New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard Corbin & Madeleine K. Corbin and Leonard Corbin TTEE U/WO Waltar Cohen v. Smith Bamey Attorneys: For CtainianKs): Leonard Corbin - Ridgefield, CT For RespondenKs): Ann Parry Esq. - New York, NY Date Filed: 06/09/1997 Rrst Sctieduled: 09/25/1997 Decided: 9/25/97 Case Summary: Customer claimant allege negligence and failure to provkle accurate and reliable into

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sandra Kaplus, individually and as Executrix under the Last Will of Eric J. Hess vs. Sheldon Grodsky, Grodsky Geduld, Ino. and tterzog i^eine Attorneys: For Ctaimnlfs): Howard L. Kaplus Esq. - South Orange, NJ For RespondenKs): Charles Christofilis Esq. - Jersey City, NJ Date Filed: 05/30/1997 First Sctieduled: og/04/1997 Decided: 09/04/1997 Case Summary: Exe

lew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Larry Mark Polsky/SEP/IRA vs. Okie Discount Cnrpnralkin Attomeys: For Ciaimant($}: Larry M. Polsky Esq. - Daytona Beach, FL For itespondent(s): Howard Klausmeier Esq. - Petrolt. Ml Date Filed: 05/19/1997 First Sctieduled: 10/13/1997 Decided: 10/29/1997 Case Summary: Customer vs. Member Firm alleging misrepresentations and fraudulent indiinnmant lo have Claimant trans

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest Inc. v. John Saverio Anfuso Attorneys: For ClainnnKs): Barry J. Kronemer Esq. - Harttord, CT For RespondenKs): John Saverio Anfuso - Hollywood, FL Date Fiied: 05/14/1997 First Sctieduled: 11/06/1997 Decided: 11/6/97 Case Summary: Member firm claimant alleges breach of employment agreement and nonpayment of promissory note and seeks raimfaursement for

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gmntal & Co., L.L.C. v. Linda Lauren Attorneys: For Clalmant(s): Ronald Shindler Esq. - Miami, FL For Respondents): Linda Lauren- Boca r%aton, FL Date Filed: 05/08/1997 First Sctieduled: 11/05/1997 Decided: 11/5/97 Case Summary: Member firm claimant alleges breach of employment agreement, nonpaymentof promissory note and liquidated damages, and seeks retum of com

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wlllard Warren, Adele Warren and C.fH. Cleworth & /Associates Employee Retirement Trust v Smith Barney Inc. and Judith Lev Attorneys: For Claimant(s): Jeffrey S. Stephens Esq. - Greenwich, CT For Respondentia): Sean J. Coughlin Esq. - New York, NY Date Filed: 05/12/1997 First Scheduled: 11/10/1997 Decided: 11/11/1997 Case Summary: Claimants, customers, have alleged t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Seourltles Inc v. Danial Fisher Attorneys: For CiBiniant(s}: Rawm Howard Reinhard Esq. - Chicago, IL For ftespondentfs): Ailichae) N. Onufrak Esq. - Philadelphia, PA Date Plied: 05/09/1997 First Sctieduled: os/ia/isa? Decided: 05/16/1997 Case Summary: Tha firm alleges that ttia rsgislsred reprasentativs left lis emptoy In vioiation of tiie Financial Adviso

"^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Olda Discount Conwratlon v. Craio VInarskv Attorneys: For Claitmnifs): Robert S. Anderson, Esq. - Detroit, Ml For RBspondanl(s): CrlBB Vinorsky - Buffato Grove, IL Date RIed: 04/29/1997 Rrst Sctieduled: DecWed: juiy 25, 1997 Case Summary: Member firm against customer for $1,709.37, tfie cost of cover for failure to pay for 300 Products. Claimant aHeges tti

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Principal Financial Securities, Inc. vs. Ali D. Eryurt Attorneys: For Clalniant(s): Francis M. Curran Esq. - Tampa, FL Fbr Re8pondent(s): Robert K. Savage Esq. - Tampa, FL Date Filed: 04/17/1997 First Sctieduled: 08/06/1997 Decided: 10/20/1997 Case Summary: Member Firm vs. Registered Rep (ex-empioyae) seeking to recover amounts allegedly dua under tfie terms of two p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Headwaters Capital, Claimant v. Morgan Stanley Dean Witter, Respondent Case Number: 01-04502 Hearing Site: San Francisco, California Nature of the Dispute: AMEX Member v. NASD Member REPRESENTATION OF PARTIES For Claimant: . David H. S. Commins, Esq. Allison Templeton, Esq. Commins & Templeton San Francisco, California For Respondent: Gilbert R. Scrota, Esq. Howard R