^ New York Stock Exchange In the Matter of Arbitration Between "•> NYSE Case: L. Jean Bullis v Bear, Steams & Co. and Richard Lingren Attomeys: For Claimant(s): James L. Pray Esq. - Des Moines,, 10 For Respondent(s): Dennis W. Johnson Esq. - Des Moines, 10 Date Filed: 08/26/1997 First Scheduled: 08/12/1998 Decided: 08/25/1998 Case Summary: Claimant a customer, has alleged that respondentsengagedin unauthorized and unsuitable trad

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: oppenheimer & Co., Inc. v Wayne A. Beugg Attorneys: For Claimant(s): Joseph J. Sullivan Esq. - New York, NY For Respondent(s): Jeffirey J. Kalinowski Esq. - St Louis, MO Decided: 05/13/1998 Date Filed: 09/02/1997 First Scheduled: 05/05/1998 Case Summary: Claimant, memberfirm, has alleged that respondenthas failed to repay money he owes as a result of a promissory not

IX New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Christopher Wetzel vs. MVI Equities, Inc. and Michael G. Mastrangelo Attorneys: For Claimant(s): ChrlstopherWetzel- Levittown, NY For Respondent(s): James L. Rothenberg Esq. - New York, NY Date Filed: 08/28/1997 Case Summary: Claimant, First Scheduled: 01/21/1998 a fonner employee, has alleged that respondentfailed to Product: pay Decided

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., L.L.C. v Bradley Meyer Attorneys: For Claimants): David W. Schmidt Esq. - Kenilworth, NJ For Respondent(s): Bradley J. Meyer- New York, NY Date Filed: 08/29/1997 First Scheduled: 02/04/1998 Decided: 06/25/1998 Case Summary: Claimant a member firni has alleged that respondentflled to rUpay the balance due as a result of a promissory note. Respondent

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerrell M. Huoer vs. Dean Witter Reynolds, Inc. Attorneys: For Claimant(s): Dale Ditto Esq. - Lexington, KY Charles C. Mlhaiek Esq. - Lexington, KY For Respondent(s): James D. Yellen Esq. - New York, NY Date Filed: 09/18/1997 First Scheduied: 05/06/1998 Decided: 5/20/1998 Case Summary: Claimant alleges that his account was wrongfully liquidated and that the r

Award NASD Dispute Resolution Inine Matter ol the^Arbitration between: Name of the Claimant Case Number: 01-04051 Don Peebles Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Don Peebles ("Peebles"), hereinafter referred to as "Claimant": Steven R. Reininger, Esq., Rasco Reininger Perez & Esquenazi, P.L., Coral Gables, Florida. For Merrill Lynch, Pierce, Fenner & S

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael J. Koblitz v. Gruntal & Company, LLC Attorneys: For Claimants): Jennifer Freeman Esq. - New York, NY For Respondents): Peter Vaughn Esq. - New York, NY Date Filed: 08/27/1997 First Scheduled: 04/21/1998 Decided: in-1^-iqQR Case Summary: Mkdiael KoblHz was a managing director in Gnintafs Bankruptcy and ReorganizatkMi department In Januaiy of 1997, Gruntal

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Gruntel & Co. L.L.C. v. Jeffrey Smith Attorneys; For Claimant(s): J. Ifesley Hblston, Esq, For Respondent(s): Jay Sotowsky Esq. - Miami. FL ~ Miaird, FL Date Filed: 09/04/1997 First Scheduled: 03/04/1998 Decided: 7/14/1998 Case Summary: Member Firm claimant alleges breach of Employment/Agreement and non-paymentof Promissory Note. Product; PROMISSORY NOTE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Michael A. Valte v. PaineWebberlncorporated and Marie Serby Attorneys: For Clalmant(s): Ralph A. Gant • New York, NY For Respondent(s): Sandra Grannum Esq. - Weehawken, NJ Date Filed; 08/29/1997 First Scheduled; 05/07/1998 Decided; 05/29/1998 Case Summary; ClaimanL a registered representetive and fonner employee, aUeges wrongful tennination and defamation based upon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Bamey ina v Beveriy L. Bimholz Attorneys; For Claimants): Mark Alonso, Esq. - New York, NY fat Respondents): Drew S. Sheridan Esq. - Miami, FL Date Filed: 08/22/1997 First Scheduled: 03/03/1998 Decided; 3/3/9S Case Summary: Member Firm daimant alleges wrongful retentton of proceeds and divkfends of ZWEIG FUND, Inc. Respondentflled counterclaim in the answer