiur F. Dtoker Esq. - Albany, NY Date Filed: 08/15/94 First Sctieduled: 01/04/95 Decided: 01/13/95 Case Summary: Claimants seek damages for a toss incurred as a resutt of an altoged unsuttabto invastment In

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rolf P. Kauka v Smtth Barney Shearson, inc. Attorneys: Fiir Clakrnnfs): Stephen J. Kapton Esq. - Albany, GA For Respondenfs): Ellen Slipp Esq. - New York. NY Date Filed: 08/03/94 First Sctieduled: 02/01/95 Case Summary: claimant altoges ttiat Respondent breached ttieir agreement by Product: EQU Decided: 11/10/95 engaging in unauttiorized transactions. Mar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: oppenheimer a Co., Ino. v Stephen Burgess Attorneys: ForClaimuiM: Joa^ih P. Kennan Esq. - Garden City, NY For HiipeidMlM: Stephen Burgess - Cliarloita, NC Date RIed: 08«s»4 First Sctieduled: 02A2«S Case Summary: ctoimant altoges ttnt Respondem Med to repay two pramissory termination ef his emptoyment wMi CtolRwnt. Product: PROMISSORY NOTE Deckled: os/or/ss

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: DavU T. shipper v. Retoh & Company Inc. and Fahnestock & Company inc. Attorneys: ,- For Claimanfs): John L. /Vmabito Esq. - New York. NY For Respondent's): George Brunelto Esq. - New York. NY Erk: Shames Esq. - New York, NY Date Filed: 08/04/94 First Scheduied: 12A)6/94 Decided: Case Summary: claimant, a registered representative and former employee of respon

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: James G. Berdusis v. Fktoltty Investments; Fiddtty Brokerage Servtoes, Inc. Attorneys:. For Ctaimant's): James G. Berdusis - Orland Park, IL Fbr Respondenfs): Susan J Mager Esq. - Chicago, IL Date Filed: 08/02/94 First Sctieduled: 04/24/95 Case Summary: Ctoimant alleges that he suffered losses as a resutt of Respondent's Product: EQU Decided: 04/24/95

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Louise Frances Allen Dean v Smtth Barney Incorporated (f/k/a) Smtth Barney Harris Upham & Company Incorporated and James Ring Attorneys: For Ctaimant's): Jordan W. Siev Esq. - New York, NY For Resporxtonfs): William A. Hohauser Esq. - New York, NY Date Filed: 08/03/94 First Sctieduled: 02/16/95 Decided: O8/16/95 Case Summary: Claimant alleges that Respondents made misrepresentat