New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Trad Newgard v Piper Jaffray Inc. Attomeya: For Clabnantts): John 0. Hudson Esq. • Oos Moines, IA For Reepondont(s): Mark S. ftaed Esq. - Mkinsapols, MN Date Filed: 04/16/1997 Rrst Schaduled: 02/io/i998 Decided: 04/13^998 Case Summary: Claknani, a customer, has aleged that respondenlengagedlnunsultablo trading and chuming. Claimant has also aleged that miarepiese

few York Stock Exchange In the Matter of Arbitration Between y NYSE Case: JJC Specialist Corp. vs. Lek. Schoenau & Company Attorneys: For Claimant(s): Sanford A. Bell Esq. - New York, NY For RespondenKs): Philip R. Schatz Esq. - New York, NY Date Filed: 05/09/1997 First Scheduled: 08/12/1997 Decided: 02/04/1998 Case Summary: Member Firm vs. Member Firm alleging Respondenthas failed to pay the full amount due on Claimant's specialist

New York Stock Exchange In the Matter of Arbitration Between y- NYSE Case: Prudential Securities Inc. v Tewfik Kodsy, Marie Therese and The Tewfik Kodsy Trust Attorneys: For Claimant(s): Arthur BaumgartnerEsq. - New Yori< , NY For Respondent(s): The Tewfik Kodsy Trust - Greenwich, CT I^ate Filed: 04/30/1997 Case Summary: Claimant seeks to recover First Scheduled: 10/08/1997 unsecured debit balance in claimant's Product:

•y" New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Deluca v. Bear, Steams & Co. Inc.. Anne F.P.Convin, Kathleen A. Cavallo and Steven Lacoff Attorneys: For Claimant(s): Gerald Jay Resnick - Springfield, NJ For Respondentia): Robert N. Holtzman Esq. - New Yorit, NY Date Filed: 05/02/1997 First Sclieduled: 09/22/1997 Decided: os/2i/l998 Case Summary: Claimant, a fonner employee of member firm, claims he

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Milton Heiman v Shearson Lehman Brothers (Smith Barney, Inc.) Attorneys: For Claimant(s): Marc W. Garbar Esq. - Bellmore, NY For Respondent(s): Christopher B. O'Malley Esq. - New York, NY Date Filed: 04/25/1997 First Sclieduled: 10/06/1997 Decided: 05/28/1998 Case Summary: Claimant alleges Respondentassured him that bonds purchased would never be called. The bo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Milton Mann v Smith Bamey Inc. and Michael Donnelly Attomeys: For Claimant(s): Peter S. Pearlman Esq. - Saddle Brook, NJ For Respondent(s): Ellen Slipp Esq. - New York, NY Date Filed: 04/25/1997 First Sclieduled: 10/14/1997 Decided: 01/16/1998 Case Summary: Claimant alleges that Respondents failed to execute a short sale against the box which he ordered. Product

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: [3ouglas J. Palmieri v. Josephthal, Lyon & Ross, Inc. Attorneys: For Claimants): Andrew S. O'Connor, Esq. - New York, NY For Respondent(s): Robert E. Murphy Esq. - New York, NY Date Filed: 04/25/1997 First Scheduled: 11/10/1997 Decided: i^ay 21, 1998 Case Summary: Fomner employee alleged violation of the Family and Medical Leave Act of 1993 (FMLA). Claimant all

New York Stock Excliange In the Matter of Arbitration Between y NYSE Case: Jose M. Baeza-Gonzaiezv PalneWebbar.lnc. and Angel Suarez Attorneys: For Cfaimant(s): Harold 0. Vicente Esq. • Hato Ftey. PR For Respondent(s): Guillermo J. Bobonis Esq. - San Juan, PR Date Filed: 04/11/1997 First Scheduled: 02A)5/i998 Decided: qs/i4/i998 Case Summary: Claimant a customer, has alleged that respondenttaiied to timely execute a short sale of Sfi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mariene Jupiter v Donaldson, Luficin & Jenrette Securifies Corporation and Donaldson, Luficin & Jenrette, Inc. Attorneys: For Claimant(s): Steven G. Eckhaus Esq. - New Yoric, NY For Respondent(5): Kennetti J. Kelly Esq. - New Yoric, NY Date Filed: 04/14/1997 First Scheduled: 10/22/1997 Decided: 07/20/1998 Case Summary: Claimant alleges ttiat Respondentediscriminated

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Pmdential Secunties Incorporated v. Samuel A. Ruth Attomeys: For Claimant(s): G. Wayne Hillis Esq. - AUante, GA For Respondent(s): Debner C. Gowing, III Esq. - Delray Beach, FL Date Filed: 04/04/1997 First Scheduled: 08/19/1997 Decided: 3/5/98 Case Summary: Member fimn claimant alleges breach of employment agreementand nonpaymentof promissory note. Product