y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ijahman Brottiers Inc. v. Phillip C. Huber Attorneys: For Clatonnl(s): Jeffrey L Nischwitz Esq. - Cleveland, OH For Respondenl(s): Phillip C. Huber - Clevetand, OH Date Filed: 08/14/1995 First Scheduled: 02/21/1996 Decided: 02/21/1996 Case Summary: ctoimant alleges that it extended a toan to Respondent and Respondent defaulted on repayment of ttie toan. The parties entered

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shlrtoy Masur v. A.G. Edwards Inc. and William Caldwell Attorneys: Ftor Ctoirrant(s): Morgan W. Bentiey - Newark, NJ For Ftespondenl(s): Clay L. Grumke Esq. - St. Louis, MO Date Filed: 08/28/1995 First Sctieduled: 03/12/1996 Decided: 7-11-1996 Case Summary: claimant alleges that the Respondents made unsuitabto recommendattons for equity investments which were not

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudenttol Securities Incorporated v. Keith DeSanIo Attorneys: For Clainnni(s): Arttiur Baumgartner, Esq. - New York, NY Fbr Respondenl(s): Keitti DeSanto - New York, NY Date Filed: 08/25/1995 First Sctieduled: 04/03/1996 Decided: 12/16/1996 Case Summary: Member firm against former registered representative for batonce due on promissory note. Product: PROMISSORY

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Pershing Division of Donaldson Lufkin & Jenrette Securities Corporation on behalf of BIrkelbach Investment Securities, Inc. v. Peter Dau, M.D., indlvtoually and Peter Dau, M.D. and Uelani Witt as toint tenants Attorneys: For Claimanl(s): James Moylan Esq. - Chicago, IL For Respondent(s): Howard S. Suskin, Esq. - Chicago, IL Date Filed: O8/10/1995 First Sctieduled

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Ezra A. Goldberg vs. Donatoson Lufton & Jenrette Securittos Corp. and ^Itodd ICanter Attorneys: Fiir Claimants): Lloyd S. Ctoreman Esq. - New York, NY For Respondents): Michael D. Udoff Esq. - Jersey Cily, NJ Date Filed: 09/01/1995 First Sctieduled: 04/23/1996 Decided: 6/19/96 Case Summary: Ctoimam alleges wrongful wittihotoing of commisstons, failure ta reimburse ex

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Oppenheimer & Company Inc. v. William P. Rowdon Attorneys: Ftor Ctoin»nt(s): Joseph F. Keenan Esq. - Garden City, NY For Respondents): William P. Rowdon - Houston, TX Date Filed: os/i4/1995 First Sctieduled: 05/08/1996 Decided: 0 -/7'f^ Case Summary: Claimant, a member firm, alleges respondent, a former employee and registered representative, faitod to pay

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fhf» nainiflnTfi P^P. Nninfa-r 01-04477 J. Virgil Waggoner r*f fhf* T3|f^nnnHpr>t/Thir^-Parfy Plajmajtf Hf flHTIS ^jff Houston, Texas Robert F. Tassinari Jr. f\f fhfr Thjrfj-Pajfy 1? fignrmHpnt Salvatore Josheph Sapienza Claimant J. Virgil Waggoner hereinafter referred to as Claimant: Charles G. King, Esq., King & Pennington, L.L.P., Houston, Texas. Respondents Robert

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: James and Marguerite Manner v Smith Barney Shearson, Inc., John J. Gardner Attorneys: For Clainianl(s): James and Marguerite Manner - Buckley, Ml Fbr Respondent(s): Ann Parry Esq. - New York, NY Wendy R. Robinson Esq. - San Francisco, CA Date Filed: O8/18/1995 First Sctieduled: 02/28/1996 Decided: 03/25/1996 Case Summary: Ctoimants altoges Ihat ttie Respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smltti Barney, Inc. vs. Timottiy A. Corbett Attorneys: For Clairranl(s): Erto L. Adtor Esq. - New York, NY Fbr Respondents): Morton Gordesky Esq. - Philadelphto, PA Date Filed: 08/03/1995 First Sctieduled: 02/29/1996 Case Summary: claimant altoges breach of laon agreement and non-payment of termination. Product: PROMISSORY NOTE promissory Decided: 3/1/96

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smltii Barney, Inc. vs. Donato Collins Attorneys: For Clainnnl(s): Juditti C. Greene Esq. - New York, NY f=or Respondents): Donato Collins - Holyoke, MA Date Filed: O8/07/1995 First Sctieduled: 1/23/96 Decided: 4/23/96 Case Summary: claimant altoges breach of loan agreement and non-payment of promissory note. Product: PROMISSORY NOTE Market: Claim Data