New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: James Giannuzzi vs. Quick & Reilly Attorneys: For ClaJnnnt(s): James Giannuzzi - New York, NY Fbr Respondent(s): Joe Corso - New York, NY Date Filed: 11/14/91 First Scheduled: 05/28/92 Decided: 09/18/92 Case Summary: Customer vs. Member Firm seeking tiie reversal of an alleged unauthorized ttansaction involving Mass Microsystems stock. Claimam seeks damages

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard X. Bove v Dean Witter Reynolds Incorporated Attorneys: For Clatoiam(s): Avrom R. Vann Esq. - New York, NY Fbr Respondent(s): Barry J. Mandel Esq. - New York, NY Date Filed: 02/14/91 First Scheduled: O6/05/91 Decided: O6/17/92 Case Summary: Non-Member against member firm for bonus dispute. Ctolmam also requested a second amendmem tt> his U-5 form. The or

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Thomas & Rebecca Kenagy v Cari Kraeplin & Rauscher Pierce Refsnes Inc. Attorneys: For Ctoiniant(s): Thomas E. Kenagy ' Carrollton, TX For Respondem(s): James T. Ritt Esq. - Dallas, TX Date Filed; 10/29/91 First Scheduled: 04/30/92 Decided: 04/30/92 Case Summary: customer v member firm and its registered representative. Claimant seeks damages for tosses arising ou

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the. Claimant James C. Robinson Case Number: 01-04904 Names of the Respondents Morgan Stanley Dean Witter & Co. James F. O'Sullivan Donald W. Kellerman Hearing Site: Washington, DC RF.PRFSFNTATTON OF PARTIES Claimant, James C. Robinson, hereinafter referred to as "Claimant", was represented by Benjamin D. Pelton, Esq., Pelton, Balland, Young, D

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack and Walsto Jennings v Shearson Lehaman Hutton, inc., Shearson , Lehman, /American Express and Gwendolyn Biggs Attorneys: For Ctotonnt(s): I Paul H. Greisen Esq. - Sacramemo, CA i { For Respondent(s): Joseph P. RussonieUo Esq. - San Randsco, CA Cameron Stout Esq. - San Francisco, CA Date Filed: 11/29/91 First Scheduled: 09/24/92 Decided: / 5//7/93- Case S

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roberts Proprietaries Inc. v Prudential-Bache Securities Attorneys: Fbr Ctoiniant(s): Keith Roberts - Moonachie, NJ For Respondem(s): Joel Levinson Esq. - New York, NY Date Filed: 10/28/91 First Scheduled: 04/23/92 Decided: 05/19/92 Case Summary: Ctolmam, a customer, has alleged that respondents made misrepresemations regarding the number of debentures to be tendered

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Jacqulyn 0. Armijo v. Prudemtol Securities Inc., a Detoware Corporation and Stevan M. Sdiroeder Attorneys: For Claknant(s): Robert M. Strumor Esq. - Albuquerque, NM Fbr Respondent(s): James O. Browning Esq. - Altnjquerque, NM Date Filed: 11/19/91 First Scheduled: 02^)4/92 Decided; 5/27/92 Case Summary: ctolmam alleges unsuitable ttades in Limited Partnerships,

V-< L. New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patrick Phelan v Dean Witter Reynolds Inc. Attorneys: For Clalnuuit(s): Michael Roche Esq. • Chicago, IL Fbr Respondem(s): Roger Taylor Esq. - Chicago, IL Date Fiied: oi/09/90 Firet Scheduled: 01/09/91 Decided: „ 1 / Case Summary: Former registered Representative against Member firm for unpaid commissions and bonuses. Claimant also alleges age discrimination an

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jeffrey S. Welsz v Gruntal & Company Inc. Attorneys: For Clatoiant(8): Peter W. Bums Esq. - Bridgeport, CT For Respondent(s): Erto Huttier Esq. - New York, NY Date Filed; 09/23/91 First Scheduled: 08/13/92 Decided: O8/13/92 Case Summary: Registered Representative against Member firm for alleged breach of expressed emptoymem comract, and failure to compensate.

^^^w York Stock Exchange .a the Matter of Arbitration Between NYSE Case: Customer ^- Merrlll Lynch, pierce, Fenner & Smith, Inc., et. al. Attorneys: For Claknam(s): Claimant - Customer For Respondem(s): Todd Zuckerbrod Esq. - New York, NY Date Filed: 09/28/90 Case Summary: Customer vs First Scheduled: 04/04/9i Decided: 07/24/92 Member Firm and Registered Representative where ctolmam alleges unauttiorized stock trades Product: EQU