y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers Inc. v Robert Reicherts Attorneys: For Claimants): Adam M. Bond Esq. - New York, NY Fbr Respondent(s): Robert (Retoherts -, Date Filed: loao i996 First Sctieduled: 06121997 Decided: 09/09/1997 Case Summary: claimant, a member firm, has alleged that respondent customer failed to pay for purchases of foreign currency opttons. Product: OPT

.Vew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Grumal & company vs. Ralph Festa Attorneys: Fbr daimants): Larry H. Krantz Esq. - New Yori(, NY For Re8pondent(s): Ralph Festa - Danbury, CT Date Filed: 11/12/1996 First Sclieduled: 02/25/1997 Decided •• VV^7 Case Summary: Member Firm vs. Registered Rep (ex-emptoyee) seeking to recover amounts altogedly due under the terms of two promissory notes for the note balanc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen F. Cohen v. Oppenheimer & Co., Inc. Attorneys: For Clainanl(s): Dantoi J. Brooks Esq. - New York, NY For Respondent(s): Ltoyd S. Clareman Esq. - Naw York, NY Date Filed: 11/04/1996 First Sctieduled: O6/03/1997 Decided: 08/27/1997 Case Summary: customer ai NYSE Ruto 408. Claimant also the firm and its account executive improperiy exercised discreltonar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer & Co. Inc. v. Michael Mtohelson Attorneys: For Clainnnl(s): Joseph F. Keenan, Esq. - Garden Ctty, NY Fbr Re8pondent(s): Mtohael Mtohelson - Chtoago, IL Date Filed: ii/04/i996 First Sclieduled: 05/21/1997 Decided: ^kih-j Case Summary: Member firm v. registered representative alleging defautt on a Salesman Compensation Scheduto and braach of a Repayment

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: Mmn J. Mondo, Trualae; The Robert J. Mondo Family Tnnt v. Prudential SacurittSB Inoorporated and WHOam Andsraon Attorneys: ForCtrinMniM: Jaronw W. Pindmki. Jr. Esq. - Patatine, IL For RMpondart^: Patrick Gaflnsy Eiq. - Naw Yorit, NY Date Ried: ii/O4/i09e First Sdieduled: osaonM? DecWed: 6/3/97 Case Summary: PuUn customer v. member finn altoging unauthorized trading w

New York Stock Exchange Att the Matter of Arbitration Between NYSE Case: Bernlce E. Fox v. Dean Wttter Reynolds Inc. Attorneys: For Ctoimanl(s): Bemice E. Fox - Santa Ana, CA For Respondent(s): Janet T. Epstein Esq. - San Francisco, CA Date Filed: 11/04/1996 First Sclieduled: 02/07/1997 Decided: Case Summary: Public customer V. member firm altoging failure to timely execute a transfer request resutting in toss of proftt lo ctaimant. Ctai

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cedl Bishop vs. Smtth Barney, Inc. Attorneys: Fbr Clainmnt(s): Edward A. Roberts Esq. - Brooklyn, NY For Respondent(s): Eric L. Adler Esq. - New York, NY Date Filed: ii/oi/i996 First Sctieduled: 02/20/1997 Decided: 03/26/1997 Case Summary: Former employee, technical support analyst, computer spedallst vs. member firm alleging wrongful discharge and disputing

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donaldson Lufkin & Jenrette v Joseph MuMer Attorneys: For Claimant(s): Frank S. Mosely Esq. - New York, NY Far Respondenl(s): Leslie Trager Esq. - New York, NY Date Filed: io/io/i996 First Scheduled: 04/04/1997 Decided: 10/28/1997 Case Summary: Claimant seeks declaratory judgment that ttiere is no basis for an award of punttlve damages In connection wtth a deci

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard Dunn v Ladenburg, Thalman & Co., Inc. Attorneys: For Ctainiant(s): Stephen L. Plutzer Esq. - Garden Ctty, NY Fbr Respondents): Joseph Gtovannlello Esq. - New Yori(, NY Date Filed: 10/07/1996 First Sctieduled: 04/1S/1997 Decided: 09/12/1997 Case Summary: claimant altoges that due to false allegations made by Respondent to the NASD, the NASD has fitod a complai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ladenburg, Thalmann & Co. Inc. v Arthur G. Fekiman Attorneys: For CiaimBnl(s): Joseph Giovanntolto, Jr. Esq. Robert B. Weintraub Esq. - Fbr ltospondenl(s): David B. Wechstor Esq. New Yori(, NY Yorit, NY New York. NY Date Filed: io/io/i996 First Sctieduled: 0S/06/1997 Decided: 9/3/97 Case Summary: Claimant, a member firm, has alleged Ihat respondeni br