New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herman V. Beury and June Beury vs. Dean Witter Reynolds and Cari J. Paters Attorneys: For Claimant(s): Christopher D. Warren Esq. - Philadelphia, PA For Respondent(s): C. Ctork Hodgson. Jr. Esq. - Philadelphia, PA Date Filed: 04/26/94 First Scheduled: 12/O8/94 Decided: 06/O8/95 Case Summary: Customers vs. Member Firm and Registered Rep alleging unsuitabto investment

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Redrto Hart v Josaphttiai Lyon & Ross, Inc. Attorneys: For Claimant(s): Lewis H. Rosenbaum Esq. - New York, NY Fbr Respondenl(s): Robert E. Murphy Esq. - New York, NY Date Filed: 04/19/94 First Scheduled: 12/01/94 Deckled: 01/13/95 Case Summary: Registered Rep vs. Member Firm. Ctoimant altoges respondent breached an emptoyment and wrongfully terminated him after

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: waiter B. McCracken v Prudential Securities, Inc. and Margaret Maul Attorneys: For Ctoiniant(s): John E. Dees, Jr. - Dallas, TX Henry Simpson. Ill Esq. - Dallas. TX For Respondent(s): Gilbert R. Serota Esq. - San Francisco, CA Date Filed: 03/17/94 First Scheduled: 12/07/94 Decided: ozma/as Case Summary: claimant alleges that Respondents violated their duty to rec

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Jacquelyn C. Larson v Olde Discount Corp. and Murray Carter Attorneys: For Ctoimant(s): Jacquelyn C. Larson - Cary, NC For R9spondent(s): Lisa S. Fildes Esq. - Detroit. Ml Date Filed: 03/21/94 First Scheduled: 02/15/95 Decided: 02/15/95 Case Summary: Claimant alleges that when she bought the shares of a fund, she was misled about the load fees she woukl be charged wh

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Marvin B. CIHfonl vs. Smitti Bamey Harris Upham & Company a/k/a Smith Barney Shearson Attorneys: For Ctobnanqs): Manin B. Clilferd - Chartotta. NC For RespondenKa): Ann Parry Esq. - New York. NY Date Filed: 03^7/94 First Scheduled: 11/07/94 Decided: 03/22/95 Case Summary: Cbhnant beltoves member fkni faitod to provide professtonal advtoe in recommending various

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Harvey P. Uteoh v. Wad Street Investor Sen/toes Attorneys: For CUmanl(s): Hanwy P. Uteoh - Bronx, NY por naiponasiii|S/. Charles R. Virginia Esq. - New York, NY Date RIed: 02/24/94 First Scheduled: 10/11/94 Decided: 12/29/94 Case Summary: Claimant altoges Respondent faited to pay him a bonus pursuant to his contrast, tiiat ha was fired for filing an arisitratio

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eli Prltzker, Sol Cooperstein and Jack Levin as Trustees for Penn Etoctric Supply Company Profit Sharing Pton vs. Marrill Lynch Ptorce Fenner & Smith, Inc., Merrill Lynch /\sset Management, Inc. and Belynda P. Stewart Attorneys: For Clain«nt(s): W. Thomas Tither Esq. - Philadelphto, PA For Respondent(s): Davkl C. Franceski, Jr. Esq. - Phitodelphto, PA Date Filed: 03/10/94

y. New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Keece Gertier Sales (Penston) v Prudenttol Bache Securities and Zev Zamir Attorneys :.- For Clainnnl(s): Charles Ira Epstein Esq. - Hackensack, NJ For Respondenl(s): Donna Ross Daniels Esq. - New York, NY Date Filed: 02/22/94 First Scheduled: O8/16/94 Decided: 03/O8/95 Case Summary: Claimant alleges that respondents persuaded it to purchase First Executive Co.

New York Stock Exchange In the Matter of Arbitration Between Case: Robert Berning and Evelyn Berning v. A.G. Edwards & Sons, Inc. and John Stuhrenberg NYSE Attorneys:.. For Clainiant(s): Rosemarto J Guadnoto Esq - Chicago, IL Fbr Respondents): David L. Reich Esq - Chicago, IL Date Filed: 01/26/94 First Sctieduled: 01/24/95 Decided: ^ ;io 1 Case Summary: Customer against member firm for fraud in connection witii purchase and sale of o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Mlice R. Wormser vs. Michael A. Stem Attorneys: For Clainiant(8): David E. Robbins Esq. - New York, NY Fbr Respondent(s): David Crystal Esq. - New Yorit, NY Date Filed: 02/03/94 First Sctieduled: 09/08/94 Decided: 02/14/95 Case Summary: Claimant alleges that Respondents forged her signature on a margin agreement, made unauttiorized and unsuitable trades and fail