New York Stock Exchange In the Matter of Arbitration Between NYSE Case: FrankUn Lewis v Prudervtial Securities and John Mullins Attorneys: For Clainiant(s): John J. Blanchard Esq. - Montvale. NJ For Respondent(s): Christopher Freeze Esq. - New York, NY Date Filed: 07/29/1996 First Sctieduled: 04/04/1997 Decided: 0605/1997 Case Summary: claimant, a customer, has alleged that respondents engaged in churning and unsuitable trading in puts a

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Company vs. Thomas Bevacqua Attorneys: For Ciaimant(s): Davkl W. Schmklt Esq. - Kenilworth, NJ For Responderit(s): Thomas Bevacqua - Beverly Hills, CA Date Filed: 08/og/i996 First Sclieduled: 04/30/1997 Decided: 04/30/1997 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due under the terms of a promissory note for the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Frank Ottaviani Attorneys: For Claimant(s): Rtohard Janvey Esq. - New York, NY For ftospondent(s): Frank Ottaviani - Port Washington, NY Date Filed: 08/01/1996 Case Summary: for the note balance. First Sctieduled: 11/18/1996 Decided: 02^)3/1997 Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due under th

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alicia DeGaetano v Smith Barney, Inc. and Frederick Messier Attorneys: For Clainnnt(s): Laura Schnell Esq. - New York, NY Fbr Respondent(s): Jill Rosenberg Esq. - New York, NY Date Filed: 07/05/1996 First Sctieduled: 01/14/1997 Decided: 03/18/1997 Case Summary: Claimant alleges sexual harassment and sexual discrimination by Respondents, whtoh effected her job advance

(/' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ascher Studto Money Purchase Pension Plan-Peter Ascher Trustee, Peter Ascher, Peter /techer c/f Toby & Samuel Ascher v Prudential Securities Inc. and Robert Berg Attorneys: For ClainHnt(s): Joseph A. Scutieri Esq. - White Plains, NY i=br Respondent(s): Theodore A. Krebsbach Esq. - White Plains, NY Date Filed: 06/17/1996 First Scheduled: 11/01/1996 Decided:

i^' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: OonaUson, Lufkin & Jenrette Securities Corporatnn v Lori Zager Attorneys: For Claimanl(s): FtonakI M. Green Esq. - New York, NY Michael J. Lawson Esq. - San Francisco, CA For Respondent(s): Alan B. Exelrod Esq ~ San Francisco. CA Date Filed: O6/19/1996 First Sctieduled: Decided: 05/22/1997 Case Summary: Claimant seeks a declaratnn that H did not discrimin

New York Stock Exchange NYSE In the Matter of Arbitration Between CaB6: Arthur Ferror v Baar etsarm a Co., Ine. Attornays: FerOUMMM: J. Pal eadtor Esq. - AtJanta, QA Foe Ptaipandrt{i)i JBtftay W Wlis Esq. - AHanta, QA DBt9 Filed: ovwi»e First Scheduled: oz.< 2e/i»97 Oecided. 07,'2fl/ig37 Case Summary: daimant sieges that Respondent madg unauthorind treoas, rofuted io reverse ttie I'dnsaKlem cr remova Ihe unwarted duck -.rem tha aecount, and made

Award NASD In the Matter of the Arbitration Between: Name of the Claimant UBS PaineWebber, Inc. Name of the Respondent Woodie M. Brewer Case Number: 01-04106 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For UBS PaineWebber, Inc. ("Claimant"): Lisa A. Catalano, Esq., Davidson, Mancel & Brennan, LLP, Northvale, New Jersey. For Woodie M. Brewer ("Respondent"): Richard D. Groff, Esq., Dye, Deitrich, Prather, Petruff & St. Paul, PL,

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Joseph and Diane Feklman v Halpert & Co. Attorneys: For Clainiant(s): Joseph G. Feklman - Merrick, NY For Respondents): A. Ross Pearlson Esq. - Newark, NJ Date Filed: 05/28/1996 First Sctieduled: 01/07/1997 Decided: 01/07/1997 Case Summary: Claimants allege that Respondent sold them municipal leases by misrepresenting the risks involved and the true nature of the

\y New York Stock Exchange in the Matter of Arbitration Between NYSE Case: EweHna Hendewska v Gruntal & Co., Inc., Mark Pollack, Victor Polakoff, Robert Dziublowski & Norman Brodeur, Jr. Attorneys: For Claiman(s): Sanford S. Kantor Esq. - New York, NY For Respondent(s): Davki Crystal II Esq. - New York, NY Lnnel G. Hest Esq. - New York, NY Robert Wisniewski Esq. - New York, NY Date Filed: 05/i3/i996 First Scheduled: 01/08/1997