New York Stock Exchange In the Matter of Arbitration Between NYSE Case; John N. Crew v. Dillon. Read & Co. Inc.; OiNon. Read HoMIng Inc.: SBC Warburg OBIon Read Inc.; Oavkf W. Niemiec: John P. Birkehind; Francois de SaihrPRale; and Franklin W. Hobbs IV Attorneys: For Claimant(s): James Oavkl Brown Esq. - Dallas. TX For Respondent(s}: Jonathan D. Thier Esq. - New Yoric. NY Date Filed: 07/22/1997 First Sctieduled: 03/03/1998 Decided: 1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Gruntal & Company vs. Frank Giachinta Attomeys: For Claimants): Joseph A. Vallo Esq. • New Yorit, NY For Respondent(s): Frank Giachinta - Hollywood, FL Date Filed; 07/11/1997 First Sclieduled; 01/O6/1998 Decided; 3/5/98 Case Summary: Member Firm alleges Respondent^ilure to make payment on unsecured debit balance and breach of contract. Product; EQU Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Gruntal & Company, L.L.C. vs. Sam and Esther Edelsberg Attorneys: For Claimant(s): Joseph A. Vallo Esq. - New York, NY For Respondents): Sam Edelsberg - Miami, FL Date Filed: 07/i6/i997 First Sclieduled: 01/07/1998 Decided; 1/7/98 Case Summary: Member Firm claimant alleges breach of contract, failure to make additional payments after expiration of options resulting i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Troyann R. Dougharty.SaimwiJ. OouM, Thomas H. Stawenaon. A Eugene Tbikar v Frank H, Blaok Attorneys: For ClabiMnt(e): ftOcholaB 0. Thomas Esq, - Raleigh, NC For Raepoiideiil(«): Coty Hohnbaum Eiq. - Charlotte, NC D«t» Filed: 0606/1997 Ri«t Scheduled: 03/17/1988 Dedded: 03/16/1998 Case Summaiy: Clahnanta, mambaraofan mvwtmentdub. alaga thatReflpondantieoommandodunsuNa

n "^ V New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Smith Barney, Inc. vs. David C. Calametti Attorneys: For Claimant(s): Miles Hart Esq. - BloomfieM Hills, Ml For Respondent(s): David C. Calametti - St. Petersburg, FL Date Filed: 07/03/1997 First Scheduled: 10/13/1997 Decided: 01/16/1998 Case Summary: Member Firm vs. Registered Rep (ex-employee) alleging that the respondenthas failed to honor the t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Stamatis and Adam Stamatis v Smith Barney Harris Inc., Joseph Delaney, John Magnesio, Rich Apicelle Attorneys: For Claimant(s)'. Georg M Stamatis - Pearl River, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 06/26/1997 First Scheduled: 11/20/1997 Decided: 7/14/1998 Case Summary: Claimants allege that their accounts were frozen without prop

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Chartwell Computer Sen/ices Inc. v. Merrill Lynch Attorneys: For Claimant(s): Audra A. Acquavella Esq. - New York, NY Aegis Frumento Esq. - New Yorit, NY For Respondent(s): Todd A. Zuckerbrod Esq. - New Yorit, NY Date Filed: 06/18/1997 First Scheduled: 10/28/1997 Case Summary: Claimant a public customer, alleges respondent,a memberfirm. Corporation without author

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William H. Hoffinan v. Dain Bosworth Incorporated and Louis Fisher Attorneys; For Claimant(s): Rebecca E. Bender Esq. - Minneapolis, MN For Respondent(s): J David Jackson Esq. - Minneapolis, MN Date Filed: 06/18/1997 First Scheduled: 03/16/1998 Decided: 06/24/1998 Case Summary: Claimant, a public customer, alleges violation of Section 10(b) of the Securities Exchange

Award NASD In the Matter of the Arbitration Between: Marcos A. Haber and Cecilia Perez, JTWROS, Claimants v. Young, Stovall & Company, Respondent Case Number: 01-04042 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Marcos A. Haber and Cecilia Perez, JTWROS, hereinafter referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, FL. For Respondent Young, Stovall & Company ("YSC"): Lonnie K. Martens, E

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: janney Montgomery Scott, Inc. v. Murphey Marseilles Smith and Nammack Inc., Richard Rogers, Robert Jacobs and Edward Cohan v. Janney Montgomery Scott, Inc. and Michael F. Napoli Attorneys; For Claimant(s): Thomas J. Hanrahan Esq. - Glen Rock, NJ For Respondent(s)'. William M. Dailey Esq. - Stamford, CT RobertA. Jacobs- New Yorit, NY Richard Rogers - New Yorit, NY Dat