New York Stock Exchange ..! the Matter of Arbitration Between NYSE Case: BII SuHivan Jones Burner v Merrill Lynch Pierce Fenner & Smith Inc. and Conrad Schmid Attorneys: Fbr Claifi)ant(s): Daniel B. Jones Esq. - Piano, TX Fbr Respondenl(s): Greg May Esq. - Dallas, TX Date Filed: 11/17/1995 First Scheduied: 07/09/1996 Decided: 3/24/97 Case Summary: claimant alleges that the registered representative improperiy induced her to sell a Unit I

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janet Terryberry v. Shearson Lehman Hutton Attorneys: Fbr Claimant(s): Janet Terryberry - Ventura, CA For Respondenl(s): Brian F. McDonough Esq. - New York, NY Date Filed: 11/01/1995 First Scheduled: 02/27/1996 Decided: 05/27/1997 Case Summary: claimant, a public customer, alleges funds were wittidrawn from her account by means of forgery and seeks raimbursamant of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rodman & Renshaw, Inc. v Guy A. Archbold Attorneys: For Claniant(s): Michael J. Lawson Esq. - San Francisco, CA Fbr Respondent(s): Ern G. Wallis Esq. - Oakland. CA Date Filed: 11/07/1995 First Scheduled: og/26/i996 Decided: Case Summary: Claimant, a member firm, has alleged that respondent breached his fiduciary duty and duty of kiyalty and that he misappropriated

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Philip Elghanlan v. Baird Patrick & Company Inc., Smitti Barney Inc. (a/k/a Smitii Barney Harris Upham & Company Inc., Marsh Btock & Company Inc., Kenneth Marsh and Richard Guercio Attorneys: For Clan»nt(s): Kennetti F. McCalInn Esq. - New York, NY Fbr Respondenl(s): Jeffrey P. Flynn Esq. - Newark, NJ Date Filed: 10/30/1995 First Scheduled: oe/ia/igge Decided: 09/18/

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nancy Day Van Morkhoven, (individually and as the Independent Executrix of the Estate of Frank Van Morkhoven, Deceased) vs. Herbert Harris and Merrill Lynch Pierce Fenner & Smith Incorporated Attorneys: For Ctaimant(s): Rory R. Olsen Esq. - Houston, TX For Respon(ient(s): Jeffrey J. Cotner Esq. - Houston, TX Date Filed: 10/25/1995 First Scheduled: 05/07/1996 Decided

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Natalia Salaczynskyj and Silvia Escalante-Sendrow v. Dilton Read & Oimpany Attorneys: For Clainnnl(s): Laura Schnell Esq. - New York, NY Judith P. Vladeck Esq. - New Yoric. NY For Respondent(8): RonaM M. Green Esq. - New York, NY Patricia A. Murphy Esq. - New York. NY Date Filed: 10/30/1995 First Scheduled: 07/23/1996 Decided: 12/05/1996 Case Summary: Claiman

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Martha Zepeda v. CS. First Boston Corporatkin. Slafano Nalella. Peter Grant and Hilary Gibson Attorneys: For Clalniant(8): Laura S. Schnell Esq. - Judith P. Vladack Esq. - York. NY New York. NY For Respondanlfs): Richard S. Boris Esq. - New Yoric, NY Neal D. Haber Esq. - Naw Yorit. NY Date Filed: 10/31/1995 Rrst Scheduied: 06/25/i996 Decided: 04/03

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: KkJder, Peabody & Co., Incorporated v Jonathon N. Pedersen Attorneys: For Claimant(s): Robert A. W. Boraks Esq. - Washington, DC Sheila A. Chervin Esq. - New York, NY For RBapondent(s): Nicholas P. lavarone, Esq. - Chicago, IL Date Filed: 10/06/1995 First Sciieduted: 04/29/1996 Decided: 6/4/1997 Case Summary: claimant alleges respondent failed to repay the balanc

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Julian Markby vs. PaineWebber, Inc/PW Partners 1993 L.P. Attorneys: For Claimant(s): Victor M. Metsch Esq. - New York, NY for Respondent(s): Dennis P. Orr Esq. - New York, NY Date Filed: 10/02/1995 First Scheduled: 12/20/1995 Decided: 04/10/1996 Case Summary: Registered Rep vs. Member Firm (ex-emptoyer) alleging involuntary unilateral termination and failure to pay f

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllliam J. Irvin, Executor of the Estate of Oavid A. Trevillian v. GerakJ L. Needelman and Smith Barney Inc. Attorneys: For Claimant(s): John C. Warley Esq. - Richmond, VA For Respondent(s): William A. Hohauser Esq. - New York, NY Date Filed: 09/11/1995 First Scheduled: O6/11/1996 Decided: January 3, 1997 Case Summary: claimant, a publk: customer, alleges churning, b