New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bear, Stearns & Co., Inc. v Scott T. Wiley Attorneys: For Clain»nt(s)'. Daniel S. Taub Esq. - New York, NY For Respondenl(s): Scott T. Wiley - Basking Ridge, NJ Date Filed: og/02/93 First Sctieduled: O6/28/94 Decided: 01/13/95 Case Summary: claimant, a member firm, alleges that Respondent failed to pay the balance due on a note in accordance with the terms of the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PnJdenwl Securitiea, Inc. v. Dean Svigos Attorneysu RjrCtaimanKs): Stevan Gomberg Esq. - Chtoago, IL ror I naponoanis). Dean Svigos - Wilmetta, IL Date Filed: O8/06/93 Rrst Sctieduled: 04/28/94 Oecided: 3f^° ii^ Case Summary: Member unn agamst fonner registered representative for breach of promissory notes and debit balances in account tor saitianwnl of c

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: AUe Nurses. Inc. and/or Rtohard J. Smykto v. Larry Bishop, Bear, Steams & Co. Inc.; and Oppenheimer & Co., inc. Attorneys:- For Clainiant(s): H Thomas Fehn Esq. - Los Angeles, CA Fw Respondent(s): Joseph S. Schuchert Esq. - Long Beach, CA Date Fiied: 08A)2/93 Case Summary: customer First Sctieduled: 05/10/94 Oecided: shh^ Product: Market: Claim Da

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: A. G. Edwards & Sons Inc. v. Robert B. Wetoh Attorneys:.. For Claimant(s): Clay L. Grumke Esq. - St. Louis, MO For Respondenl(s): John C. Reynotos Esq. - New Orleans, LA IDate Filed: 07/20/93 First Sctieduled: 02/23/94 Decided: 03/15/95 Case Summary: aaimant alteges that Respondent breached his agreement with Claimant and seeks indemniftoatton for tosses tt sustained

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Mllo S. Sampson M.D. v. Oean Wttter Reynotos Inc. Attorneys:. For Claimant(s): Milo Sampson M.D. - Bronx, NY For Respondent(s). Ellen Fong Esq. - San Francisco. CA Date Filed: 05/I8/93 First Sctieduled: 04/29/94 Decided: 5-/30 i%^ Case Summary: Claimant alleges that a $500 sales commisston was charged retroactively to 1992 for ttw sato of two shares

New York Stock Exchange In the Matter of Arbitration Between iy NYSE Case: Kent Duncan v. Kemper Securities, Gregory Terrei Garrott, and John Roffoni Attorneys: For Clainiant(s): Philip A. Kramer Esq. - Los Angeles, CA Fbr Respondents): Jon L Rewinski Esq. - Los Angeles, CA n\^^[< ^s Date Filed: 03/12/93 First Sctieduled: 02/16/94 Decided: Case Summary: ctoimam aHeges that Respondenrs misrepresenlations caused him signiftoant toss

L^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Haroto Finstad v Shearson Lehman Brothers, Inc., Debbie Haines, /Vrthur Kieval, /Vndrew Shea and M. Davto Standrtoge Attorneys: For Clalniant(s): Jon M. Wagner Esq. - Houston, TX For Respondents): Jack D. Ballard Esq. - Houston, TX Date Filed: 03/15/93 First Sctieduled: 02/01/94 Decided: y_^^_ ac" Case Summary: claimant, a registered representative and former

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary K. Spiridigliozzi and Eleanor Sperry, (Claimants) vs. Bear Stearns Securities Corp. and Marco Carnevale, (Respondents) Case Number: 01-04511 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Mary K. Spiridigliozzi ("Spiridigliozzi") and Eleanor Sperry ("Sperry"), hereinafter collectively referred to as "Claimants": Andrew J. Tine, Esq., Haese LLC, Boston,

New York Stock Exchange In the Matter of Arbitration Between Case: Grumal & Co. Incorporated v. Janice Foreman Attorneys: For Clainmnl(s): Rtohard I Janvey Esq. - New York, NY For Respondenlts): Janice Foreman - Chtoago, IL l^[?v Date Filed: 02/22/93 First Sctieduled: 03/21/94 Decided: l^ Case Summary: Member firm alleges registered representative defaulted in repayment of a promissory note based on her continued emptoyment with

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Julto Cruz Olmo V PaineWebber, Inc. & Rafael Gonzatoz Attorneys: - For Claimanl(s): Pedro A. Jimenez Esq. - Hato Rey, PR For Raspondent(s): Guillermo J. Bobonis Esq. - San Juan, PR Date Filed: 01/26/93 First Sctieduled: 07/26/94 Decided: 05/19/95 Case Summary: Claimant, a customer, has alleged that there were unauthorized trading in his account and the value of the a