New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Velez v Dean Witter Reynolds and Llorans and Jane Doe Attorneys: For Ctoimam(s): Cesar A. Matos-Bonet Esq. - Hato Rey, PR For Respondent(s): Nestor M. Mendez Gomez Esq. - Hato Rey, PR Date Filed: 10/04/91 First Scheduled: 07/29/92 Decided /V^/^ Case Summary: Clalmams. customers, have alleged that purchases of Guaramee Fund Aircraft Income Fund and same other "Jun

4 y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal v Louderback Attorneys: For Claimam(s): Joan M. Markey Esq. - New York, NY Fbr Respondent(s): James Louderback - Novate, CA Date Filed: 10/11/91 First Scheduled: Decided: Case Summary: Clalmam, a member firm, has alleged that respondem failed to honor his obligations under a promissory note. Sessions: Product: PROMISSORY NOTE Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Reglnakl C. Miller, Inc. Pensnn and Profit Sharing Trust vs. Pnidential Securities, Inc., Edward Green and Geraki A. Cantor Attorneys: For Clatoiant(s): Roger C. Miltor - New York, NY Fbr Respondent(s): Ron Jamison Esq. - New York, NY Date Filed: 10/04/91 First Scheduled: 03/24/92 Decided: 04/14/92 Case Summary: Customer vs. Member Firm, Branch Office Manager and Reg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph B Pozntok v Jesup Josephthal & Company, successor to Securities Setttoment Corp Attorneys: For Ctoiniant(s): Lauren W Falk Esq - Clark, NJ For Respondent(s): Joseph Schmidt Esq. - New York, NY Date Filed: O8/19/91 First Scheduled: 02/24/9X Decided: ^Af/?^ Case Summary: ctoimant alleges that respondem made two unauthorized purchases whtoh were not cancelled

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Kkider Peabody & Co., Inc. v Joseph Frost Attorneys: For Ctoimant(s): Rtohard Kelly Esq. - New York. NY Fbr Re8pondent(s): Eugene Portman Esq. - Brentwood, MO Date Filed: 09/16/91 Case Summary; Claimant his termination. First Scheduled: 10/21/92 alleges that Respondem has failed to honor tiie terms of s Product: OTHER Decided: 10/21/92 1 Pro

New York Stock Exchange :n the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers Inc. v Kevin Jackson Attorneys: For Ciatofiant(s): Robert P Bramnik Esq - Chtoago, IL For Respondent(s): Kevin Jackson - Napervilto, IL Date Filed: 10/10/91 First Scheduled: 03/26/91 Decided: March 26, 1992 Case Summary: Claknant alleges ttiat Respondent owes ttw balance of a toan, pursuant to a promissory nota, whtoh came due upon his re

•. iK:c','-:iTSK36^jia?tSiW5?i.;s«£.-. / New York Stock Excjliange In the Matter of Arbitration Between NYSE Case: Donald F. Landers; Donald F. Landers, TTEE; and PSI International, Inc. v Shearson Lehnan Hutton Inc., CT. Fudold and George Hlragaya Attorneys: For ClalBBnt(s>: Joseph H. Spiegel Esq. - Southfield, ni For Reapondent(s): Ualter Plzcatokskl Esq. - Bloonfield Hills, NI Date Filed: 09/24/31 First Scheduled: 0*/07/9Z Dec

Stipulated Award NASD In the Matter of the Arbitration Between: Deanna Henderson and Jocelyn A. Moselle and Deanna Henderson, Trustee U/A/D 4/11/92, Claimants v. Tucker Anthony, Inc. and John Devlin, Respondents Case Number: 01-04889 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Deanna Henderson ("Henderson") and Jocelyn A. Moselle ("Moselle") and Deanna Henderson, Trustee U/A/D 4/11/92 ("Trustee"), hereinafter referred to as "Claimant

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael S. Urban v PaineWebber Incorporated and Hugh J. Mcllrevey Attorneys: For Claimani(s): Mtohael S. Urban - Enftokl, CT Fbr Roepondent(8): Hugh Mcllrevey - Weehawken, NJ Brigitta K. Siegel Esq. - Weehawken, NJ Date Filed: 09/16/91 First Scheduled: 02/19/92 Decided: 02/19/92 Case Summary: Registered Ftopresentatlve against Member Rrni and Branch Manager for a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles E. Adamson v Charles Schwab Attorneys: Ftir Claimiant(s): Charles E. Adamson - Corpus Christie, TX For Respondent(s): Rtohard Dangerfield Esq. - San Francisco, CA Date Filed: 09/11/91 First Scheduled: /V/7/r/ Decided: 'AA^- Case Summary: claimant alleges ttiat respondent caused him to tose profits when he was wrongly kept from selling stock short, and