New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Daniel Peters and Betty Peters v Prudential Securtties Inc. and Joseph Lopresti Attorneys: For Ciaimant(s): Keary W. Bilka Esq. - Manttowoc, Wl FOr Respondenl(s): Patricif Gaffney Esq. - New York, NY Date Filed: 06/24/94 First Sctieduled: 06/06/95 Decided: 06/22/95 - ^ Case Summary: Claimant alleges he had losses resutting from Respondents' faikire to carry o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard S. Mewhinney. Jr. vs. Smith Barney Shearson Attorneys: For ClaimantCs): Leonard S. Mewhinney - Reddington Shores, FL Fbr Reepondent(s): Sean J. Coughlin Esq. - New York, NY Date Filed: 07/14/94 First Sctieduled: 11/11/94 Decided: OAmA/95 Case Summary: customer vs. Member Firm alleging misrepresentations regarding the taxability of certain stock bansactions in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: ninl Davit v Beer Steams * Co., Inc. Attorneys: FcrCWnurtd): Jimes T. White Esq. - Allenfai. GA Fbr RaapondanifB): Pwri W. SUVBn Esq. > Mtautt, GA Date Filed: 07/11/94 First Scheduled: oawi/es Decided: oa/ions Casa Summary: Claimant altoges ttwt Respondent traded to unsuitable secunties, faitod to disclose ttw risky nature of ttie securittes, and chumed to Claima

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Zelma L Rhoten and Clifford Rhotan v. Dean Witter Reynokls. Inc., William WHey and Brian Bowers Attorneys: For Claimants): Robert M. Sti'umor Esq. - Albuquerque, NM Fbr Respondent(s): Jay M. Cutter Esq. - San Francisco, CA Date Filed: 07/07/94 First Sctieduled: i/iQ/95 Decided: ././^^ Case Summary: aaimants altoge misrepresentation and unsuitability regarding 'Active Assets

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Brian Bertonazzi v Gruntal & Co.. Inc. Attorneys: For ClaJniant(s): Anttiony M. Fredelia Esq. - Somennlie, MA Fbr Respondent(s): Richard Janvey Esq. - New York. NY Date Filed: 07/11/94 Case Summary: Claimant reputetion. First Sctieduled: I2A}8/94 Decided: altoges breach of emptoyment agreement and failure to hire bank analyst resulting Product

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Visbal v. Bear. Steams & Co. Inc. Attorneys: For CtounmHa): Davki L. CasterHne Esq. - Los Angeles. CA Fbr Respondani< s): Steven M. GoMberg Esq. - Los Angelea, CA Date Filed: 07/11/94 First Sctieduled: 03/29/95 Deckled: ijuzfir Case Summary: Claimant altoges his termer emptoyer changed his guaranteed compensation and failed to provkto him witti support in

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Albert Fried & Co. v J.A. Celenteno Securities Corp. Attorneys: For Clalnwnt(s): John Vazzana - New York, NY For Re8pondent(s): Joseph A. Celenteno, Pres. - New York, NY Date Filed: 07/06/94 First Sctieduled: 02A)9/95 Case Summary: claimant alleges ttiat respondent failed to pay commisstons on Product: Decided: 02A)9/95 orders it ptoced with claimant on the t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Maria Sangollo v. McLaughlin Piven Vogel Securities Inc. Attorneys: For Ctolmant(s): Maria Sangollo - New York, NY For Respondent(s): Ira A. Cohen Esq. - New York, NY Date Filed: 07/07/94 First Sctieduled: 12/20/94 Decided: 06/07/95 Case Summary: claimant, a public customer, alleges respondent, a member firm, engaged in unauthorizerd trading with respect to investmen

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Arbie Rice and Dorothy Rice and 01-04529 Troy, Michigan WMA Securities, Inc., and Jeffrey M. Fraunhoffer REPRESENTATION OF PARTIES Arbie Rice and Dorothy Rice ("Claimants") were represented by Joel H. Kaufman, Esq., Farmington Hills, Michigan. WMA Securities, Inc. ("WMA") was represented by Brian T. McGorisk, Esq., Plunkett & Cooney, Flint, Michigan. Jeffrey

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gordon L. Szerlip v. Smith Barney Harris Upham & Company and Robert E. Moore Attorneys: For Ctoinwnt(s): Howard F. McGuire Esq. - New York, NY Arthur V. Neaton Esq. - New York, NY For (tospondent(s): Scott E. Kresch Esq. - New York, NY Date Filed: 07/05/94 First Sctieduled: 11/29/94 Decided: 01/27/95 Case Summary: claimant, a registered representative and former