New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hy Spreckman & Sons, Inc. Profit Sharing Plan and Trust v. Jack F. Lasday and Rodman & Renshaw, Inc. Attorneys: For Ciaimanl(s): Kristi L. Browne Esq. - Chtoago, IL l=br Respondent(s): Michael J. Gaertner Esq. - Chtoago, IL Date Filed: 05/13/1994 First Sctieduled: 04/27/1995 Decided: March 25, 1996 Case Summary: customer against member firm and registered represe

New York Stock Exchange In the Matter of Arbitration Between / • NYSE Case: Smith Barney Shearson v Jay Philip Solkow Attorneys: For Claimant(s): Mark J. Alonso Esq. - New York, NY For Respondent(s): Jay Philip Solkow - Syosset, NY Date Filed: 05/04/1994 First Sctieduled: 12/15/1994 Decided: 03/07/1996 Case Summary: claimant, a member firm, has alleged that respondent breached his contract by failing to properiy fulfill his oblig

\S New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Incorporated v. Mtohael S. Rohdenburg Attorneys: Fw Claiman((s): Rtohard I. Janvey Esq. - New York, NY For Respondenl(s): Mtohael Rohdenburg - Elmhurst, IL Date Filed: 04/07/1994 First Sctieduled: 04/26/1995 DeckJed: July 1, 1996 Case Summary: claimant alleges ttiat respondent has faitod to repay ttie outstanding balance of ttie montos toaned to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants f!ase Number- 01-04143 Homayoon Tajalli Sheila Haghighat Names nf the Respondents Hearing Site: Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Wayne F. Nelson Thomas Joseph Rietano, III Nature of the Dispute: Customers v. Member and Associated Persons. RRPRFSFNTATTON OF PARTIES Claimants, Homayoon Tajalli and Sheila A. Haghighat,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. v. Richard Farwall Attorneys: For Clainnnl(s): Ardwr Baumgartner Esq. - New York, NY For Respondent(s): Rkihard E FarweH - New York, NY Date RIed: 03/28/1994 First Scheduled: 03/31/1995 Decided: 12/12/1996 Case Summary: Claimant alleges ttiat It entered into a loan agreement and emptoyment agreement witti respondent. Respondent allegedly b

/....- Wew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter Glasser v Prudential Securities Incorporated Attorneys: For ClaiiTnnt(s): Morgan W. Bentley Esq. - Newark, NJ l^r Respondenl(s): Davkl L. Becker Esq. - New Yori< , NY Date Filed: 03/18/1919 First Sctieduled: 11/16/1994 Decided: 04/12/1996 Case Summary: Claimant alleges that Respondent misrepresented the nature of tiie securities tiut Respondent urged

r New York Stock Exchange the Matter of Arbitration Between NYSE Case: Gregg Tash v. PaineWebber Inc. and Fred Yoder Attorneys: For Claimant(s): Davkl E. Robbins Esq. - New York, NY For Respondent(s): Douglas P. Lobel Esq. - Washington, DC Date Filed: 02/10/1994 First Sctieduled: 11/29/1994 Decided: i^ay 15, 1996 Case Summary: Claimant, a registered representative and former employee, alleges respondents, a member firm and registered

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James W. Rayner, MD, Trustee James W. Rayner M.D., PA, Profit Sharing Plan and Trust and Mary Sharp Rayner vs. Raymond James & Associates, Inc. and Investment Management and Research, Inc. Attorneys: For Claimant(s): John H. Dunbar Esq. Oxford, MS Fbr Respondent(s): Shepherd D. Tate Esq. - Memphis, TN Date Filed: 01/13/1994 First Sctieduled: 07/21/1994 Decided: 0

,ew York Stock Exchange In the Matter of Arbitration Between ^fYSE Case: Prudential Securities, Inc. vs. PaineWebber, Inc. and Martin Karvelis Attorneys: For Clainfnnl(s): Lloyd R. Schwed Esq. - West Palm Beach, FL l=br lte8pondent(s): Robert M. Berson Esq. - New York, NY Date Filed: 12/31/1993 First Sctieduled: 11/10/1994 Decided: 04/i6/i996 Case Summary: Member Firm vs. Member Firm and Registered Rep/VP alleging rakling, unfair competi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bradford Emmer, Indnndually and as Parent and Nahiral Guardian and Custtxiian of Gregory Adam Emmer and the Gregory Adam Emmer Trust: Ryan Emmer and the Ryan Emmer Trust; and Sean Devin Emmer and the Sean Devin Emmer Trust v. Smith Bamey Shearson Inc. f/k/a Shearson Lehman Brottiers Inc. v Donakl Zucker Attorneys: Fbr ClaimanKs): Robert B. Mlltor Esq. - Miami Beach, FL /li. Fraser S