New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Han»y Rosenstock v S.G. Warburg and Co., Inc. Attorneys: For Clainiant(s): Sanford R. Oxfeld Esq. - Newark, NJ For Respondent(s): Thomas R. Kelly Esq. - New York, NY Date Filed: 04/26/1996 First Sctieduled: 12/I6/1996 Decided: 01/09/1997 Case Summary: Claimant, a former empkiyee, has alleged that respondent wrongfully did not alk>w him to exercise optk>ns of Warburg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ladenburg, Thalmann & Co. Inc. v Alfred Rosenstein Attorneys: For Claimant(s). Robert B. Weintraub Esq. - New York, NY Fbr Respondent(s): Alfred Rosenstein - New Vork, NY Alfred Rosenstein - Pembroke Pinos. FL Date Filed: 04 i9/ig96 First Scheduled: 07.08.1997 Decided: 09/29/1997 Case Summary: Claimart alleges that respondent signed a margin agreement lor his acc

New York Stock Rwiiawge In the Matter of Arbitration Between NYSE Case: •Mr V AMin Suull JFtoblMDn Attorravs: ^ ^-' — -. .- rnrwananm: a«tarBaHni.Jb>.Eiq.- HmyD. OaynwrS, J^.Esq. B4- GA GA TN DateFiie±oiQwi9gB Firet Scheduled: UAMnsas Dscided: osBsmsr Case Summary: Uad lo laMr a loan wMgh a GnnnWon diSEl h vioWiDn cf lis luaaaitlaa in Indudag hkntn Product: PROMSBOfWtlOTE IMSifcet:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pnidsnlial Saourilies IM. V Tony R. QoHwi Attomeys; ru Ctwiwnns) Kkrk J. Happe Bach - Mw Yorit. NY For RoipandMll^; Raymontf L Msac Esq. - AtlwdB, OA Dale Filed: 0426^986 First Scheduled: leros/isss Dscided: oB/mnan Case fiurncnary: ctaimant aliasn thai HBspondant faUad to rapay a toan that WM dua, tapondann aiqpktynHii. to • pRHnJaaary note, iifian Iha tormi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Uexander S. Lambros, Jr. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Davkl Rekf McWilliams Attorneys: For ClaiiTiant(s): Thomas R. Grady Esq. - Naples, FL For Respondent(s): Bennett Falk Esq. - Miami, FL Date Filed: 04/i5/i996 First Sctieduled: 09/10/1996 Decided: 06/26/1997 Case Summary: Registered Rep vs. Member Firm (former employer) and Regional Manager allegi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: The Mildred & Rudy Reis Foundatk>n Inc. v Prudential Securities Inc. & David Muir, Jim Mulr and Joel B. Srodes Attorneys: For Claimant(s): Ralph A. Gant Esq. - New York, NY For Respondenl(s): V. Michael Arias Esq. - Boca Raton, FL Date Filed: 04/oi/i996 First Sctieduled: 01/09/1997 Decided: 05/13/1997 Case Summary: Claimant alleges that the respondent fraudulentl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant/CounterRespondent Case Number: 01-04126 LaSalle Street Securities, LLC Name of the Respondent/CounterClaimant Hearing Site: Chicago, Illinois David Tomell REPRESENTATION OF PARTIES Claimant/CounterRespondent LaSalle Street Securities, LLC ("LaSalle Street"): Stephen B. Diamond, Esq. of the firm Beeler, Schad & Diamond, P.C. with offices located in Chic

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephthal Lyon & Ross Inc. v Frank Ottaviani Attorneys: For Claimant(s): Brian J. Neville Esq. - New York, NY For Respondent(s): Frank Ottaviani - Port Washington, NY Date Filed: 04/02/1996 First Sctieduled: 12/20/1996 Decided: 02/O6/1997 Case Summary: Respondent was employed by claimant. He received a loan from his employer which required one year of emptoyment for

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: oppenheimer & Co., Inc. v Rictiard Cunis Attorneys: For Claimant(s): Joseph F. Keenan Esq. - Garden City, NY For Respondent(s): Cal Wachsman Esq. - New York, NY Date Filed: 04/04/i996 First Sctieduled: 01/10/1997 Decided: 06/03/1997 Case Summary: Claimant, a member firm, has alleged that respondent failed to pay for a purchase and subsequent sale of Glen Federal Bank

^ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Gruntal & Company vs. Salomon Algazi (aka Sol Algazi) Attorneys: For ClaJmant(s): Mark J. Alonso Esq. - New York, NY Por Respondent(s): Daniel Bekele Esq. - New York, NY Date Filed: 03/i9/i996 First Sctieduled: 08/07/i996 Decided: 03/12/1997 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due under the terms of a