New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Margto C. Wolffe and Herbert H. Wolffe v Prudential Bache Security Co. and Bernard Cohen Attorneys: Fbr Claimant(s): Margto and Herbert Wolffe - Laudertiill, FL Fbr Respondent(8): Garry Lischin Esiq. - New York, NY Date Piled: 10/21/91 First Scheduled: 12/20/91 Decided: 12/20/91 Case Summary: Customer against Member Rrm and Registered Representative for altoged unsui

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: F. Eklora Porter vs. Rauscher Pierce Refsnes. Inc., Joseph Ballantyne, Jane Doe Baltontyne and John Dean Schipfer Attorneys: Fbr Clatoiant(s): Osmond Burton, Jr. Esq. - Tucson, AZ Fredertok J. Marcelli Esq. - Tucson, AZ Fbr Respondent(s): Willtom N. Poorten Esq. - Tucson, AZ Date Filed: 10/28/91 First Scheduled: 03/17/92 Decided: 05/27/92 Case Summary: Customer v

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Meehan v Smrth Barney, Harris Upham & Co. Attorneys: For Ctojniant(s): Joseph Meehan - Plymouth, MA For Respondent(s): Linda R. Alport Esq. - New York. NY Date Filed: 10/31/91 First Scheduled: 02/26/92 Case Summary: Customer against Member Firm for alleged tosses Incurred as a allegedly unauthorized purchase of 2,000 shares Grossmans. Product: EQU Decided

New York. Stock Exchange In the Matter of Arbitration Between NYSE Case: Hatcher D. Hoyt and /Uvene H. Hoyt vs. Merrill Lynch Pierce Fenner & Smitii, Inc. Attorneys: For Claimiant(s): Charles E. Davis Esq. - Oriando, FL For Respondent(s): Todd A. Zuckerbrod Esq. - New York, NY Date Filed: 10/28/91 First Scheduled: 02/25/92 Decided: 02/25/92 Case Summary: customers vs. Member Firm alleging unsultabto investments in specutotive stocks and

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Robert E Winter v. Marriy Lynch Ptom Famer a Snitti Ina TDomas A Ftoktoger Attomeys: For Ctatoianl{t): Robert E. Winter - Fans Church. VA For ne»pondwit(B)- Jaffray P. Btoom Esq. - Washtogton, DC Date Filed: ion7/9i First Scheduled: oa/si/sz DecMed: 03/31/02 Case Summary: Ctatowrt aBeges respondanl faitod to foltow stated okjectives and toBtructtons and ptaoed funds to C

New York Stock Exchange In the Matter of Arbitration Between NY; SE Case: Joseph Van Stippen v A.G. Edwards & Sons, Inc. Attorneys: For Ctahnant(s): Joseph Van Stippen - Harrison, NY Fbr Re8pondent(s): Donald Bernstein - St. Louis, MO Date RIed: 10/14/91 First Scheduled: 01/13/02 Decided: 01/13/92 Case Summary: customer against Member Rrm for the difference between the $6.00 per share amount the registered representative was insb

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants / Counter-Respondents Robert Hamey and Paul Makray, Jr., Co-Trustees for the Paul Makray Trutt and Case Number 01-04890 Hearing Site: Chicago. 1L Name of Respondent Morgan Stanley Dean Witter, Inc., and Name of Respondent / Counter-Claimant Gordon G. Maik MATURE OP Customers v. Member and Associated Person Robert Hamey and Paul Ma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities vs. Scott Tarone Attorneys: Fbr CtatoianKs): Robto Nackman Esq. - New York. NY For Respondent(*): Scott Tarone - Phoenix, AZ Date Filed: 10/21/91 First Scheduled: 03/19/92 Decided; 11/16/92 Case Summary: Member Firm vs. Registered Rep (ex-emptoyee) seeking to recover the amount of a promtosory nota arising bvm RespondenTs termination for cau

New York Stock Exchange [n the Matter of Arbitration Between / NYSE Case: T. Kmn Feehan, T.K. Feehan Tradtog Corp., Cattierine J. Feehan, and Julto A Feehan and Rev. Stephen S. Feehan, Trustees for Christine Julto Feehan, Trustees for Kevin Thomas Feehan, and Trustees for Mtohael Stephen Feehan v Gavin, Benton & Co. (Formerly Gavin & Co.) Attorneys: For Clatoiant(s): Sheklon E. GoMstein Esq. - New Yori(. NY Fbr Respondent(s): Rtohard Brodertok E

New York Stock Exchange In the Matter of Arbitration Between NYSE Cass: Louise Freeaan vs. Bear StearTis & Conpany, Inc. vs. Richard Freenan' Attorneys! For ClainntCs): Robert 0. HcCloud, Jr. - Atlanta, GA For RespondentCs): Uilllan C nailery Esq - Neu York, HY Date Filed: 09/24/91 First Scheduled: 05/05/92 Decided: 05/05/92 Case Sunnary: Clainant alleges RespoTident failed to execute stop loss orders to sell silver contracts. Claimant a