New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Don Hanson v Robertson Stephens & Co., and Timothy Morgan Attorneys: For Claimant(8): Jerry K. Warren Esq. - Dallas, TX FOr Respondent(s): Corbet F. Bryam, Jr. Esq. - Dallas, TX Date Filed: 04/29/91 First Sciieduled: 01/28/92 Decided: 01/28/92 Case Summary: Customer v member firm and Registered Representative alleging tlie failure t>y respondents to disclose material

New York Stock.Exchange. In the Matter of Arbitration Between* NYSE Case: Joanna Oavia vi. Maria Hatway and PmdanliBl Baoha Saeurilloa Attorneys: ForCWmmM: Jonatlian 0 Strum Ebq. - Waahbigtoa DC For Raaoondamttl' Terry Roaa Eaq, - Long Bwch. CA Date FHed: 04/11/91 First Scheduled: ii/oe«i Decided: "^Aa^cAfJjyf?^ Case Summary: Customer aganst nwnfaer Nrai and regicierad repreaentaiwiae for mlMonduei; groia nagiiganoa, rndfMaa^ follow

V New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alex Brown & Sons v. Pennsylvania Companies Attorneys: For ClainKuitCs): Daniel E. Mclntyre Esq. - Baltimore, MO For RespondentCs): Christopher D. Ofiley Esq. - Baltimore, MD Date Filed: 05«a/9i Rrst Scheduled: io/oa/9i Decided: 1/28/92 Case Summary: Member Hrm v. Customer - nonpaymem of debit balance Product: OTHER Maritet: NYSE Claim Data Claim: $

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gene A. Stone and Phyllis A. Stone Names of the Respondents Bane of America Investment Services, Inc. Lynch C. Hopper Case Number: 01-04838 tearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimants Gene A. Stone and Phyllis A. Stone ("Claimants"): John B. Holt, Esquire, Sherry Hudson, Esquire, and Larry Wilkes, Esquire, of Holt & K

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Scott Jay Wollins v Tucker Anthony Incorporated Attorneys: For Claimam(8): Joseph F. Keenan Esq. - New York, NY For RespondentCs): Ltoyd S. Clareman Esq. - New York, NY Date Filed: 05/01/91 Firp* Scheduled: 10/29/91 Decided: 02/13/92 Case Summary: Non-member against Member Firm - Claimam, a former environmental research analyst of respondem, seeks dan»ges for bre

ry ' y (y New York Stock Exchange In the Matter of Arbitration Between t c y^ NYSE Case: Paul D. Ehrman v. Norstar Brokerage Corporatnn Attorneys: For Claimant(8): Paul D. Ehrman - New York, NY Fbr RespondentCs): John B. Robinson Esq. - New York, NY Date Filed: 05ff)3/9i First Scheduled: 11/01/91 Decided: J/^o/fz. Case Summary: Customer v. Member Firm - claimam seeks damages for aileged improper transfer of ail stocks

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: MarHyn C. Tansey v PaineWebber Attorneys: For Claimant(8): Howard T. Gillis Esq. - New Haven, CT For RespondentCs): Joseph A. Valto - Weehawken, NJ Date Filed: 04/24/91 First Scheduled: 09/20/91 Decided: 02/12/92 Case Summary: Customer against Member Rrm for alleged misrepresentatton and u.nsuitabto Investmem, Ftospondem moves to dismiss Statute of limitations.

New York Stock Exchange In the Matter of Arbitration Between A^ NYSE Case: Simon Katz v Finandal Clearing Co. Attorneys: For Claimant(s): Simon Katz - Flushing, NY For Re8pondent(8): Mark Quinn Esq. - New York, NY Date Fiied: 05A)2/9I Case Summary: Customer \ First Scheduled: O8/05/91 1 Member Firm alleging a failure by Respondem to transfer a Product: Decided: 03/20/92 credit to claimam. Market: other Claim D

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lynn C. Steppacher v Weeden & Co. Attorneys: For Clalmant(s): Judith P. viadeck Esq. - New Yorit, NY For Respondent(8): Louis M. Sotomon - New Yorit, NY Date Fiied: 04/05/gi First Scheduled: 07/24/91 Decided: 05/05/92 Case Summary: Non-member, former Investmem Banking Director, against Member Finn for alleged unpaid bonuses. Product: Madcet: Claim Data

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sylvia Stovin v Jesup Josephthal Securities Co., Inc. and Leonard Berson Attorneys: For Clainiant(8): Martin N. Kroll Esq. - Garden City. NY Fbr Ronpondent(s): Leonard Berson - Great Neck, NY Joseph Schmidt Esq. - New York, NY Date Filed: 04/11/91 First Scheduled: 10/09/91 Decided: 04/16/92 Case Summary: Customer against Member Firm and Registered Representative