New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Joan K. Baxter a/k^ Joan K. Fries, In her sole right and as Executrix of Ihe Estate of Chariotte V. Kummerele vs. Grunlal & Company and Michael Pulitzer" Attorneys: For Claimants): Peter R. CeNa Esq. - New Yoric. NY For Respandeni(s): Evan J. Charices Esq. - New Yorit, NY Date Filed: 01/02/1998 First Scheduled: 05/27/1998 Dedded: 09/24/1998 Case Summaiy: Cu

f • y «ew York Stock Exchange NYSE Tn the Matter of Arbitration Between Case: Grunul & Co.. L.L.C. v. lisac Seibei Attomeys: For Claimants): David W. Scnmidt Eeq. - KanHwonh, NJ For ReapondenllS): Isne Beibel - BrDoMne. MA Oate Filed: 02n(vi998 First Sdieduled: oaso/isss Dadded: 6/30/1998 Case Summaiy: Memberflnm deimenl alleges debit batence in .euatamer account and nDnpeymemof promissory neie. Product: PROMISSORY NOTE Marke

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Barry F. and Cynthia S. Corn vs. W.J. Nolan & Company, Inc. Attorneys: For Claimant(s): Barry F. Corn - RklgefieW, CT For Respondent(s): Monica R. Harris Esq. - New Yorit, NY Date Filed: 02/18/1998 Case Summary: Customers Claimante allege Respondent's First Scheduied: 07/23/1998 Decided: 07/23/1998 V. Member Finn alleging feilure to fellow instructions to sell un

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheryl Hershingerv. Prudential Securities Inc. & Robert Carr Attorneys: For Claimant(s): Ralph A. Gant Esq. - New Yoric, NY For Respondent(s): Marvin Goklstein Esq. - Roseland, NJ Date Filed: 01/20/1998 First Scheduled: 07/14/1998 Decided: 11-27-1998 Case Summary: Sheryl Herslngerwas a registered represetetiveof Prudential Securities ("Prudentiar). She alleges th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phyllis R. Berry, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., ML Life Insurance Co. of NY, Inc., and Paul S. Kelly, (Respondents) Case Number: 01-04060 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Phyllis R. Berry, hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Giordano, Champa & Powers, LLP, Boston, MA. Respondents, M

L- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest, Inc. vs. Peter Blvona Attomeys: For Claimant(s): Joseph E. Gasperetti Esq. - New York, NY For Respondent(s): Gary S. Simon Esq. - New York, NY Date Fiied: 02/03/1998 First Scheduled: 05/13/1998 Decided: 05/13/1998 Case Summary: Member Fimi vs. Customer alleging respondentfailed to pay for two purchases of Tower Semiconductor, Ltd. stock which resul

New York Stock Exchange f n the Matter of Arbitration Between NYSE Case: Jane A Lievano, Indivkiually, and as Co-Trustee of the Guy Ayer, Jr. Trust v PaineWebber, Inc. and H. Timothy McKane Attomeys: For Clalmant(s): Steven J. Gard Esq. - Atlanta, GA For Rospondent(s): Hector Bedl Esq. - Weehawken, NJ Terry R. Weiss Esq. - Atlanta, GA Date Filed: 01/29/1998 First Scheduled: 09^4/1998 Decided: 11/20/1998 Case Summary: Claimant alleges

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam R. Kelly v Olde Discount Corp Attorneys: For Claimants): Willlam R. Kelly, Sr. - Clark. NJ For Respondents): Jonathan Harbach - Westfield. NJ Amy Kutt Richards Esq. - Detroit, Ml Christopher M. ZelesnIck.Sr. - Marlton, NJ Date Fiied: 01/20/1993 First Sdieduled: 05/08/1998 Decided: 07/01/1998 Case Summary: The Claimant alleges that the firm's bro

y New York Stock Exchange NYSE In the Matter of Arbitratioii Between Case: Carol T. Hurst v. Josepthal Lyon & Ross Incorporated Attorneys: For Claimant(s): John C. KeRy Esq. - West Pakn Beach. FL For RespoiNtoiit(s): Gary Miller, Esq. - Ft. Lauderdale, FL Date Filed: 01/22/1998 Rrst Scheduled: 08MM/1998 Decided: 10/15/1998 Case Summaiy: Claimant aleges unsuitable trading on margin, inisreprBsentayon, fraud, neglgence taRura to supervise, misinan

V - New York Stock Exchange In the Matter of Arbitration Between NYSE Case: R. Joseph Marllley. Jr. M.D. v. Charles Schwab & Company Inc. Attorneys: For Claimant(s): R. Joseph Marllley, Jr. M.D. - Englewood. CO For Respondent(s): .Steven Murphy, Esq. - San Francisco, CA DateFiled: 11/20/1998 First Scheduled: 06/17/1998 Decided: June 17, 1998 Case Summary: Claimant alleges failure to follow instructions and purchase of shares of Polo