New York Stock Exchange Tn the Matter of Arbitration Between wase: Mtohael J. Moses vs. Kevin O'Dovi' & Robinson Humphrey & Shearson Lehman Brothers Attorneys: For ClainMnt(s): Mtohael J. Moses - /Utoona, PA Fbr Ftospondent(s): Foster S. Goldman, Jr. Esq. - Pittsburgh, PA Date Filed: 08/05/91 First Scheduled: 06/03/02 Decided: 10/21/92 Case Summary: customer against registered representative and member firm for unathorized purchases. Pro

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: G. Bernard Uddiard and Barbara E. Liddiard vs. Pnxtontial Securiites Attorneys: For Clatoiant(s): G. Bernard LJddiard - Port Richey, FL For Respondent(s): Patrtoia A. Fitzpatrick Esq. - New York, NY Date Filed: 09/20/9i First Scheduled: 02/05/92 Decided: 02A)5/92 Case Summary: customers vs. Member Firm alleging failure to adequately research and recommendation of uns

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities, Inc. v. Charles Muzzto Attorneys: For Clain«ant(8): Gary Klein Esq. - New York, NY Fbr Respondent(8): Charles Muzzto - Mananawkin, NJ Date Filed: 09/20/91 First Scheduled: O6/19/92 Case Summary: Member firm against former registered representative for breach of Product: Decided: 09/10/92 contract and promissory note - $28,703.85.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam Stovm v Pacifto Brokerage Services Attorneys: For Clatount(s): Willtom Stovin - Oelray Beach, FL For Respondent(s): Steven Waltoca - Los Angeles, CA Date Fifed: 09/15/91 First Scheduled: 12/20/91 Decided: 12/20/91 Case Summary: customer against Memebr Firm for altoged failure to disctose a material change in the Ambasa Corporation/ Home Group Funding Corp

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: victor M. Mason vs. Prudential-Bache Securities, Inc. Attorneys: For Ciainunt(s): Vtotor M. Mason - New York. NY Fbr Respondent(s): Carlos Ricca Esq. - New York, NY Date Filed: 09/23/91 First Scheduled: 07/14/92 Decided: 11/23/92 Case Summary: Customer against member firm for purchase of 'penny stocks' which were unsuitable. Product: EQU Market: Claim Dat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Qmmal & Co., Inc. vs. Williaffl Beaton. Jr. Attorneys; For daifflaMM: Katiwrine Natiian Esq. - New York. NY For Reipon(iBnt(e): Vincent J. Hart Ssq - Chtoago, IL Data Fiied: oa/28/9i First Scheduled: 00/21/92 Decided: 1--z3--^r^ Case Summary: Member firm against former registered reprasantativa for breach of CDntra< (note) Product; Market: Claim Data

New York Stock Exchange In the Matter of Arbitration BeCweea NYSE CBSQ: Qnicital &. Co., too. v QraQory SplUar Attorneys: i=« daimant^): Katherine Natiian Esq. - New York. NY For Re4pondent(a): Gregoiy Sptllar - Chicago, IL Date Filad: oa/sa/ai First Sciieduled: 0B/ia/B2 Decidad: Case Summary: Member firm acainet lonner regtetarad rapresanntlw tor breach of eontract (non). \ ^ if ^ 172. Product: Mari«ot: Claim Data Cl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph T. Holtzberg, and Nathan Holtzberg v Shearson Lehman Hutton Attorneys: For Clainnnt(8): Joseph T. Holtzberg - Brooklyn, NY Fbr Respondent(8): Paul R. Willtoms Esq. - Mineoto, NY Date Filed: O8/20/91 First Sctieduied: oi/oa/oa Decided: 02/12/92 Case Summary: customers against member firm fbr altoged misrepresentation of an investinent in 494 units of /labia Rea

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Bernard Rosenfeki v. Mtohael Sheer Anorneys: For ClakiiBni(i): George J. Btotateto Esq. - Avantur*. FL For RetpondenKe): Stuart J. McGregor Eaq. - Miami, FL Data Ried: 09/io«i First Scheduled: o6/io/92 Decided: 12/1S/02 Caae Summary: Claimant altooet tiiat respondente used incorrect and Improper information to fraudutantiy toduce ctotoiant to purchaae shares of Souttvnark Eq

New York Stock Exctnange inthe Matter o£ Arbitration Between NYSE Case: Beverley Bryant v Paineuebber Inc. & C.G. Kling, Sr. Attorneys: For ClaiaantCs}; Randal U. Henley Esq. - U. Pain Beach, FL For RespondentCs); Patricia Cowart Esq. - Miami, FL Date Filed: 08/28/91 First Scheduled: 05/19/92 Decided; 05/Z0/9Z Case Suaoiary: Clainant alleges t^t respondent uillfully set out to defraud her by making unsuitable transactions-and churnin