New York Stock Exchange In the Matter of Arbitration Between NYSE Case: DeNaples Equipment Company, Inc. v D.H. Blair & Co., Inc. Attorneys: For Ciaimant(s): Ronald W. Meister Esq. - New York, NY !=or Respondent(s): Justto Y. K. Chu Esq. - New York, NY Date Filed: 01/22/1996 First Scheduled: 06/24/1996 Decided: 09/17/1996 Case Summary: claimant alleges that Respondent failed to execute a sell order. Product: Market: Ciaim Data

y- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Corredo (BVI) Ltd., Merlico (BVI) Ltd., Emerto S.A. and Solstice Establishment v. Lehman Brothers and Pascal Besman Attorneys: For Claimant(s): Meyer Ahronee - Monaco For Respondent(s): George O. Richardson III Esq. - New York, NY Date Filed: oi/02/i996 First Sctieduled: 10/17/1996 Decided: 12-19-1996 Case Summary: Claimants allege respondents misrepresent

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllltom J. Thompson v. R. /Adrian & Company, R. Adrian & Company, LLC and Richard A. Adrian Attorneys: f^r Clairriant(s): Brton H. Reis Esq. New York, NY Fbr Respondent(s): Michael Kaelin Esq. - Stamford, CT Paul F. McCurdy Esq. - Stamford, CT Date Filed: 01/12/1996 First Sctieduled: Decided: 07/19/1996 Case Summary: claimant, a member, alleges respondents vi

New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Gordon E. Mayer, as Executor of the Estate of Howard Mayer, and as Power of /Forney for Neva E. Mayer and as Trustee of the Mayer Family Trust v. /Vdvest Inc. and Rhodes C. Palmer, Jr. Attorneys: For Claineni(s): Willard M. Pottle Jr. - Buffato, NY For Respondent(s): Paul K. Stecker Esq. - Buffato, NY Date Filed: 01/02/1996 First Scheduled: 06/24/1996 Decided: y.g_^^

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: June Colbert v. Smith Barney, Inc. Joseph Gamberale and Mtohael Fineman Attorneys: For Claimant(s): Michael J. Roberts Esq. - New York, NY Fbr Respondenl(s): Rohan Barnett Esq. - New York, NY Ellen Slipp Esq. - New York, NY Date Filed: 12/21/1995 First Sctieduled: 06/24/1996 Decided: 12/17/1996 Case Summary: Claimant alleges that her account was excessively trade

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Angela Grammatico v Roney & Co. and Dominic Cafana Attorneys: Fi>r CtoinBnt(s): Angeto Grammatico - Clinton Township, Ml Fiir Respondent(s): Raymond W. Henny Esq. - Detroit, Ml Date Filed: 01/11/1996 First Sctieduled: 06/i4/i996 Decided: 06/14/1996 Case Summary: Claimant alleges that Respondents were negligent in the handling of her account, that they ignored her req

L^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fleischer Trust F/B/O Michael Tyre v. Quick & Reilly Attorneys: For Clain«nt(s): Fayes F. Thomas, Jr. Esq. - Miami, FL For Respondenl(s): Bennett Falk, Esq. - Miami, FL Date Filed: 12/26/1995 First Sctieduled: 08/08/i996 Decided: 10/8/96 Case Summary: Customer claimant alleges unauthorized sale of securities in account of Michael Tyre and wrongful disbursement

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securtttos Incorporated v. Brian Feinglass Attorneys: Fi>r Clainnnt(s): Gary M. Miller Esq. - Ft. Lauderdate, FL - Jack Stein, Esq., Ft. Lauderdale, FL For Respondenl(s): Michael I. Rose Esq. - Mtomi, FL Date Filed: 01/02/1996 First Sctieduled: 09/12/1996 Decided: Case Summary: Member firm claimant altoges breach of employment agreement and nonpayment of proms

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Jess Esposito Attorneys: For Ctoiirant(s): Rtohard I. Janvey Esq. - New York, NY For Respondent(s): Jess Esposito - Garden City, NY Date Filed: 01/02/1996 First Sctieduled: 05/08/1996 Decided: 05/O8/1996 Case Summary: Memt>er Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedy due under the terms of an emptoyment agreem

New York Stock Exchange In the Matter of Arbitration Between \y' NYSE Case: Witold, Brenda v. Gruntal & Company Incorporated, Robert A. Dziublowski, Mark Pollack and Vtotor Polakoff Attorneys: For Claimant(s): Sanford S. Kantor Esq. - New York, NY Fbr Respondent(s): Erto S. Hutner Esq. - New York, NY Robert Wisntowski - New York, NY Date Filed: 12/12/1994 First Scheduled: 07/11/1995 Decided: 03/20/96 Case Summary: Ctoimant, a pub