New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Wllllam Perez v. Prudential Securities Inc. and Joseph S. Schellato Attorneys: For Claimant(s): Lewis W. Wetzel Esq. - Wilkes-Barre, PA For f)espondent(s): Peter Von Maur Esq. - New Yori< , NY Date Filed: 06/28/1996 First Sctieduled: ii/26/i996 Decided: 1-17-1997 Case Summary: Claimant altoges the Respondents recommended the purchase of unsuitabto bonds. Product

'^ New York Stock Exchange In the Matter of Arbitration Between NYSE Cass: Sherman Strategic Partners (AMn Sherman, Partner) v. PaineWebber Inc. Attorneys: For Clainf(Bnt(s): Mm Sherman - Hallandale, FL For Respondent(s): Jeffrey A. Norman Esq. -1=1. Lauderdale, FL Date Filed: 07/01/1996 First Sctieduled: 03A)5/i997 Case Summary: Customer claimant alleges misrepresentetton regarding purchase of' Product: BONDS Decided: 'Harra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: smith Barney Inc. v Peter S. Duva Attorneys: For Claiinant(s): Marci S. Mintz Esq. - New York, NY Fbr Respondent(s): Peter S. Duva - Bohemia, NY Date Filed: 06/24/1996 First Sctieduled: 05/21/1997 Decided: 05/2i.'i997 Case Summary: Product: ANNUITY Market: Claim Data Claim: $0.00 Punitive: $0.00 Atty Fees: $0.00 Deposit: $0.00 Award Da

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: The Third Market Corp. v. Lawrence Goldberg Attorneys: For ClainBnt(s): Charles Pecaro Pres. - Chicago, IL For Respondent(s): Lawrence Goldberg - New York, NY Date Filed: 05/3i/i996 First Sctieduled: Decided: 8/22/1997 Case Summary: Non-member against member for failure to execute trade. Product: Market: Claim Data Claim: $6,175.00 Punitive: $0.00

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lorraine St. Hilaire v. Tucker Anthony & Jeff Murtha Attorneys: For Clainiant(s): liigh M. Coxe, Esq. - PortJ.and, J-E For Respondent(s): Patrick Howlev Esq. - New Yorit, NY Date Filed: 06/04/i996 First Sctieduled: io/oi/i996 Decided: 3/21/97 Case Summary: customer claimant alleges unsuitable and unauthorized trades, churning, failure to disctose risks, misrepresenta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01 -04131 Iris A. Mayfield and Penny R. Mayfield Name nf the Respondent Hearing Site: Richmond, Virginia Morgan Stanley Dean Witter, Inc. and Jason P. Thompson Nature of the Dispute: Customers vs. Member and Associated Person. RFPRF.SFNTATTON OF PARTIES Claimants his A. Mayfield and Penny R. Mayfield, hereinafter collectively referred

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clara H. McQrath. tndivklualiy and as Trustee of tha Philip T. & Clara H. McGrath Living Trust v. Dean WMar. Inc., Ralph Atlarliery & David Reddoch - Attorneys: For Clainianl(s): Robert M. Stramor Esq. - Albuquerque, NM For R8spondBnt(s): Wendy R. Robinson Esq. - San Francisco, CA Date Filed: 05/3i/i996 First Scheduled: 02/04/1997 Decided: 5/16/97 Case Summary: C

New York Stock Exchange a the Matter of Arbitration Between NYSE Case: Prudential Securities inc. v. Mehran Yadegary Attorneys: (=br Ciain«nt(s): Ronald P. Kane Esq. - Chicago, IL Fbr F)espondefN(s): Dean Carlton - Dallas, TX Date Filed: 04/30/1996 First Sctieduled: 11/13/1996 Decided: 4/1/97 Case Summary: claimant alleges the customer failed to respond to a margin call In a commodities account which required that the account be liqu

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Eleanor SteIn as Trustee for the Eleanor Stein Trust v. Gruntal & Co. and Thomas Underwood Attorneys: For Clainiant(s): Christopher M. David, Esq. Fbr Respondent(s): Evan J. Charkes Esq. - New York, NY Date Filed: 05/O8/1996 First Sctieduled: 11/06/1996 Decided: 4/17/97 Case Summary: Customer claimant alleges unsuitability, churning, fraud, misrepresentation, u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Seouritlea, Inc. vs. Jeny Humi Attorneys: For Cialnwtfi): Qary Saralsky Esq. - Bloomfiekl Hills, Ml For RaRponden((^.' Ben Lebedeker Esq. - Wast Palm Baach, FL Date i^ited: 05/01/1996 First Scheduled: oeno/i99$ Decided: 04^)8/1997 Case Summary: Member Firm vs. Registered Rop {oK-emptoy«a) seeking to recover amounts (Uiegedly due under the terms of a promis