New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Sacurities Incorporated v. Douglas Leess Attorneys: For Clalniant(s): GeranJ J. Kowalski Esq. - New York, NY Fbr Respondents): Davkl M. Cohen Esq. - Stamford, CT Date Fiied: 12/09/1996 First Sclieduled: 05/23/1997 Decided: 7/21/97 Case Summary: Member firm claimant alleges breach of empk>yment agreement and non-payment of promissory note. Respondent fi

New York Stock Exchange In the Matter of Arbitration Between i(/ NYSE Case: Pollack Enterprises Inc. v. Smith Barney and Mel J. Rosen Attorneys: For Claimant(s): Myron NeugeborenEsq. - Hollls Hills, NY For Respondents): Nicole L. Felton Esq. - New York, NY Date Filed: 11/27/1996 First Scheduled: 05/15/1997 Decided: 11/21/1997 Case Summary: Customer against member firm fbr unsuitable purchases of real estate, mutual fund, stock and ut

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen A. Amdl and Sylvia A. Arndl v. Prudential Securities Inc. Attorneys: For Clainanl(s): Stephen Arndl - Pontiac, IL For Respondenl(s): Steven L. Raimer Esq. - New Yoric, NY Date Filed: 11/27/1996 First Sctieduled: Decided: 6/24/1997 Case Summary: customer against member fimi for unsuitable investment in Off Stores, Inc. Product: EQU Marltet: C

New York Stock Exdiange In the Matter of Arbitration Between NYSE Cass: Andiony P. and Dataorah A. Buodere v Jnviqr MoniBDiiMy Scot Inc. and Gragoiy M. DrahMohak Attorneys: fatCtakaann: Doiglaa R. Laiy Eaq. - JenldnWMfli, PA For RsipondartlM- Potter 6. QsUmen, Jr. Esq. - Ptaburgh. PA Date Filed: i202/i8ee Fiist Scheduled: 07/22/1997 Decided: 07/23^997 Cage Summary: Clalnwrttaltoge tfai fluii|wndonttmittodtti«n into Iniiwtl^ and flhum

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ronald W. Dundon and Jennifer Jantor v Merrill Lynch Attorneys: For Ctaimanl(s): Ronakl W. Dundon or - New Haven, CT For Respondent(s): Howard C. Sawransky Esq. - New York, NY Date Filed: 11/25/1996 First Sctieduled: 04/21/1997 Decided: 05/05/1997 Case Summary: Claimants allege Ihat Respondent failed to give them information about their margin account for several day

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Henry Chabert v. Rdelily Brokerage Attorneys: For Ctoimant(s): Henry L. Chabert - Chariollesvilto, VA Fbr Respondenl(s): Altoto Reines-Leo Esq. - Boston, MA Date Filed: ii/i8/i996 First Sctieduled: 04/30/1997 * Case Summary: Customer ctolmant altoges failure to execute two limited buy orders. Product: OTHER Decided: 4/30/97 Market: NYSE Claim Data

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Pmdential Securities Incorporated v. Robert Rosenhaus Attorneys: For ClaiRsnt(s): Davto A. Weintraub Esq. - Boca Raton, FL For Re8pondenl(s): - Ft. Lauderdale, FL Craig Trigoboff Date Filed: 11/15/1996 First Sctieduled: 06/10/1997 Decided: 7/23/97 Case Summary: Member firm ctolmant alleges breach of employment agreement and non-payment of promissory note as well as outstandi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Becker v. Menill Lynch Pierce Fenner & Smith & Gabrieto Block Attomeys: For Claimant(s); Stephen Springer- Philadelphia, PA For Respondent(s): Davkl Franceski Esq. - Philadelphia, PA Date Filed: 11/14/1996 First Scheduled: 05/20/1997 Oecided: 12-5-1997 Case Summary: Customer alleges that the firm and Its registered representative made misFepresentationsin

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kathtoen L Jerome v Dean Witter ReynoMs, Inc. Attorneys: For ClainvBnt(s): Mtohelto Rago Esq. - New Yoric,' For Raspondenl(s): Debra A. Roth Esq. - New Yori(, NY Date Filed: 11/06/1996 First Scheduled: 04/02/1997 Deckled: 05/06/1997 Case Summary: Claimant, a customer, has altoged ttiat securities are missing from an IRA account that she maintained at respondent.

Award NASD Dispute Resolution, Inc. in the Matter ot the Arbitration between: Names of the Claimants Case Number: 01-04120 Stanley and Betty Bornstein Name of the Respondent Hearing Site: Boca Raton, Florida First Union Securities Financial Network, Inc. REPRESENTATION OF PARTIES For Stanley and Betty Bornstein, hereinafter collectively referred to as "Claimants": Darren Blum, Esq., Plantation, Florida. For First Union Securities Financial Netwo