New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Beryl W. Parkins, Jean P. Sour, Hiltory Simmers and Hugh Stoimers v Gruntal & Co. Inc Attorneys: Fbr Ctaniani(s): Thomas FarraN Esq - New York, NY For Respondentfs): John F X Petoso Esq - New York, NY Date Filed: ii/oa/oo First Scheduled: 04/16/91 Decided: 02/14/92 Case Summary: customers agamst Member Firm for unauttiorized and excessive U'ansactions. Damages are ap

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bear Stearns & Co. Inc. v Martha Zepeda Attorneys: For ClaJniant(s): Barbara W. Bishop Esq. - New York, NY Fbr Respondent(s): Irving L. Gartenberg Esq. - New York, NY Date Filed: 07/oa/9i First Scheduled: 01/07/92 Decided: 07/01/92 Case Summary: Member firm against former emptoyee registered representative for alleged over-payment. Registered Representative count

y 'ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Alben Zuocarlnl and Jana ZuccarM vs. Dean Wkter Reynokis, Jack WesterftoU and Robert Hait Attorneys: For ClBitiiant(8}: Albert Zucearini - Palm City, FL FOr neepondeni(»): Mercedes C. Busto Esq. - Miami, FL Date Filed: 07/02/91 First Scheduled: 02/27/92 Decided: 06/09«2 Case Summary: Customer vs. Member Firm, Branch Manager and Registered Rep altoging misrepres

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: waiter Lanchak v. D. H. Btoir Attorneys: For Clan»nt(s): Walter Lanchak - Medford, NJ For Respondent(s): Monica Grossbaum - New York, N.Y. Date Filed: 07/01/91 Case Summary: customer v. Member Firm • Rrst Scheduled: 2/13/92 Decided: 2/13/92 - Customer altoges for unauttiorized purchases and sales of stock transactions Product: EQU Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Prudential Securities Inc. v. Brton Sturgeon Attorneys: For Clainfunt(s): Pameto M. Kenny Esq. - New York, NY Fbr Respondent(s): Brian Sturgeon - Belair, MD Date Filed: 07/08/91 First Scheduled: 06/30/92 Decided: 6/30/91 Case Summary: Member Rrm v. Registered Representative - Ctoimant alleges nonpayment of promissory note following his resignation. Product:

New York Stock Exchange n the Matter of Arbitration Between / NYSE Case: James & Orusilla Sheldon v Rauscher Pierce Refsnes, and Cad .< raeplin Attorneys: For Ctainunt(8): Lisa Shrewsbury Esq. - Bedford, TX For Respondent(s): Robert W. Goodfeltow Esq. - Daltos, TX Date Filed: 06/24/9i First Scheduled :•! VI2/91 Decided: 03/11/92 Case Summary: Customer v. Member Firm & Registered Rep.-esentativa alleging breach of contract and negligen

New York Stock Exchange In ttie Matter of Arbitration Between NYSE Case: Mary DeSapio v J.S.C. Securities. Inc. anc Jessup Josephthal Securities, Incorporated Attorneys: For Claimant(s): Ellen Bank Dugow Esq. - New York, NY For Respondent(s): Robert Mannlon - Islip, NY /Man Raylesberg Esq. - New York, NY Date Filed: 06/13/91 First Scheduled: 02/11/92 Oecided: 10/30/92 Case Summary: Former employee, Vice-President in charge of transpo

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Adeline M. Sines, Trustee Names of the Respondents Securities Service Network, Inc. and Jay C. Kelter Case Number: 01-04860 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Adeline M. Sines, Trustee, hereinafter referred to as "Claimant": Hugh H. Bernstein, Esq. and Lawrence N. Freshman, Esq., Hugh H. Bernstein, P.A., Miami, Florida. For Securiti

y New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case: Michael J. Barron v Robert Susnar and Bear Stearns Attorneys; For ClaiaantCs): ilichael J. Barron - Hayward, CA For Respondent{s>: Nicholas K. Notias Esq. - Neu York, NY Robert Susnar - Chicago, IL Date Filed; 1 Case Summary 36/07/91 ; Customer First Scheduled: 07/07/92 V Registered Representative and Member Firm Product; IND OPT and alleges

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Mohammed A. Al Omran v Merrill Lynch Pierce Fenner & Smitti and Ross Jenkinson Attorneys: For Clainwnt(s): Ralph A. Gant - New York, NY For Respondent(s): William J. Crowe Esq. - New York, NY Willtom J. Crowe.Jr. Esq. - New York, NY Date Filed: 05/13/91 First Scheduled: 11/21/91 Decided: 01/30/92 Case Summary: Customer v Member Rrm and Registered Re