~~> ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis B. Uoyd v Republic New York Corporation and Republic New York Securities Corporation Attorneys: For Claimant(s): Irwin J. Sugarman Esq. - New York, NY For Respondent(s): Mark F. Pomerantz Esq. - New York, NY Date Filed: 12/22/1994 First Scheduled: os/is/igge Decided: 01/31/1997 Case Summary: Cteimant, the former president and CEO of the respondent

New York Stock Exchange In the Matter of Arbitration Between NYSE Cau: BMT Shwnis i Cemiwny ins, V. Curtlis rWwr Atiofneya; MGTMI C. UBOIMI Eiq,. LMO BHCII. CA For nsspondantli): CirtH ftrMf - Ln AfiQilsi. CA D«tePlM:oi/09/iMS Fint Scheduled: oem/iMi D«cldad:«fi/i4/iW7 Case Summary; Ctahnani, • naniw win, alagss laspendMA a rsglMmd Mpn^wiMiM md ioM^ enti< »pwwlwM*yiwMs»yonisfiwlnailon«faiiiylDyiwswl,acsordhgl8ftelSinBo(ii< dnow. CWmafflMOl

Award NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Case Number: 01-04087 Troy Goldberg Joseph Carrino Name of the Respondent Hearing Site: Boca Raton, FL John Arnold REPRESENTATION OF PARTIES For Troy Goldberg ("Goldberg") and Joseph Carrino ("Carrino") hereinafter collectively referred to as "Claimants": Troy Goldberg, Ft. Lauderdale, FL. Respondent John Arnold ("Arnold") did not appear. CASE I

New,York Stock Exchange A the Matter of Arbitration Between NYSE Case: Diana L. Read v. Merrill Lynch. Pierce. Fenner & Smith. Inc. Attorneys: For Claiiranl(s): Hal K. Giltespte Esq. - Daltes, TX For noiipondorl(>): James Jordan Esq. - Dallas, TX Grao May Esq. - Dallas, TX Date Fiied: 11/21/1994 First Scheduled: 0&09/1995 Decided: 1-13-1997 Case Summary: Claimant alleges ttiat foUowing her terminatton of employment, the responden

New York Stock Exchange NYSI: In the Matter of Arbitration Between Case: Bsduschi Rtocardo, el al v Dean Witter Reynolds. Inc. Attorneys: For Claimanl(4: Shjart A. Jackson Esq. - New Yorit, NY Fbr RBBpondenl{B): William H. Pratt Esq. - New Yorit, NY James D. Yelten Esq. - New Yorit, NY Date Filed: 11/17/1994 First Scheduled: 09A)6/199S Decided: 09/23/1997 Case Summary: Cteimants, customers, have alleged negligence and fraud in that respo

/ / New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Carol Alt and Ron Greschner v. Lehman Brothers Inc.. Smith Barney Shearson Inc. and Kenneth Miller Attorneys: For Claimant(s): Theodore G. Eppenstein Esq. - New York, NY For Respondent(s): Elten Slipp Esq. -New York. NY Date Filed: 10/27/1994 First Scheduled: 07/18/1995 Decided: 09/30/1997 Case Summary: Claimants, public customers, allege Respondents, a member firm and r

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Francis J. Naphln. Jr. v. PaineWebber Incorporated Attorneys: For Claimant^): Arthur Sternberg Esq. - Chicago. IL For Respondent(s): James L. Komto Esq. - Chciago, IL Date Filed: 11/07/94 Case Summary: aaimant U.S.CA. 621. First Scheduled: alleges member firm terminated claimant'^ Product: 07/20/95 s emptoyment based on Decided: ii-(i(' ag

/^ \ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities. Inc. vs. John Carlson Attorneys: For Clainf»nt(s): Terry Ross Esq. - Long Beach. CA For Respondeni(s): A. Kendall Wood Esq. - San Diego, CA Date Filed: 09/09/1994 First Scheduled: 08/28/1995 Decided: O6/06/1997 Case Summary: Member firm against former registered representative for balance due on a promissory note. Respondent has counterc

^W.V -•••.is-- \y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers Inc. v DonaM W. Mercurio & Dean WMer ReynoMs Inc. Attorneys: For Clainiantfs): Casey Baum - New Yoric, NY Fbr Respondent's): DonaM W. Mercurto - Forest Hills, NY James D. Yellen Esq. - New York, NY Date Filed: 08/22/1994 First Scheduled: 11/02/1995 Deckied: og/17/1997 Case Summary: claimant, a member firm, has alleged tha

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Irving Resntok v Astol & Company Attorneys: For Claimant(s): Peter Vaughan Esq. New York, NY For Respondent(s): John F. Cannon Esq. - New York, NY Date Filed: 04/25/94 Case Summary: claimant. First Scheduled: a former emptoyee has alleged that he \ Product: 09/20/94 Decided: 09/20/94 was wronglully terminated due to age discrimination. M