y w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Klrstin A. Eddings and /\manda G. Eddings v. and A.G. Edwards & Sons, Inc. Attorneys: For Clainnnlfs): Van E. McFariand Esq. - Houston, TX For Respondan(s): Stephen Sneeringer Esq. - St. Louis, MO Date Filed: 12/17/93 First Scheduled: 11/O8/94 Decided: 10-18-95 Case Summary: Customers allege a breach of fiduciary duty and failure to supervise in connection wi

y^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jonathan Lehrer-Graiwer and Shelah R. Lehrer-Graiwer v. PaineWebber Inc. Attorneys: Fi>r Claimant(s): Jonathan Lehrer-Graiwer Esq. - Los /Uigeles, CA Fbr Respondent(s): Katiiy L. Krebs Esq - Los /Vngeies, CA Decided: October 10, i99b Date Filed: 10/20/93 First Scheduled: 09/13/95 Case Summary: Claimants, public customers, allege misrepresentatnn and unsuitabil

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kemper Securities vs. Milton Bames, Jeffrey Kramer, Lawrence Lett and Thomas Weissenborn vs. John JeOar Attorneys: For Clainiant(s): Diane C. Fischer Esq. - Chicago. IL Fbr Respondent(s): Loren Molever Esq. - Phoenix. KL. For 3rd Party: John Jetter - Phoenix. /VZ Date Filed: 11/08/93 First Scheduied: 03/09/94 Decided: 11/02/95 Case Summary: Respondent b

y New York Stock Exchange in the Matter of Arbitration Between NYSE Case: John Salconi vs. Ferris Baker Watts, Inc., Donna Mislak and R. Michael Dougherty Attorneys: For Clainianl(s): Thomas Klein Esq. - Baltimore. MD For Respondent(s): Theodore W. Urban Esq. - Washington, DC Date Filed: 11/01/93 First Scheduled: os/i0/94 Decided: 01/I8/95 Case Summary: Customer vs. Member Firm and Registered Reps alleging that Respondents advised hi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salvatore Cosenza v Shearson Lehman Brothers Inc. and Nathan GoM Attorneys: For Clainiant(s): Edmund S. Pun/es Esq. - Larchmont, NY For Respondent(s): William Oishan Esq. - New York, NY Date Filed: 10/21/93 Case Summary: claimant Bean at an appropriate time. alleges a loss First Scheduled: O6/13/94 on the sale of 5,000 Carolyn Bean on Product: EQU Oct

.^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Evelyn Clarkson v. Merrill Lynch Securities Attorneys: For ClainfMnt(s): Patricia A. Shub P.A. - Ft. Lauderdale, FL For Respondent(s): Max J. Sabo Esq. - Miami, FL Date Filed: 10/18/93 Case Summary: Customer v. Member Firm - fiduciary duty, failure to supennse and negligence First Scheduled: 11/16/95 claimant alleges unsuitable purchases In Product: P-SH

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: [}onakl Suess v. Prudential Bache, Bear Steams, James Mickabon, Betty Mickebon and Anthony InfanlinI Attorneys: For Clainianl(s): Daniel E. Laitman Esq. - New York, NY Christopher Lomentti Esq. - New York. NY Fbr nospondonHs): Bennen Falk Esq. - Miami, FL Mihal Nahari Esq. - New York. NY /Mrew Sklman Esq. - New York. NY Date Filed: 09/03/93 First Scheduled

New York Stock Exchange In (he Matter of Arbitration Between NYSE Casa: Lso Boyajan * Joy Boyajan v JoMphihai Lyon & Ross Ineorporatgd & JUIMB OusBracehi A RoiMn Calasiino Attorneys: FerCUmM(s): Lnwanoa P. MeCwthy. Ill Esq. - Providonco. RI For Raipondani(B): Robert E. Murphy Esq. - New York. NY For 3nl Party: Robsil Celosiino - Bortoa IMA Date Filed: ou22W Hrst Scheduled: 03/11/94 Decided: 3/14/95 Case Summary: Claimants allage

New York Stock Exchange In the Matter of Arbitration Between L NYSE Case: Oanlel J. Loughran v Wheat, First Securities, Inc. Attorneys: ^ For Claimantis): Charles Williams Esq. - Richmond, VA For Respondent(s): James E. Farnham Esq. - Richmond, VA Date Fiied: oo/os/os First Sctieduled: 05/25/94 Decided: 7/21/95 Case Summary: Claimant alleges that Respondent breached the terms of his compensatkin agreement. Claimant seeks monetary dam

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Keirsbiick v /Vdvest, Inc. and /Vnthony Nicoletti Attorneys: For Clainiant(s): Henry Williams Esq. - Pittsford, NY For Respondent(s): Paul K. Stecker Esq. - Buffalo, NY Date Filed: 09/09/93 First Sctieduled: 05/26/94 Decided: 02/06/95 Case Summary: claimant alleges the respondents invested in a manner opposed tc his investment objcctivos. These investments Inc