New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles P. Stourella and Susan M. Burns v PaineWebber Incorporated Attorneys: For Claimanl(s): Leonarnd A. Peduto, Jr. Esq. - Clifton, NJ Fbr Respondent(s): Patrick J. Howley Esq. - Weehawken, NJ Date Filed: O6/03/91 First Scheduled: 09/30/91 Decided: 04/06/92 Case Summary: customers against Member Firm for alleged improper transfer whtoh resulted in cancellation of

New York Stock Exchange In the Matter of ArhJtratJon Between NYSE .Case; EoiiJe H. laPevre Jr. and Joan S, LaPsvrp vs, flbearson Lehnan M-tw and Steohen Winter .^JttorDBw; For CjBJMDtfa).: . Cecil fl. BurqJas, Jr, Eso. - Oeu DrJeans, W Harry n. HDSWW, JJ.T FJMJ.. - NRW Meim.. l.A Jor JissDondent(a); SanueJ /), TurycM fso. - NRW ynrJr, .N.V Date FJJed; (S/2B/31 First ScheduJed; JJ/J»/9J Decided; 12/09/32

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: McLaughlin Piven Vogel Securities, Inc. vs. Michael H. Fischer Attorneys: For Ciaimant(s): George W. Clarke Esq. - Huntington, NY For Respondent(s): James Dolan Esq. - HkdsviUe, NY Date Filed: os/so/oi First Scheduled: ii/ii/gi Decided: 06/10/02 Case Summary: Memt)er Firm against Registflred Rep (ex-emptoyee) alleging breach of emptoyment agreement and seeking recove

New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case; Smith Barney, Harris Uphan & Co., Inc. vs, David L. Osgood Attorneys: For Claiiiiant< 3>; John M. Megyesi - Neu York, N Y For ItespondentCs): David L, Osgood - Jacksonville, FL Date Filed: 05/29/91 First Scheduled: OB/lB/32 Decided; 06/16/92 Case Sunmary: Claimant alleges Respondent breached Accaint Executive training agreement and seeks to recover the cost of

New York Stock Exchange In tlie Matter o£ Arbitration Between NYSE Case: Janes A. Eidson vs. Snith Barney, Karris Uphan & Conpany ftttorneys: For ClaiaantCs): Janes A. Eidson - East Point, Gfl For RespondentCs): Linda ftlpert, Esq. - New York,, NY Date Filed: OG/10/91 First Scheduled: 02/01/92 Decided: 02/04/92 Case Sumnary: Respondent's enployee allegedly failed to inforn custoner that llesber Firn uas a narket naker for the stock a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grace Novick vs. Prudential Bache Securities, Inc., Steven Noble, Ronal Foster and Richard Pruner Attorneys: For Claimant(s): Mark Drover Esq. - Salinas, CA Fbr Respondem(s): Michael J. Lawson Esq. - San Francisco, CA Date Fiied: os/io/oi First Scheduled: 12/10/91 Case Summary: customer against two branch office managers and registered representatlva of NASD Rules and NY

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Mdder Peebedy a Co. Ineorporatad v. Harry M. Lyia _i-_ir-, -_i-nir- —n -rir —U\ i i ' ' ~ ^__^^__^^^^^_^—^.^^.^^^„—^^^__^^^—^—.—^,_—_—,_——^,^^, Attorneys: FM-CialniiMii04: Rkshard Kally Esq. - New York, NY 1^ FtaspaMtanlfi): Jeltray P. Bloom Esq. - Washbigion, DC Date RIed: oaraosi Rrst Sctieduied: oenoffi Case Summary: MentborRmiv. f^mfstarad HapraswitBiiwi-daknant aBag

New York Stock Exchange In the Matter of Arbitration Between / NYSt Caaa: San a RobMxa^ LMd Co. Ine. V Daan Wtaar RaynoMi. Inc. Attorneys: roi OhhiafflO): WHiMi E. Enright Jr. - Bwnatobia, MA For RMMndiMM: Cai!ol B, Selweiitwr Eiq. - New York. NY Data Filed: oe«s«i Rrst Scheduled: 04mvw Oeolded: o«Qe«e Product: Maricet: Claim OMi Claim: 127,216.88 Punitive: 90.00 Atty Feea: 10.00 eposit: $400.00 AwirdOtia

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Adele L. Morse v. Prudential-Bache Securities, Inc. Attorneys: For Claimant's): Merle L. Silverstein Esq. - St. Louis, MO Fbr Respondent's): Joel Levinson Esq. - New York, NY Date Filed: 04/29/gi First Scheduled: 03/17/92 Decided: V/7/?-\ Case Summary: Clalmam, a customer, has alleged that respondem made unsuitable investements by purchasing Polaris Air

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Smith Barney Harris Upham & Co. vs. Timothy Manning Attorneys: For Claimant(s): Scott Kresch Esq. - New York, NY Fbr Respondent's): Francis X. Stone Esq. - Boston, MA Date Fiied: 05/21/91 First Scheduled: 07/01/92 Decided: 10/29/92 Case Summary: Member Firm vs. Registered Rep. Claimam seeks balance of protnissory note as well as paymem of taxes from former empk