New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Miehad H. Gitoioia v AQ. Edwards A Sons, ine. and iQm Wong Attorneys: Fbr CWaiBi«(it: Wfchad H. Qihnera . Davis, CA Hope Johmon Esq. - St. Louis, MO Date Filed: 04/8fi/i99e Case Summary: Ctahnan. laitodielolDwirwMidtons. acumnwr. First Scheduled: DecMed: moe/tgae Product: OPT Market: other Claim Data Claim: $1,795.17 Punitive: $000

New York Stock Exchange NYSE In the Matter uf Arbitration Between Case: lAWrenca Hennemann v Charlas Schwab S Co., Inc. Attorneys: ForClalmanl(s): Lawrence Hennemann - St. Croix, VI For RsapondofiKs): Gresory Scanton Esq. - San Francisco, CA Date Filed: 04/29/i996 First Scheduled: Decided: oa/07/iee6 Case Summary: daimant, a customer, has altogod Ihat he was unsuitaUa tor opiton trading and that ha misrepresanied his net worth because of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: smith Bamey Inc. v. Patrtok C. Stone Attorneys: Fbr Clainianl(s): Erto Adler Esq. - New York, NY For Respondent(s): Patrick C. Stone - Carrollton, TX Date Filed: 05/oi/i996 First Sctieduled: ii/i4/i996 Decided: 11/27/96 Case Summary: Member firm altoges former registered representative failed to repay promissory note foltowing the termination of his employment.

New Yoric Stocic Exchange In the Matter of Arbitration Between NYSE Case: Robert H. PeKz v Prudential Securities Inc. Attorneys: For Claiinant(s): Thomas B. Wilinsky Esq. - New York, NY Fbr Respondent(s): Kirsten Hotchkiss Esq. - New York, NY Date Filed: 05/02/1995 First Sctieduled: 10/15/1996 Decided: l^ptimA**' *< ^, ff9& Case Summary: Nonmember against member firm for recovery of compensation amounting to $594,513.08 which he elected t

(ew York Stock Exchange In the Matter of Arbitratioii Between NYSE Case: Rfchard B. Eager v PalneWefaiMr, inc. Attorneys: FiDrCkN!wrt(s): Rtohtfd B, EagM'- EvwiBvlB, Wl nf nHpot)Qini(4: JM E. DevidMn E^. - Weehawken, NJ Date Filed: 08^5/1996 First Scheduled: iivst/isse Decided: Caae Summary: cwmmi toss of $1,060. Mil neipondertstalureleewcTOa buy order far OPn Sioek h a dme|y mamarnsuftad to Mm austaning • Product: EQU IM

w York Stock Exchange in the Matter of Arbitration Between NYSE Case: Dantoi J. Donovan v Merrill Lynch & Co. Inc. Attorneys: For Clainiant(s): Laura B. Hoguet Esq. - New York, NY For Respondents): John D. Gianselto Esq. - New York, NY Date Filed: 04A>8/1996 First Scheduled: ii/i3/i996 Case Summary: claimant alleges Ihe Respondent faitod to date, wittiout cause. Product: Decided: ii/26/i996 pay his bonus due for 1995 after Re

New York Stock Exchange JM the Matter of Arbitration Between NYSE Case: Grumal & Company vs. Marvin Johnson Attorneys: For Claimant(s): Dougtos Jaffe Esq. - New York, NY Fbr Respondenl(s): Marvin Johnson - Summit, NJ Date Filed: 04/10/1996 First Scheduled: og/i8/i996 DeckJed: io/3o/i996 Case Summary: Member Firm vs. Registered Rep (ex-emptoyee) seeking to recover amounts altogedly due under ttie terms of a promissory note for the not

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Gruntal & Company vs. Jeffrey FieM Attorneys: For Claimant(s): Donna Shetok>wer Esq. - New York, NY Fbr noopondent(8): Jeffrey FieM - Newlonvilto, NY Date Filed: 04/10/1996 First Scheduled: 08/29/1996 Decided: 08/29/1996 Case Summary: Member Rrm vs. Registered Rep (ex-emptoyee) seeking to recover amounts allegedly due under ttie terms of a promissory for t

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nancy S. Byrnes Case No. 01-04156 Names of Respondents Mitchell York Securities America, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Nancy S. Byrnes ("Byrnes"), hereinafter referred to as "Claimant": Anthony M. Abraham, Counselor at Law, New York, New York. For Mitchell York ("York") and Securities America, Inc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald G. Flye v. Fidelity Brokerage Services Inc. Attorneys: For CtoinfHnt(s): Donald G. Flye - Federal Way, WA For Flespondent(s): Suzanne Mtohaud Esq. - Boston. MA Date Filed: 03/22/1996 First Scheduled: O6/20/1996 Deckled: O6/24/1996 Case Summary: claimant a public customer, alleges respondent, a member firm, failed to follow his instructions and execute a transa