New York stocK Exchange In the Matter of Arbitration Between / NYSE Case; Ruanne McKlnney vs. Shearson Lahman Hutton /\merican Express, Inc., and James Sutton Attorneys: For Clainnnl(s): Don Weitinger Esq. - Houston, TX For Ftospondeni(s): Linda Yarden Esq. - New York, NY Date Filed: 02/27/90 First Scheduled: 01/09/91 Decided: O8/06/92 Case Summary: Customer vs. Registered Representative and Member Firm alleging misrepresentation, fr

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Stanley B. Gordon and Nicole B. Gordon v Shearson Lehman Inc. Attorneys: For Clainiant(s): & Mrs. Stanley B. Gordon - Woodland Hills, CA Fbr Respondent(s): Theodore Krebsbach Esq. - New York, NY Date Filed: 10/I8/91 First Scheduled: 04/24/92 Decided: Case Summary: customer against Member Firm for fraud and misrepresentation in connection with bond fund purchases. Product; BO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Graham S. Cundick, (Claimant) vs. Salomon Grey Financial Corp. and Edgar B. Alacan, (Respondents) Case Number: 01-04906 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Graham S. Cundick, hereinafter referred to as "Claimant": Christopher J. Bonner, Esq., Hiscock & Barclay, LLP, Syracuse, NY and Onofrio J. Puleo, Esq., a sole practitioner, Utica, NY. Resp

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thelma M. Anderson vs. J.C. Bradford & Company and Carol McMillan Attorneys: For CUrnartfjt): Thelma M. Anderson - Jackson, MS For Respondent(s): James G. Davis Baq. - Nashville, TN Date Filed: 12/02/91 Rrst Scheduled: 04/20/92 Decided: 04/27/92 Case Summary: Claimant alleges negligence, failure to monitor her account and unsuitable investments in Federal Express arx

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Jcrge 'J. Ragde, K.O., Inc. Oafinsd Contritsjiion ."ensicn Trjst and Jorge U. Ragds, M.D. IJS. Profit Sharing Plan Trust V. Dean Uitter Reyr.oids, Ins. erd Deniel Crsr^ Attorneys: For ClaiaantCs); Qians C. .'^iss.her Esq. - Chicago, IL For RespondentCs); .^ Laspart Esq - San .'^rencisco, CA Oata Filed: 10/30.''91 First Scheduled: 0B.'2Q.'92 Decided: I W 5"/< / 2_ Case Suaaary

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert C. Willians vs. Kemper Securities Group, Inc.. Bateman Eichler Hiil Richards, Terry Crowe, Kenneth L Schaaf and Kemper Clearing Corooration Attorneys: For Ctatoiant(8): Robert C. Willtoms - Seattle, WA For Re8poRdem(s): Terry A. Crowe - Seattto, WA Theodore F. Gnpkey Esq. - Chicago, IL Kenneth L. Schaaf - Seattto, WA Date Fiied: 12/02/91 First Schedu

Nc«« \iirk MiM.k i .\t.h.i(ii;c In tile Matter of .Vrtiitration Kctwecn y NYSE Case. I'na N.igur v Cpoorineimor & Co.. Inc., Thomas Ventresca and Charles Abry and Smith Barney Harris Upham & Co., Inc. Attorneys: For Claimam(s): Karen M. Riggio Esq. - Stamford. CT For Respondem(s): Joseph C. Pickard Esq. - New York, NY /Uejandro Schwed Esq. - New York, NY Date Filed: 11/15/91 First Scheduled: 03/26/92 Decided: 11/13/92 Case Summar

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Herman P. /Uswanger v Gruntal & Co., Inc. Attorneys: For Clatouuit(s): Christt>pher C. Fountain Esq. - Okl Greenwtoh, CT For Respondem(s): Kevin T. Rover Esq. - New York, NY Date Filed: 11/25/91 First Scheduled: 07/01/92 Decided: 07/02/92 Case Summary: Claimant a customer, has alleged that respondents engaged in unsultabto trading and churning in the accoum. It is a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John S. MacGowan vs. A.G. Edwards & Sons, Inc. Attorneys: For Ctotoiant(s): Edward J. Gilhooly Esq. - Morristown, NJ For Respondent(s): Willtom S. Port Esq. - St. Louis, MO Date Filed: 11/25/91 First Scheduled: O3A)6/92 Decided: 09/09/92 Case Summary: Registered Rep (ex-emptoyee) vs. Member Firm alleging wrongful discharge, breach of comract, tortious imerference

X New York Stock Excliange In the Matter of Arbitration Between NYSE Case: Douglas R. Brewer and Kenndra B. Breuer v. Roney and Co. Attorneys: For ClaieantCs): Douglas R. Breuer - Ann Arbor, ill For RespondentCs): Raymond Henney Esq. - Detnit, MI Date Filed: Case Sumnary H/'01/9i First Scheduled; : Claimant alleges unauthorized trading Product; 04/04/92 Decided: in contravention of expressed instructions. BOND