New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nicholas W. Janlkies v. PaineWebber Incorporated Attorneys: i=or Ctaiinant(s): William A. Jacobson - Provklence, RI For Respondenl(s): Stephanie Morsa-Hamosh Esq. - Weehawken, NJ Date Filed: 02/27/1996 First Scheduled: 07/16/1996 Case Summary: customer ctoimant altoges failure to execute orders for 3Com, Product: EQU Komag, Decided Cisco and Intel.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerald and JoAnn Osmond v Merrill Lynch Attorneys: l=or Claimant(s): Roy Bernstein Esq. - New York, NY Fbr Respondent(s): Charles J. Henderson Esq. - New York, NY Date Filed: 02/07/1996 First Scheduled: 09/17/1996 Decided: 12/17/96 Case Summary: Claimants allege respondent liqutoated their accounts without authorization. Claimants seek compensatton for tost apprectot

%' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudenttol Securities Inc. v. Joseph Weiss Attorneys: Fbr CtoJmant(s): Mark Happe, Esq. - New York, NY For Respondent(s): Joseph Weiss - New York, NY Date Filed: 02/20/1996 First Scheduled: 06/ia/i996 Decided: 7/2/96 Case Summary: Member firm against customer for debit in account and conversion under Flortoa law. Product: Market: Claim Data Claim: $195

New York Stock Exchange In the Matter of Arbitration Between (y^' NYSE Case: Marybeth Greenberg vs. Merrill Lynch, Richard Atwell and Butch Mulholtond Attorneys: For Claimianl(s): Lawrence S. Brochin Esq. - Great Neck, NY Fbr ftospondent(s): Howard C. Sawransky Esq. - New York, NY Date Filed: 02/20/1996 First Scheduled: 06/i9/i996 Decided: O8/20/1996 Case Summary: customer vs. Member Firm and Registered Reps alleging Ftospondents fai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudenttol Securittos Incorporated v Gregory Lowe Attorneys: For Ctoirrant(s): Denis J. McCarthy Esq. - New York, NY For Respondent(s): Dan A. Druz Esq. - Sea Girt, NJ Date Filed: 02/13/1996 First Scheduled: 10/01/1996 Decided: 09/26/1996 Case Summary: claimant alleges that Respondent failed to repay a debt that became due, pursuant to a promissory note, upon the ter

c New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andre Pons v. Merrill Lynch Pierce Fenner & Smitti Incorporated Attorneys: For Ctainiant(s): Andre Pons - 11.560 MEXICO, O.F., For ftospondenl(s): Arthur H. Sobel Esq. - New York, NY Date Filed: 02A)2/ig96 First Scheduled: 06/ii/i996 Decided: 8/14/96 Case Summary: ctoimant alleges ttiat respondent mismanaged the account by not recommendtog investments In accord

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: l. Russell Weinstein vs. Fidelity Brokerage Servtoes, Inc. vs. Eduardo P. LIuria Attorneys: For Claimant(s): George Franjoto Esq. - Ortondo, FL For Respondent(s): Angela G. Miele Esq. - Atlanta, GA Fbr 3rd Party: Eduardo LIuria - Cleanwater, FL Date Filed: 02/05/1996 Case Summary: customer vs. Member Firm negligence and violations of securities laws. First Sc

L New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donato WMenberg v Smith Barney Attorneys: Fox Claimant(s): Herbert Adler Esq. - White Ptoins, NY i=or F)espondent(s): Etta M. Gumbs Esq. - New York, NY Date Filed: 02/07/1996 First Scheduled: 10/24/1996 Decided: 10/31/1996 Case Summary: claimant alleges that Respondent failed to execute an order and then subsequently executed a trade wittiout auttiorization.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ernest R. Darpino v. Olde Discount Corp. Attorneys: For Ctoimant(s): Ernest R. Darpino, Ph.D., ASA - Medford Lakes. NJ For Respondenl(s): Lisa S. FiUes Esq. - Deb'oit, Ml Date Filed: oi/i6/i996 First Scheduled: 04/25/1996 Case Summary: Customer claimant altoges misrepresentation regarding the purchase of Genus, Product: EQU Decided: 4/25/96 Inc. and Telxon Co

New York Stock Exchange In the Matter of Arbitration Between u^ NYSE Case: Richard S. Bobrtok & Donna G. Fisher (Bobrtok) v. Gruntal Inc. Attorneys: For Clainiant(s): Richard S. Bobrtok - Framingham, MA Fbr Raspondant(s): Frances T. Gluck Esq. - New York, NY Date Filed: oi/30/i996 First Scheduled: 07/17/1996 Decided: 8/15/96 Case Summary: customer claimants altoge failure to foltow instructions regarding transfer of IRA account to Wh