New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Coin Me»M V. Whai« FIrM SaeuriliM, Ina V. Omioi Wflllaoe Attorneys: FBrCUtiMrtM: Scott B. Gorman EK(. - PhfadelfMa. PA Fof RMpondeMM: Joraitwn M. Harris - Ridmond, VA For aid Party: DmM Welleo - Plywouh Meeting. PA Oatentfld:07/30«i Caae Summary: Cusmnar v. Member Firm. First Scheduled: oinam . CWmart altoges uneuriwrind sotool Stock prior Product: OTHER

New York Stock Exchange In the Matter of Arbitration Between / ^fYSE Case: Madge Thorn v. Merrill Lynch Ptoroe Fenner & Smtth Incorporated v. Steven OHver Attorneys: For Claimart(s): Thomas R. Karrenberg Esq. - Salt Lake City, UT ^ Reapendenlta}: KMO. Roche Esq. - Salt Uks City. UT For 3rd Patty: Rtohard W. Casey Esq. - Salt Lake City, UT Date Filed: 07/2a«i First Scheduled: 02/os^ Decided; os/ia/os Case Summary: customer v.

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Pmdanitol SMuriliaa InoMpofaied v. Jaifray L Brown Attorneys: FiirCUiiiBrt(i): Denla J. MoCailhy Esq. > New Yo«K NY • -*• 1 ikaMkMK laf^^wtii irtci nA jfliiray u sfvwii — TfoinniyiDnt w^ Date RIed: oaneai Case Summaiy: Monter Fim v Rist Scheduled: oz^zsns . RagMared RepraHntadM- Product: Decided: ceffis/ee Market: NYSE Claim Data AwMd Data Claim: $13,

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jash Patel V. Shearson Lehman Brottiers Inc. & Bernhard Sack Attorneys: For Claimant(s): Paul N. Sandtor Esq. - Philadelphto, PA For Respondent(s): Francis X. Manning Esq. - Phitodelphia, PA Date Filed: 07/22/91 First Scheduled: 12/20/91 Decided: 3/13/92 Case Summary: Customer v. Member Firm - Ctoimant alleges unsuttabto investinent of junk bonds in Indivklual

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Kattiryn E. Anzalone v. Prudenttol-Bache Securities, Alfred A. CapuzzI & Mari( Sktor Attorneys: For Claimant(8): Kevin A. Palmer Esq. - King of Prussto, PA For Respondent(s): John J. Murphy ^ . - Philadelphto, PA Date Filed: O8/O6/91 First Scheduled: 11/14/91 Decided: 6/17/92 Case Summary: Customer v. Member Rrm & Registered Representatives - Claim

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant Grayce P. Medlin Names of Respondents David Burg Morgan Stanley Dean Witter Case Number: 01-04865 Hearing Site: Boca Raton. Florida For Grayce P. Medlin ("Medlin"), hereinafter referred to as "Claimant": David R. Chase, Esq., Sullivan, Rivero & Chase, P.A,, Miami, Florida. For David Burg ("Burg") and Morgan Stanley Dean Witter ("MSDW"), hereinafter referred

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Asher Roshan Zamir and Ewco Enterprises, Inc. v Shearson Lehman Hutton Attorneys: For Ctoimant(s): Kennetti R. Schacter Esq. - New York, NY For Respondent(s): Thomas A. Roberts Esq. - New York, NY Date Filed: 01/07/91 First Scheduled: 01/23/92 Decided: 01/23/92 Case Summary: Customer against Member Firm for altoged unauttwrizad sato of Kay Jewelers Stock. Ctoimants s

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Thomas A. Willtoms Attorneys: For Clannnt(s): Pameta M. Kenny Esq. - New Yorit, NY For Respondent^): Thomas A. Williams - Mesa, AZ Date Filed: 07/31/91 First Scheduled: 03/17/92 Decided: 03/17/92 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to coltoct an amount altogedly due on a promtosory note. Ctoimant alle

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Peter Kelston v. Jerome Dunlevy, Dunlevy & Co., and Duntovy & Co., Inc. Attorneys: For Clainiant(s): Jay Russ Esq. - Massapequa, NY Fbr Respondent(8): Robert A. Cohen Esq. - New York, NY Date Filed: 07/18/91 First Scheduled: 02/O6/92 Decided: 02/07/92 Case Summary: Registered Representative v. Member Firm alleging ttiat Member Firm breached ttieir emptoyment agreemen

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence M. Simon v Bear Stearns & Co., Inc. Attorneys: For Claimant(s): Gary Stumpp Esq. - New York, NY Fbr Respondent(s): Michael Blutrtoh Esq. - New York, NY Daniel S. Taub Esq. - New York, NY Date Filed: 07/31/91 First Scheduled: 12/19/91 Decided: 09/16/92 Case Summary: Former Employee Registered Representative against Member Rrm for alleged breach of contrac