New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest, Inc. v Norman Rosenblum v Michael Grellis and Dantoi McAuliffe Attorneys: For Clainiant(s): Sherri C. Strand Esq. - St. Louis, MO Fbr Respondent(s): Michael Grellis - Weldon Springs, MO FIrmin A. Purtoelll Esq. - Clayton, MO Date Filed: 12/14/1993 First Sctieduled: 12/14/1994 Decided: 6/28/1996 Case Summary: claimant, a member firm, has alleged that respo

New York Stock Exchange In the Matter of Arbitration Between IP- NYSE Case: Prudential Securities Incorporated v. Trans European Trading Inc. & Davto C. Levy Attorneys: For Clainiant(s): /\ndrew Tramont, Jr. P.A. - Miami, FL For Respondent(s): Errol Blank Esq. - West Nyack, NY Date Filed: 11/09/93 First Scheduled: 04/21/94 Decided: 3/14/96 Case Summary: claimants allege failure to pay debit balance In account resulting from failure o

/ // New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Elizabeth Harris Baird v. Tucker /^thony & R. L. Day Inc., Thomas A. Pasquato & Michael L. Michael Attorneys: For Clain»nt(s): Jonathan Kord Lagemann Esq. - New York, NY Fbr Respondem(8): Ronald M. Green Esq. - New York. NY Date Filed: 10/25/93 First Sctieduled: 05/I8/94 Decided: 3/8/96 Case Summary: Registered Representative v. Member Firm - claimant alleges false

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Jack Francis Watts, Steven E. Kopp, Sarah J. Kopp, Bradley L. Clauser, Susan H. Clauser, Ethal S. Breighner, Charles M. Waskey, Walter E. Fleischer, John J. Eckstein, Madeline E. Eckstein, Eduardo R. de la Cruz, and Susan S. de la Cruz Name of the Respondent Intersecurities, Inc. Name nfThirH-Party Respondent Robert Bruce Sando ase Number-

ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vtohir Chen v. Emil Chen Attorneys: For Ciaimani(s): Sttjart Venner Esq. - Naw Yoric, NY For fle8pondenl(s): Emil L. Chen - Taipei, Taiwan, ROC, Date Filed: 10/26/1993 First Sctieduled: 07/28/1995 Decided: July 15, 1996 Case Summary: claimant alleges ttie Respondent recommended an unsuitable partnership investtnent and engaged in account ctiuming. Product

^ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Josephine I. Burke v. Merrill Lynch Ptorce Fenner & Smith Inc. & Thomas P. Reilly Attorneys: For ClaiiranKs): Davto L. Klebanoff Esq. - Boston, MA Fbr Respondent(s): Barry Y. Weiner Esq. - Boston, MA Date Fiied: 02/21/1993 First Sctieduled: 12/07/1995 Decided: 4/24/96 Case Summary: customer v. Member Firm & Registered Representative - ctaimant alleges unsuitable ttades which wer

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Julle Schuchman v Merrill Lynch, Inc., Glenn Conner and William Bachrach Attorneys: For Claimant(s): Michael E. Criden Esq. ~ Miami, FL Michael Hanzman Esq. - Miami, FL For Respondent(s): Martin S. Cohen Esq. - New York, NY Janet Simmons Esq - Long Beach, CA Stephen Young Esq. - Long Beach, CA Date Filed: 07/31/1992 First Sctieduled: 10/05/1993 Decided: 12/22/1995 Ca

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder, Peabody & Co., Incorporated v /VIphonse Fletcher, Jr. Attorneys: For Claimant(s): Ronaki M. Green Esq. - New York, NY For Re6pondent(s)-. Jeffrey L. Lkklle Esq. - New York, NY Date Filed: 10/09/1992 First Sctieduled: 04/22/1993 Decided: 1-12-1996 Case Summary: claimant Kidder, Peabody & Company Incorporated ('Kidder") brings this arbitration proceeding to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Theodore Thiro, Robert Qilmartin and Scott Guiltar v Nddar Peabody & Company, Inc. Attorneys: For Clainnnl(s): Howard G. Meters, Jr. Esq. - New York, NY For Respondenlts): Anne M. Graves Esq. - New York, i^ George Stotiner Esq. - New York, NY Date Filed: 09/25/1991 First Scheduled: 02A)6/I991 Decided: ii/zs/tsse Case Summary: Registered Representatives and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Co. Incorporated v. Lee S. Rosen Attorneys: For Clainnnt(s): Robert A. W. Boraks Esq. - Washington, DC Fbr Respondent(s): Chartos A. Stillman Esq. - New York, NY Date Filed: 04/26/1996 First Sctieduled: 11/07/1996 Decided: 6/12/97 Case Summary: Member Arm ciainunt alleges breach of contract and nonpayment of promissory nota. Product: PROMISSORY N