New York Stock Exchange In the Matter of Arbltratkm Between NYSE Case: Mark T. GHIOW V Whsai FM Butoher Singer Anomeys: FteCktoiM(i): J3hn T. Mahoras Esq. - ChartaOB, NC FarRaspottoanH: Jbhn Harris EM^ ' fiohniond, VA Date Filed: i2A7/igas First Sctieduled: osiosnwe Decided: oaoeneee Case Summary: Claimant olBi^ Ihat ftosponden made lawMlhorHBd trades tor his aeemn In Dpdens an^ faraMtnd M) tidiKtoiy duty owsd to CtaHnan. |nelaKMk,afid

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bin N. TSU V. Gruntal & Company Inc. Attorneys: For Clainnnt(s): Bill N. Tsu - Woodbury, NY F«r Respondenlfs): Frances T. Gluck Esq. - New York, NY Date Filed: 12/12/1995 First Scheduled: 04/i8/i996 Decided: 04/i8/i996 Case Summary: daimant, a publto customer, alleges Respondent, a member firm, retroactively Increased commisstons in prevtousiy settled ttXKles ; < i

New York Stock Exchange In the Matter of Arbitration Between Ly" NYSE Case: Dantoi W. BIgel v. Morton Lipton and Lipton, Caston & Company Inc. Attorneys: For Clainiant(s): William A. Rome Esq. - New York. NY For Itespondent(s): Brian Reis Esq. - New York, NY Date Filed: 12/14/1995 First Scheduled: 06/19/1996 Decided: 08/21/1996 Case Summary: claimant, and attorney's fees. alleges breach of a promise to pay a bonus. Claimant s

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securilies Incorporated and Edward C. Cole Attorneys: For Clainianl(s): Arttiur Baumgartner Esq. - New York, NY Fbr Respondents): Jeffrey L Zivyak Esq. - New York, NY Date Filed: 12/08/1995 First Scheduled: 06/07/i996 Decided: 09/09/1996 Case Summary: Member firm against former registered representetive for breach of a Financial Advisor in Training A

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ascher Studio Money Purchase Penston Pton - Peter Ascher v Dean Witter Reynolds Inc. and Robert E. Berg Attorneys: For Clainnni(s): Petor Ascher - Scarsdale, NY For Re6pondenl(s): James D. Yellen Esq. - New Yoric, NY Date Filed: 12/13/1995 First Sctieduled: os/i 1/1996 Decided: 7-31-1996 Case Summary: claimant, a customer, has alleged that respondent made materia

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: WilHam R. Crottiera v Intaratate/Johnson Lane Corporation and Mtohael Heam Attorneys: For C|aimu«(B): Edward L Murreta Eaq. - Baaulort. NC Fpf nBHMJi»toi«(B): George C. Covington Esq. - Chartolts. NC Date Filed: 12A)6/1995 First Sctieduled: oem/ieee Decided: 11/14^996 Case Summary: Claimiint alegas Ihat Reapondent Heam represented him as lagal counsal In an investiga

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smtth Barney Inc. v. Alberto Gonzalez Attorneys: For CiainKUil(s): John M. Megyesi, Esq. - New York, N.Y. For Respondent(s): Alberto Gonzalez - Coral Springs, FL Date Filed: 12/12/1995 First Sctieduled: os/oe/igge Decided: 6/6/96 Case Summary: Member Firm claimant alleges breach of contract and nonpayment of promissory note. Product: PROMISSORY NOTE Market:

L New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Albert Celeste Attorneys: For Clainnnl(s): Mark J. Atonso Esq. - New York, NY Fbr Respondenl(s): Sanford S. Kantor Esq. - New York, NY Date Fiied: 12/19/1995 First Sctieduled: 04/26/1996 Decided: 10/24/1996 Case Summary: Member Firm vs. Registered Rep (ex-emptoyee) seeking to recover amounts allegedly due under the terms of a promissory no

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. El Yousef Corporation Attorneys: For Claimanl(s): Linda A. Gallagher Esq. - Chtoago, IL Fbr Respondents): El Yousef Corporation - Tarzana, CA Date Filed: 12/20/1995 First Sctieduled: 05/14/1996 Decided: June 17, 1996 Case Summary: Member firm against respondent for debit to account $7,389.95. Product: FUTURES Market: Claim Da

/y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. Mojdeh Harari Attorneys: FOr Clairnsmts): Linda A. Gallagher Esq. - Chicago, IL For Respondents): Mojdeh Harari - Reseda, CA Date Filed: 12/20/1995 First Sctieduled: Decided: 3/z((;^g Case Summary: Member firm against customer for debit batonce to account - $5,447.52. Product: FUTURES Market: Claim Data Claim: $5,4