New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ahmed Shaaban and Aimen Shaat>an v Financial Clearing & Servnes Corp., and Rauscher Pierce Refnes, Inc. Attorneys:.. For Claimant(s): Quinton F Seamons Esq. - Chicago, IL For Respondent(s): Will S. Montgomery Esq. - Dallas, TX Mark Quinn Esq. - New York, NY Date Filed: O8/19/91 First Sctieduled: 09/24/92 Case Summary: Customer against Member Firms for failure to foll

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfonso Fernandez Cruz v Prudential Bache Securities, Inc. Attorneys:.. For Clainuuit(s): Maria H. Sandoval Esq. - Hato Rey, PR For Respondent(s): Cartos Bobonis Esq. - San Juan, PR Guillermo Bobonis Esq. - San Juan, PR Date Filed: 07/24/9i First Sctieduled: 07/29/92 Decided: 4/7/95 Case Summary: aaimant, a registered representative and former empkiyee, alleg

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Robert T. SimmeHtjaer and Gtoria F. Simmelkiaer v. Wheat First Butcher Singer, John Cartwright and James D. Roulhier Attorneys: For Clainwnt(s): Robert T. Simmelkjaer Jr. - Haworth, NJ For Respondent(s): Jonathan M. Harris Esq. - Richmond, VA Date Filed: 01/03/1997 First Sctieduled: 07/22/1997 Decided: 10/01/1997 Case Summary: claimants, puUk: customers, allege breach of fid

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Bamey Inc. v. Teri Black Morin Attomeys: For ClaimantCs): Marc S. Dobin Esq. - West Pabn Beach, FL For Ra8pondent(s): Teri Black Morin - Satellite Beach, FL Date Filed: 09/23/1997 First Sctieduled: 12/12/1997 Decided: 12/12/97 Case Summary: Memberfirm claimant alleges breach of contract, wrongful retention and conversion of shares of 'American Greetings' and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam 0. Kenvln & Carol A. Kerarin v. U. S. Clearing Corp. Attorneys: For Claimant(s): William 0. Kerarin - Broomfiekj, CO For Respondent(s): Douglas S. Flaherty Esq. - New Yoric, NY Date Fiied: 10/10/1997 First Sclieduled: 12/18/1997 Decided: 12/18/97 Case Summary: Customer claimant alleges sale of 60 contracts of Homestake Mines at incorrect price. Product: E

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Theodore A Spiewak and Patricia A. Spiewak vs. Smith Bamey, Inc., Gregory KIpple and Cynthia Kipple Attorneys: For Clalmant(s): Theodore A Spiewak - Doylestown, PA For Respondent(s): Ann Pany Esq. - New York, NY Date Filed: os/i 9/1997 First Scheduled: 12/08/1997 Decided: 12-12-1997 Case Summary: Claimants allege that the Respondents misrepresented the dividend y

New York Stock Exchange In the Matter of Arbitration Between NYSE (kM: r^udartiai SoourtiBS inoarporaMd V JMIny LMiowald Attorneys: Brant A Bum EK). - CNcaoo. U. RiDhHd R. Nskon Esq. ^PMwgh. PA Joe YabknM E9q. - Waalwigian, PA Date Filed: or/anM? Hrst Scheduled: 0022(1997 Decided: oaoange? CaM Summary: Ctabmut CMmann pranriNi, and aaaks I Respondsnt tnaolMd Ms Mnng •ndlnjudkieraM. by froni CMfflOtia Claim: $14

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: MaryAnn Cabibbo v. J.W. Charles Securities Inc. Attorneys: For ClainianKs): MaryAnn Cabibbo - Hackensack, NJ For RespondenKs): Charles E. Scarlett Esq. - Boca Raton, FL Date Filed: 07/07/1997 First Sctieduled: 09/25/1997 Decided: 09/29/1997 Case Summary: claimant, a public customer, alleges that Respondent, a member firm, withheld transfer charges h-om her account wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith A. Swerling, et al. v. CIBC World Markets Corp. and Robert Stringer Case Number: 01-04509 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Dr. Judith A. Swerling IRA Swerling Living Trust Judith A. Swerling, TEEE For Respondents: CffiC World Markets Corp. Robert Stringer David E. Rosen, Esq. O'Neill Lysaght & Sun LLP

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Lester vs. Olde Discount Corporation Attorneys: For ClaimanKs): Wnriam M. Rishol Esq. - Winter Park, FL For RespondenKs): Howard M. Klausmeier Esq. - Detroit, Ml Date Filed: 07/03/1997 First Sctieduled: 10/15/1997 Decided: 10/16/1997 Case Summary: Customer vs. Member Firm alleging that the respondent failed to provide brokerage services t>ased upon daimartt g