New York Stock Exchange In the Matter of Arbitration Between NYSE Case: AII Mllanlnla v Waterhouse Securities, Inc. Attorneys: For Claimant(s): Ali MilanJnia - San Jose, CA For Respondent(s): Philip J. McElynn - New York, NY Date Filed: 05/16/91 Case Summary: ctoimant, a customer. First Scheduled: 05/05/92 Decided: alleges Respondent, a Member Firm engaged in unauthorized trading Product: OPT 5-/j-/r3L. In opttons. Ma

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Barbara Jerchower v. A.G. Edwards & Sons Inc. and Charles Pascarelto Attorneys: For Ctoimant(s): R. Gregory Leonard Esq. - Parsippany, NJ For Ftospondent(s): Rose M. Schlndler Esq. - St. Louis, MO Date Filed: 06/11/91 First Scheduled: 11/20/91 Decided: 08/26/92 Case Summary: customer v. Memt>er Firm and Registered representative for alleged negligence, misrepre

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: oppenheimer & Company Inc. v. James J. Harrington Attorneys: For Ctainnnt(s): Eugene L SmaH Esq. - New York. NY Fbr Respondent^): David A. Coven &q. - Ft Lauderdato, FL A^A^^ Date Filed: 05/20/91 First Scheduled: 03/25/92 Decided: Case Summary: Member Rrm V. Former emptoyee. a registeed representative, for ttie outstanding balance allegedly due on a promissory no

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Philip fl. Kri^ip v Prudential-Bache Securities Inc. Attorneys; For ClaiMntCs): Natasha C. Llsman Esq, - Boston, M A For itespondent< s>: Charies T. Richard Esq, - New York, NY Date Filed: ( Case Sunigary 36/2V91 ; Customer First Scheduled: 07/07/92 Decided; 09/17/92 against igember firm for alleged nlsmanagenent and breach of fiduciary duty. Produ

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sharon Lynn M. Meyer & Lee Gordon Meyer v. Merrill Lynch Ptorce Fenner & Smitti Inc. Attorneys: For Ctaimant(s): Brad W. Breslau Esq. - Denver, CO For Respondeni(s): Nicholas R. Picdntoni Esq. - New Yori(, NY Date Filed: 06/25/91 Case Summary: customer v. Member Firm • First Scheduled: - unsultabto mvestmenti Product: P-SHIP 01/09/92 Decided: 01/11/92

/ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Marge ITewig v Rosenkrantz Lyon & Ross Incorporated Attorneys: Fbr daintanKs): Marge Dewig - Gary, IL For Respondent(s): DonakJ V. Hanson, Esq. - New York, NY Date Filed: 06/i6«i First Scheduled: 12/17/91 Decided: February 26 1992 Case Summary: Customer v Member Firm for excessive commisstons, unauthorized trading in her account Product: stocks Market: Claim Data A

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John R. Hoyne v Morgan Stanley & Co. Incorporated and Mtohael Taradash Atiomeys: FetOmnrnVf.) John H K ^ Esq - NOW York. NY For nnpondar((s): Nctotas R. Weokopl Esq. - New York. NY Date filed: 06/16/91 First Scheduled: I2A)5/9I Decided: 01/03/92 Case Summary: customer v Registered Representative and Member Rrm for altogedly failing to disdose to claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wentworth E. Miller vs. Shearson Lehman Hutton and Pat Guadagno Attorneys: For Ciainwt(s): Wentworth E. Miller - Sewtoktoy, PA For Raspondent(s): Arthur C. Schupbach Esq. - Mineola, NY Date Filed: 06/11/91 First Scheduled: 11/20/01 Decided: 02/28/92 Case Summary: customer vs. Member Firm and Registered Rep alleging breach of fkluciary duty, unauthorized and unsuitabl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton, Inc. vs. James Nelson Attorneys: For Clainnni(s): Renee Toenges Esq. - Minneapolis, MN For Respondent(s): James L. Nelson - Stillwater, MN Date Filed: 05/29/91 First Scheduled: 01/22/92 Decided: 01/22/92 Case Summary: Member Firm vs. Registered Rep. (ex-employee) seeking to recover an amount allegedly due on a promissory note plus interest,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Oscar Lanford and Esther Lanford, (Claimants) vs. Golden Harris Capital Group, Inc., Golden Harris Advisors, Inc., Michael Bourke, Steve Harris, and Stephen Golden, (Respondents) Case Number: 01-04851 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Oscar Lanford ("O. Lanford") and Esther Lanford ("E. Lanford"), hereinafter collectively referred to as "Cla