New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ted Moss vs. MerriH Lynch Attorneys: For ClaimBnt(s): Morgan W. Bentiey Esq. - Newark, NJ For Respondents): Jeff Willis Esq. - Atianta. GA Date Filed: 10/16/1995 First Scheduled: 05/30/1996 Decided: 11/22/1996 Case Summary: claimant alleges that Respondent soto him unregistered securities. Product: EQU Market: Claim Data Claim: $10,000.00 Punitive

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Weisberg vs. MerriU Lynch Pierce Fenner & Smith, Inc. Attorneys: For Claimant(s): Davto Weisberg - Boca Raton, FL Fbr Respondents): Paul L. Fitzgerato Esq. - New York, NY Date Filed: 09/19/1995 First Scheduled: 04/09/i996 Decided: 4/9/96 Case Summary: claimant altoges misrepresentatton regarding purchase of Borden Stock, and unsuitability. Product: EQU

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ktoder Peabody & Company Inc. v. Ronald B. Kllmkowsto Attorneys: For Clainunt(s): John Jamnback Esq. - Washington, DC Fiir Raspondenl(s): Ronald B. Kllmkowsto - Syosset, NY Date Filed: 09/06/1995 First Scheduled: 02/23/1995 Decided: 05/i6/i996 Case Summary: Member firm alleges respondeni failed to repay a promissory note after his termination of emptoyment. Produ

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Kidder Peabody & Co. Inc. v. Paul P. Gutekunst Attorneys: For Clairnanl(s): Robert A.W. Boraks Esq. - Washington, DC Ftor Respondent(s): Davto E. Mollon Esq. - New York, NY Date Filed: 09/06/1995 First Scheduled: 03/13/1996 Decided: April 12, 1996 Case Summary: Member firm alleges that the respondent failed to repay a promissory note following his leaving the emp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Molinaro, Mark and Candice Ferguson, et al vs. National Securities Corporation, et al Case Number: 01-04480 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Albert Molinaro Keith Eraser, Esq. Mark and Candice Ferguson Aidikoff and Uhl Jess Miller Beverly Hills, California James Medlock Simon and Susan Cittone Stephen Schapiro

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Carina Rao v CS Rrst Boston Corporation Attorneys: For Claimant(s): Davto B. Wechsler Esq. - New York, NY Fbr Respondent(s): Neal D. Haber Esq. - New York, NY Date Filed: 08/24/1995 First Scheduled: 03/26/1996 Decided: i2/04/i996 Case Summary: claimant, a former employee, has alleged that respondent breached their conti-act and made negligent misrepresentations wit

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephttial Lyon & Ross Inc. v Ross Mandell v Paul Fitzgerato and Dantoi Purtos and Josephttial Lyon & Ross Inc. Attorneys: For ClainKuit(s): Robert E. Murphy Esq. - New York, NY Ftor Respondenl(s): Steven /Ulman Esq. - New York, NY Date Filed: O8/21/1995 First Scheduled: 03/14/1996 Decided: 11/14/1996 Case Summary: Ctoimant, a member firm, has altoged ttiat responde

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack Menco vs. Charles Schwab & Co., Inc. Attorneys: Fbr ClainKmt(s): Jack S. Menco - CedarhursI, NY FOr ltespondent(s): Rhonda Y. Jones Esq. - San Francisco, CA Date Filed: 09/22/1995 First Scheduled: o^/^2/^9Q6 Decided: 02/22/1996 Case Summary: Customer vs. Member Firm alleging failure to follow his instructions to sell his options contracts as a result ot busy tel

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leon M. Tannenbaum and Marton B. Tannenbaum v Merrill Lynch Inc. Attorneys: For Clainianl(s): Leon M. Tannenbaum - Cocoa Beach, FL Fbr Raspondenl(s): Christopher D. Cavuoti Esq. - New York, NY Date Filed: 08/26/1995 First Scheduled: 4/10/96 Decided: 4/10796 Case Summary: Claimant alleges unsuitable and high risk purchase of bond funds dealing in derivatives and "junk

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllltom Hamovltch v Merrill Lynch, Ptorce, Fenner & Smitii, Inc. and Haroto Suss Attorneys: For ClaJmant(s): Willtom HamovJtch - Great Neck, NY Ftor Respondenl(s): Howard G. Meyers Esq. - New York, NY Date Filed: 09/20/1995 First Scheduled: 04/19/1996 Decided: 04/23/1996 Case Summary: Claimant aHeges that Itespondents faUed to execute a trade to his account. Product