iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen J. Buell v. Smith Barney Inc. Attorneys: For Claiirant(s): Jeffrey A. Jannuzzo Esq. - New York, NY Fbr Respondenl(s): Brian F. /Vmery Esq. - Morristown, NJ Scott E. Kresch Esq. - New York, NY J. Michael Rnrdan Esq. - Morristown, NJ Date Filed: 05/09/1995 First Sctieduled: 09/19/1995 Case Summary: claimant, a registered representative and former empkiyee o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Truman and Amy Ward v Bear Stearns & Company, Inc. Attorneys: For Clainiant(s): Daniel Lund, III Esq. - New Orleans. LA For Respondent(s): Jeffrey W. Willis Esq. - Atlanta, GA Date Filed: 04/20/1995 First Sctieduled: 11/15/1995 Decided: 01/12/1995 Case Summary: Claimants allege that Respondents purchase for them of National Vision /\ssociates Limited was unsuitable g

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Inc. v Richard Roon Attorneys: For Clalmanl(s): Judith C. Greene Esq. - New York, NY For Respondenl(s): Richard Roon - Pt. Pleasant, NJ Date Filed: 04/19/1995 First Sctieduled: 12/11/1995 Decided: 02/07/1996 Case Summary: claimant, a memt>er firm, has alleged that respondent failed to repay money due pursuant to a promissory note. Product: Market

'y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: (Sonakl L. Brooker and Nancy R. Wright v. MerriH Lynch Pierce Fenner & Smith Incorporated Attorneys: For Clanianl(s): OonaM L. Brooker - St Jean Oe Lu FRANCE, Fbr Respondenl(s): Gordon D. Gee Esq. - Kansas City, MO Date Filed: 05A)3/95 First Sctieduled: 12/13/95 Case Summary: customer against member firm for unsuitable purchases of utility stocks and Produ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Madeleine A. AntekeKan, Claimant v. Salomon Smith Barney Inc., Lee Beattie, Thomas Mahan and Citigroup Inc., Respondents Case Number: 01-04176 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Neil A. Sussman, Esq. Sussman & Frankel, LLP New York, New York For Respondents: Robert S. Shwarts, Esq. Orrick, Herrington & Sutcliffe LLP Menlo Pa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Samuel Won v Josephthal, Lyon & Ross Attorneys: For Claimanl(s): Lowell Peterson Esq. - Mineola, NY For Respondenl(s): Robert E. Murphy Esq. - New York, NY Date Filed: 04/19/1995 First Sctieduled: 01/O8/1996 Case Summary: Claimant alleges that Respondeni made material misrepresentalions In eventually terminating him without reason, and denying him of the promised com

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Leonard J. Falcone v Smilh Barney Shearson and Jonathan Peskin Attorneys: For Claimanl(s): Lawrence A. Steckman Esq. - New York. NY For Re8pondenl(s): Alejandro Schwed Esq. - New York, NY Date Filed: 04/18/1995 First Sctieduled: 10/10/95 Decided: 2/9/95 Case Summary: claimant alleges unsuitable trades in speculative securities, junk bonds, uncovered options, an

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joseph and Barbara Holzberg v Gruntal & Co. Attorneys: For ClaJniant(s): Joseph Holzberg - Fairlawn, NJ Fbr Respondents): Harry D. Frisch Esq. - New York, NY Date Filed: 04/O6/1995 First Sctieduled: 12/01/1995 Decided: 02/15/1996 Case Summary: claimants allege that Respondent fraudulently induced them into investing in CMO's, which were unsuitable for them give

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: G. KMy Alan and NeUa Alen, and NaUa Allen and Margaret Lane, aa TruMees FBO Shelly 0. Alan TruM and the Swanna D. Alon TnM v JoaaptMal, Lyon A Ross, IncorporBWd, and Mfray Adam Attorneys: ForCMn«n«i»: Sandra RMHn Esq. - Altwits. GA Par nacpanilanlfl): ftobeit E. Mwvhy Esq. - (tow York, NY Date Filed: 04/11/1935 First Scheduled: ^^m7n9K Oecided: 02/1^1906 Case Sum

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ronald N. Yurcak v. PaineWebber Incorporated Attorneys: For Ctoimants): Marc S. Dreier Esq. - New York, NY For Respondent(s): Mark Mancher Esq. - New York, NY Date Filed: 04/27/1995 First Scheduled: 01/23/1996 Decided: 03/28/1996 Case Summary: claimant, a registered representative and former emptoyee of respondent, a member firm, alleges breach of an emptoyment