y y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eleanor M. Ferebeev Jeff Leader Attomeys: For Claimant(s): Kelley 0. Moye Esq. - Raleigh, NC For Responclent(s)'. Cory Hohnbaum Esq. - Chariotte, NC Date Filed: 03/03/1997 First Scheduled: 09/24/1997 Decided: 12/11/1997 Case Summary: Claimant alleges that Respondentmade unauthorized and unsuitable trades and chumed in her account. Product: EQU Mar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan K. Shapiro as Custodian for Sara Shapiro and Susan K. Shapiro as Custodian for Madison Shapiro, (Claimants) vs. Tucker Anthony Incorporated and Geoffrey Fiszel, (Respondents) Case Number: 01-04497 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Susan K. Shapiro as Custodian for Sara Shapiro ("S. Shapiro Custodial") and Susan K. Shapiro as Custodian for

^ ^^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated, v. Steven Maurer Attomeys: For Claimant(s): David W. Schmidt Esq. - Kenilworth, NJ For Respondent(s): James A. Geller Esq. - West Caldwell, NJ Date Filed: 02/24/1997 First Sctieduled: 09/30/1997 Decided: 12/16/1997 Case Summary: Member firm against former registered representative fbr balance due on a promissory note, $27,750.

y New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Gmntal & Co., Inc. v. Adam Reback Attorneys: For Cla>nant(s): Davto Schmklt, Esq. - New York, NY Fbr Respondents): Adam Reback - New York. NY Date Filed: 02/I8/1997 First Sctieduled: 09/23/1997 Decided: 09/23/1997 Case Summary: Member firm against former registered representative for breach of a promissory note - $8,000 plus Interest at the rata of 16% and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated v. Timothy Corbett Attorneys: For ClaiinBnl(s): Shari Amster Esq. - Philadelphte, PA For Re8pondent(s): Timothy Corbett - Philadelphte, PA Date Filed: 02/21/1997 First Scheduled: 07/10/1997 Decided: 7-31-1997 Case Summary: Member firm alleges that registered representative failed to repay the batence due on a promissory note arxl Nqudat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporatedv. Clifford Popper Attorneys: For Claimantls): Ronato Shindter Esq. - Mtemi. FL For Respondent(s): Dirk M. Smits Esq. - Boca Raton, FL Date Filed: 02/18/1997 First Sctieduled: 08/21/1997 Decided: 12/10/97 Case Summary: Memberfirm claimant alleges breach of employment agreement and nonpaymentof promissory note; claimant seeks agreed-upon

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated v. Joseph Perates Attorneys: For ClaJnnnt(s): Pasquale J. D'Orsi Esq. - Boston, MA Fbr Respondents): Joseph Perates - Rumford, RI Date Filed: 02/21/1997 First Sctieduled: 07/11/1997 Decided: 07/11/1997 Case Summary: Member firm claimant alleges breach of employment agreement and nonpayment of promissory note and nonpayment of commission

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated v. John Hantey Attorneys: For Claimanl(s): Thomas M. Mterswa, Jr. Esq. - New York, NY For Respondent(s): John Hanley - Ft. Lauderdale, FL Date Filed: 02/21/1997 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 Hqudalad damages. P

New York Stock Exchange In the Matter of Arbitration Between PiYSE Case: Ralph E. Nines and Billie M. Mines v. Merrill Lynch Ptoroe Fennar Smith Ine. Attorneys: For Claimanl(B): Ralph E.Hinas-BPaao,TX For Raapondeni(s): Maura T. KeHy Esq. - Naw York, NY Date Ried: 02/10/1997 Case Summary: plus intarast. Claimant, 1 1 publto customer. First Scheduled: alteges Respondent's Product: 05/16/1997 Deckled: detay in d

y New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joseph P. Grey v. Waterhouse Securities, Inc. Attorneys: For Claimant(s): Joseph Grey - Dallas, TX Fbr Respondent(s): Robert H. Neiman Esq. - New York, NY Date Filed: 02/04/1997 First Sctieduled: 06/10/1997 Decided: 7-7-1997 Case Summary: claimant alleges that the firm wrongfully Ikjuidated a position in Boeing Co. in vtolation of the brokerage accoun