New York Stock Exchange in the Matter of Arbitration Between / NYSE Case: Arnold 1. Sinkto v PaineWebber Attorneys: Fbr Ciatoiant(s): Arnokl Sinkin - Hauppauge, NY For Respondent(s): Robert M. Berson - Weehawken, NY * Date Filed: 10/24/91 First Scheduled: Decided: February 19, 1992 Case Summary: Customer against Member Rrm for altoged faitore to execute. Sessions: Product: MUT FUND Market: Claim Data Claim

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: C. Edward Bellz v MerriH Lynch, Ptorce, Fenner & SmMi Attorneys: ForCtatoianld): Thomas F. Portelli Esq. - Hawttiorna, NJ For HaBDondanlto)' Mtohael J. Rtordan Esq: - Morristown, NJ Date Filed: io/28/9i First Scheduled: 03/os«2 Case Summary: Registered Representative against Member Firm to dispute over a six Pten." Product: OTHER Decided: 03/05/92

New York Stock Exchange NYSE in the Matter of Arbitration Between Case: Gary Horvatti v Shearson Lehman Brothers and Stephen Jones Gary Horvath v Shearson Lehman Brottiers and Stephen Jones Attorneys: For Claknant(s): Gary Horvath - Broomfiekl, CO Fbr Respondent(8): Ann Parry Esq. - New York, NY Date Filed: 11/05/91 First Scheduled: 02/24/92 Decided: 02/24/92 Case Summary: customer against Member Firm and Registered Representative for alleged mi

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Wllltom Fischer and Germaine Fischer v Shearson Lehman Brotiiers Inc Attorneys: For Clatoiant(s): WiHiam Fischer - Bayonne, NJ Fbr Respondent(s): Theodore Krebsbach Esq - New York, NY Date Filed: 09/16/91 First Scheduled: 03/17/92 Case Summary: Claimant alleges Respondant knowingly recommended a stock law suit, misrepresnting the stoclc to Ctoimant and breaching hi

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Julto J Podgers v Freehllng, a division of Cowen & Co. and Stuart Marous Attorneys: Rv Claimanl^: David Fsldman Esq - Chicago, IL For RaapondanlM: Beth Dorfman E6q • New York, NY Date Filed: 10/15/91 First Scheduled: 08/ia/92 Deckled; 08/13/92 Case Summary; Customer against member firm and regiatersd representative for negligance In failing to tender shares of

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04891 Robin Cheryl Ullman Names of the Respondents Hearing Site: Boca Raton, FL Salomon Smith Barney, Inc. and Anne Joyce Schleier REPRESENTATION OF PARTIES For Robin Cheryl Ullman, hereinafter referred to as "Claimant": Robert H. Rex, Esq., Dickenson Murphy Rex and Sloan, Boca Raton, FL. For Respondents Salomon Smith Barney, Inc. ("SSB") and Ann

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PaineWei)l)er, Inc. v Merrill Lynch, Ptorce, Fenner & Smith Incorporated Attorneys: For Claimant(s): Edward Werner Esq - Weehawken, NJ For Re8pondent(s): Spencer L. Schnekler, Esq. - New York, NY Date Filed: 09/26/91 First Scheduled: 03/10/92 Decided: 03/10/92 Case Summary: Member firm against member firm for $48,140 whtoh represents return of 1991 buy-in charge asse

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Julie D. DIIIS vs. Smith Barney, Harris Upham & Company Attorneys: For Clahnant(s): Joseph Dehner Esq. - Cincinnati, OH Fbr Respondent(s): David S. Friedman - New York, NY Date Filed: 10/25/91 Case Summary: claimant, a customer, Ctoimant seeks rescission and damages. First Scheduled: 09/17/92 Decided: 09/18/92 altoges unauthorized trades, breach of fidu

New York Slock ExchanRc In the Matter of Arbitration Between Case: Josopn p. OorMigan V WaH Street Oaarmg Attorneys: For Ctoimant(s): Joseph P. Donegan - Bronx, NY Fbr RespondenKs): Vtocent J. Fullerton - New York. NY y NYSE Date Filed: 10/30/91 First Scheduled: 02/21/92 Decided: 02/21/92 Case Summary: Ctoimant altoges Respondent refused to properly credit claimants account Product: OPT Maricet: Claim Data Claim: $3,1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frederick Warshall v Prudential Bache Attorneys: Fbr Clatoiant(s): Frederick I. Warshall - Brooklyn, NY For Respondent(s): Kevto McKay Esq. - New York, NY Date Filed: 10/21/91 First Scheduled: 03/03/92 Decided: 04/02/92 Case Summary: customer against Member Fkm for alleged converston in the unauthorized transfer. Customer seeks restoration of his position to the