New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lisa Albertine v. Hambrecht & Quist LLC and Steven R. Aaron Attorneys: For Claimant(s): James A. Batson Esq. - New York, NY For Respondent(s): Steven N. MachtingerEsq. - San Francisco, CA Date Filed: 03/12/1998 First Scheduled: 08/04/1998 Decided: 07/14/1998 Case Summary: Registered representative v. member firm (fbrmer empteyer) and employee, attomey, alleging wrong

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: christian Caring Center Church of Holy Light by Merie Crosby v. Quick & Reilly Inc. Attorneys: For Claimants): David Fairfield - Kihei, HI Davkl Fairfield - Kihei, HI For Respondents): Douglas S. Flaherty Esq. - New Yorit, NY Date Filed: 02/24/1998 First Scheduled: Decided: 06/24/1998 Case Summary: Claimant, a public customer, alleges respondente memberfirm, fell

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Joseph DiSalvo v. Charies Schwab Attorneys: For Claimant(s): Joseph DiSalvo - Yoridown. NY For Respondent(s): Eamonn F. Foley Esq. - New Yorit, NY Date Filed: 02/09/1998 First Scheduled: 05/20/1998 Decided: 06/29/1998 Case Summary: Claimant alleges that the firm's telebroker personnel erroneously advised him that his cancel order fbr a short sale had been

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lin Lin Lee (Claimant) v. Citicorp Investment Services (Respondent) Case Number: 01-04062 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Lin Lin Lee ("Lee") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Chi-Yuan Hwang, Esq., Flushing, NY. Respondent Citicorp Investment Services (

• \ New Yorli Stock Exchange In the Matter of Arbitration Between NYSE Case: David M. Treadwell 8i Gloria Treadwell v. Prudential Securities, Inc. & Ryan Mummert Attorneys: For Claimant(s): David M. Treadwell - Albuquen:|ue,NM For Respondent(s): Jeffrey Cohen Esq. - New Yorit, NY Date Fiied: 02/23/1998 First Sdieduled: 06/04/1998 Decided: 06/04/1998 Case Summary: Customer claimant alleges mismanagement, feilure to fbllow Instruct

'^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Timothy R. Clancy Attorneys: For Claimant(s): Steven P. Gomberg Esq. - Chicago, IL For Respondent(s): Arthur C. Koski Esq. - Boca Raton, FL Date Fiied: 02/23/1998 First Scheduled: 07/07/1998 Decided: 07/27/X998 Case Summary: Member fimn claimant alleges breach of settlement agreement Product: OTHER Market: Clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gmntal & Co., LLC v. Wyman P. Boynton Attorneys: For Claimant(s): David W. Schmidt Esq. - New Yoric, NY For Respondent(s): Wyman P. Boynton - Portsmouth, NH Date Filed: 01/13/1998 First Scheduled: 6/4/98 Decided: 6/4/98 Case Summary: Member firm claimant alleges customer failed to retum funds wrongly deposited to the account. Product: OTHER Maricet: Claim

/ New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Gruntal & Co. LLC v. John P. Conroy Attorneys: For Clalmant(s): David W. Schmidt Esq. - New Yoric. NY For Respondent(s): John P. Conroy - Boston, MA Date Fiied: 01/13/1998 First Scheduled: 6/4/98 Case Summary: Memberfirm claimant alleges customer failed to respond to margin call resulting Product: OTHER Decided: 5/4/98 1 In account liquidatio

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephine D'Ambroslo v. Merrill Lynch, Pierce, Fenner & Smith Inc., William Lucadamoand Ben Grimakli Attorneys: For Ciaimant(s): Dan A. Druz Esq. - Manasquan.NJ For Respondents): Marianne Bretton-GranatoorEsq. - New York, NY William Lucadamo- Bayside, NY Date Filed: 01/08/1998 First Scheduled: 06/18/1998 Decided:. 7/30/98 Case Summary: claimant alleges the Respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Principal Financial Securities, Inc. v. Stephen M. Tenzer Attorneys: For ClaimanKs): Renan I. Sugarman Esq. - Chicago, IL For Respondent(s): Stephen Tenzer - Del Ray Beach. FL Date Fiied: 0i/07/i998 First Scheduled: 07/15/1998 Dedded: 09/17/1998 Case Summary: Member firm claimant alleges breach of contract and failure to pay fbr transactions of Compaq Computer Corp.