New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Terry Amman v Shearson Lehman Brottiers and Gayto Osb'ander Attorneys: For Clainiant(s): Terry Auman - Bay CHy, Ml Fbr Re8pondent(s): Cristina A. Baiata Esq. - New York, NY Date Filed: 05/26/94 First Scheduled: 04/17/95 Decided: 04/2S«5 Case Summary: Claimant altoges that respondents failed to execute a trade as ordered. Product: Market: Ciaim Data Claim

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Wllljs v. Hauser v PaineWebber, Inc. and Prudential Securities, inc. Attorneys: For ClaJniant(s): James A. Stemmler Esq. - St. Louis, MO FOr Respondent(s): Altoe K. Jump Esq. - Weehawken, NJ Chartos B. LaChaussee Esq. - New York, NY Date Filed: 05/31/94 First Scheduled: os/os/gs Decided: 09/25/95 Case Summary: Ctoimant, a customer, has altoged that responde

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vtotor and Jane Haentze vs. Shearson Lehman Bros, and Paul Blasetti Attorneys: For Clainiant(s): Dan A. Druz Esq. - Sea Girt, NJ Fbr Respondenl(s): James S. Goddard Esq. - New York, NY Date Filed: 05/31/94 First Scheduled: 01/I8/95 Decided: November 29, 1995 Case Summary: customers vs. Member Firm and Registered Representative alleging fraudulent and deceitful sales

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Piper Jaffray Inc. v Kerry O'Shea Attorneys;. For Ctolniant(s): Fredrick D. Huebner Esq. - Seattle, WA For Respondent(s): Sklney J. Strong Esq. - Seattto, WA Date Filed: 04/25/94 First Scheduled: 11/15/94 Decided: 03/03/95 Case Summary: Member firms seeks a declaratton that it may lawfully discharge the respondent based on an allegedly false answer on the firm'

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gllda O'QuInn, Ludwell E. O'QuInn, Chance B. O'Quinn and Jodi L. O'Quinn v. Smith Barney Shearson fka Shearson Lehman Hutton Attorneys: For Ctoimant(s): Lionel Barnet Esq. - Mtomi, FL For Respondent(s): Madalyn A. Levy - New York, NY Date Filed: 05/20/94 First Scheduled: 11/9/94 Decided: 3/9/s; Case Summary: Ctoimants allege unsuitable investments incon

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bear Stearns & Company v. Michael Milligan Attorneys: For ClainnnKs): John M. Hannon Esq. - New York. NY For Respondent(s): Michael Milligan - Uniondale, NY Date Filed: os/i6/94 First Scheduled: 10/20/94 Decided: 04/20/95 Case Summary: Ctoimant, a member firm, alleges respondent, a registered representative and former emptoyee, breached the terms of a letter

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Brian clay Williams v J. C. Bradford & Company Attorneys: For Claimant(s): Charles H. Osterhoudt Esq. - Roanoke. VA For Respondent(s): Claude Ramer Esq. - Nashvllto. TN Date Fiied: 05/12/94 First Scheduled: 11/10/94 Decided: /-5-?5" Case Summary: Claimant alleges that Respondent terminated his employment in breach of his employment contract and in violatton of federa

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Raymond F. Pieper & Betty M. Pieper. as Trustees of the Raymond F. Pieper Trust v A.G. Edwards & Sons Attorneys:. For Clainnnt(s): Dantoi G. Vogei Esq. - St. Louis. MO Fbr Re8pondent(s): William S. Port Esq. - St. Louis, MO Date Fiied: 05/161^4 First Scheduled: 12/13^4 Decided: Case Summary: Claimant, a customer, has alleged that respondent made misrepresentati

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles P. Ripley v Rauscher Pierce Refsnes, Inc. Attorneys: For Ctaimani^): Norman Landa Esq. - Dallas, TX Robert A Satomon Esq. - Dallas, TX For Ra8pondenl(s): Greg May Esq. - Dallas, TX Date Filed: os/20/94 First Scheduled: 01/24/95 Decided: 4-18-95 Case Summary: claimant alleges that Respondent firm failed to pay him commiss.tons due on the sato of mu-nic

ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Badgett, Claimant v. R.H. York & Company, Inc., J.B. Oxford & Company, Glen A. Galemmo, Richard Hughes, Lawrence St. John York, and Gregory A. Pitner, Respondents Case Number: 01-04527 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: For Respondent R.H. York & Company, Inc. For Respondent J.B. Oxford & Company: For Respo