u New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Ronald Ollva Attorneys: For CiainrBnt(s): Peter Jaffe, Esq. - New York, NY For Respondent(s): Ronald diva - Ft. Liiuderdale, FL Date Fiied: 05/06/i996 First Sctieduled: 01/10/1997 Decided: 4/15/97 Case Summary: Member Rrm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due under tha terms of a promissory note for

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elizabeth A. Mims, Indivklually and as Representative of the Estate of Walter E, Mims v Prudential Securities Incorporated and Silas William Gassett Attomeys: For Claimant(s): Edward C. Kramer Esq. - New York, NY For Respondent(s): Terry R. Weiss Esq. - Atlanta. GA Date Filed: 05/13/1996 First Scheduled: 03/25/1997 Decided: 12/08/1997 Case Summary: Claimant alleg

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Rodney L Bond v. Prudential Securities, Inc. and Joseph Steen Attorneys: For Clainant(s): Robert N. Swelntok Esq. - New York, NY Fbr Respondent(s): Ilarc S. Dobin, Esq. - W. Pain Beach, FL Date Filed: 04/08/i996 First Scheduled: 01/16/1997 Decided: 6/11/97 Case Summary: Customer claimant alleges failure to fonward monthly account statements and confirmations, unauthorized

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: DO Masonry, Inc. v Gruntal & Co . and Jordan Waring Attorneys: For Claimant(s): Terrance S. DeWnld Esq. - Omahn. NE For Rcspondont(s): Harry D. Frisch Esq. - New York, NY Date Filed: 03/11/1996 First Scheduied: 09/i8/i996 Decided: 04/18/1997 Case Summary: claimant alleges that he was an unsophisticated investor and that the respondent churned his account and br

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\dvest, inc. v. WiHiam Chauser Bemstein v. Martin Z. Schmklt Attorneys: F«r Claimant(s): Barry Kronemer Esq. Hartford, CT For Respondent(s): William C. Bemstein - Dix Hills, NY -Pro Se For Srd Party: Joseph E. Gasperetti P.C. - New York, NY Date Filed: 01/26/1996 First Scheduled: 10/16/1996 Decided: 8-27-1997 Case Summary: claimant aHeges that the Re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert E. Blood, III v. Kidder Peabody & Company Inc. Attorneys: For Claimant(s): Alan L. Sklover Esq. - New York, NY Fbr Respondent(s): Anne M. Graves Esq. - New York, NY Date Filed: 02/11/1996 First Scheduled: 08/06/1996 • Decided: 04/16/1997 Case Summary: Claimant was terminated by Respondent and provided severance under Respondent's severance pay program. Cla

New York Stock Exchange In the Matter of Arbitration Between Case: Gruntal & Co. Incorporated v. Robert A. Simmen, IV Attorneys: For Clainent(s): Rtohard I. Janvey Esq. - New Yori< , NY For Respondent(s): Barbara J. Sullivan - Chtoago, IL y NYSE Date Filed: oi/23/i996 First Sclieduled: ii/i4/i996 Decided: 3/8/97 Case Summary: Member firm against former registered representative for breach of note, $36,800.; $22,500 in Ikfukiated damag

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Flavia Gukia, Trustee of the Dr. Frank A. Guida Trust U/A dated 9/22/83 v. Kidder Peabody & Co. Attorneys: For ClainKuit(s): Howard A. Tescher Esq. - R. Lauderdale, FL Fbr Respondent(s): Brian F. McDonough Esq. - New York, NY Date Filed: 12/28/1995 First Sctieduled: 11/05/1996 Decided: Case Summary: Customer claimant alleges misrepresentetton regarding market value o

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Blake Allan Kassel, (Claimant) vs. Fulcrom Global Partners, (Respondent) Case Number: 01-04104 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Blake Allan Kassel, hereinafter referred to as "Claimant": Christopher Edelson, Esq., Liddle & Robinson, L.L.P,, New York, NY. Respondent Fulcrom Global Partners, hereinafter referred to as "Respondent": Stephen A.

New York Stock Exchange III the Matter of Arbitration Between NYSE Case: Luoila Gurowita v. Mtttt Inc. Attorneys: PHlrtoia A Shub Ew^ - H. Laudai^ala, FL Biirl1wi|innha< (i): Jack Stafai Esq. - a Laudardato. FL Maxkw IC Stnater Esq. - Fort Uudardala, FL Date Filed: 12/28/1995 Rrst Scheduled: Qa'io/1896 Decided: 4/8/97 Casa Summary: CUSIMW daimant sVagai unsuitBfaiity, iwaaRh of firiiidary duty, braach oi contract Iraud, nagKgenoa. faliaa