y New York Stock Exchange NYSE in the Matter of Arbitration Between Case: /\my & Paul Kurland v Prudential Bache Securities Attorneys: FOr CtatofiJBnt(s): Amy & Paul Kurtond - Levittown, PA FOr Respondert(s): Stephen Z. Frank Esq. - New York, NY Date Filed: oa/12/91 First Scheduled: 03/31/92 Case Summary: Claimant alleges tiiat respondent misrepresented First Executive stock. Product: EQU comtnon .- Decided: 04A)3/92

• •..•.vv* Mew York Stoclt Qichange In the Matter of Arbltratlcw Betweer> KYSE Cese: Lile Claepltt v Merrill Lynch Pierce Fenner l Seith InGorpwsfced Att>&rney&: Fer Glaieaiit< s): Jeeefr C- Hanks - Carsoe, Cft For ReapondeiiMe): David Lenny Esq. - Celabaeae-, CA Herbert Uolteen Esq. - Hew Vork, W Dete Filed: 08/06/31 Fir&t Scheduled: M.< '30/S2 Decided: < yi/3a''32 Case Siiaear'/: Cuetener aseinet eeaber fire for eisrepresentstion

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Daniel and Vicki Taylor Name of the Respondent Salomon Smith Barney, Inc. Case Number: 01-4874 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants, Daniel and Vicki Taylor hereinafter collectively referred to as "Claimants": James Eccleston, Esq. and Ronald M. Amato, Esq. of the firm Shaheen, Novoselsky, Staat & Filipowksi,

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Eric and Susan Felix v Rockwell, Thorson and Shearson Lehman Brottiers Ino Attorneys: For Clatofiant(s): Erto P Felix - HoUis Hills, NY For RespondentCs): Ann Parry Esq - New York, NY Date Filed: os/is/oi First Scheduled: 03/24/92 Case Summary: customer against member fimi for failure to tovestigate time vatoa/condition Product: BONDS Decided: O4A)2/92 of Amer

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Satomon Brottiers v James Randolph Dumas Attorneys: For Claimant*): Theodore O. Rogers, Jr. Esq. - New York, NY Fbr Respondenl(t): Davkl B. Wechstor Esq. - New York, NY Date Filed: 09A)3/91 First Scheduled: 03/30/92 Decided: O8/12/92 Case Summary: Member tirm against registered representative for elleged unpa'xl balance for tax equalization obligation, breech o

New York Stock Exchange .n the Matter of Arbitration Between ( NYSE Case: David Tuval v. Shearson Lehman Brottiers Attorneys: For Ctaknant(B): Oavkl Tuval - OeerftoM Beach. FL For Raepondeni(p): Wiliam A Hohauser Esq. - New Yori(, NY Date Fiied: oa/< 06i«i First Scheduled: O6/11/92 DeckJed: 09/17/92 Case Summary: Clantant alleges toss of profits resulted from rmpondentB faitore to transfer $60000 into his divklend fund. Ctaimant furth

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: n BaaU & Cbudine Runer v. Prudential Securities and Roy Savarick Attorneys: Per Cleiniant(e): Steven Simon Esq. - Miami,, FL For Raipendeni(«): Sara Soto Esq. - Miami, FL Date Filed: Q6me/9\ Rrst Scheduled: oeman Deckled: 5/27/92 Case Summary: Ctatoiants alege tint tt» reapondenrs breached ttiere fMuelary duty when ttiey caused ttiem to purchase iniaresiB In Itonted

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Atoxander v Prudential Bache Securittos Attorneys: For Clatonnt(s): Steven M. Ari^al Esq. - Oktahoma City. OK For Ro8pondent(s): Willtom Federman Esq. - OUahoma City, OK T 26gf^ Si Date Filed: 08/28/gi First Scheduled: 02/25/92 Decided: 8/5/92 '?» Case Summary: claimant alleges ttiat upon terminatton of his emptoyment respondent faitod to pay commis

I— New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert B Porton and Sybil Porton v Prudential Bache Securities Inc. Attorneys: For Clainiant(8): A Kendall Wood Esq - San Dtogo, CA Fbr Respondent(s): Gerard J. Kowalsto, Esq. - New York, NY Date Filed: 07/22/91 First Scheduled: 05/06/92 Decided: (»| sl^Z. Case Summary: customers against member firm for unsuitable purchases and unauthorized purchases of Castto

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mrs. Mtohael (Nancy) Hatto vs. Prudential Bache Securities, Inc. and John Almquist. Jr. Attorneys: For Ctamiant(s); Thomas A. Curti Esq. - Tucson, AZ Fbr RBiv)ondenl(s): Edward S. Samson Esq. - New Yorit, NY Date Filed: 08/23/91 First Scheduled: 03/17/92 Decided: ^ ' j * / " ^ ^ Case Summary: customer v$. Member Firm and Registared Rep