New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John T. dark v Dean Witter, Inc., and Edward A. Harof Attorneys: For Claimant(s): Willard M. Pottle, Jr. Esq. - Buffalo, NY Fbr Respondent(s): Stephen V. Cordovani Esq. - Kenmore, NY Date Fiied: 04/29/91 Rrst Scheduled: 12/17/91 Case Summary: Claimant seeks damages tor tosses incurred allegedly as a Product: MUT FUND Decided: 02A)7/92 result of misrepresentet

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Prudential Securities inc. vs. Arnold Ukasick and Ligia Ukasick Attorneys: FOr Claimant(s): Catherine J. Pratt Esq. - Long Beach, CA Fbr Re8pondent(s): Raul H. Castro Esq. - Phoenix, AZ Vkitor A. Garnice Esq. - Phoenix, PZ Date Filed: 04/15/91 First Scheduled: og/26/9i Decided: 04/14/92 Case Summary: Member firm vs. Customer seeking to recover a debit accou

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerry Muennink and Barbara Muennink vs. Shearson Lehman Brothers Attorneys: Fi>r Claimant(s): Bryan A. Woods, Esq. - San /Uitonio,, TX For Re8pondent(8): Jack D. Ballard - Houston, TX Date Filed: 05/01/91 First Scheduled: Decided: c;^-5-^^ Case Summary: customer vs. member firm and registered representetive. Claimam alleges unsuitable trades, negligence and breac

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dominick & Dominick v Mark Oliver Attorneys: For Claimant(s): Robert G. Halle, Jr. Esq. - N. Palm Beach, FL FOr Re8pondent(8): Lk>yd Schwed Esq. - Miami, FL Date Filed: 03/21/91 First Scheduled: O6/16/92 Decided: J-^t^ J^3 |c^9J Case Summary: Memtier Firm V Registered Representative for alleged failure to repay promissory note after respondent left claimant's emptoy.

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dominick & Dominick ^ James O'Brien Attorneys: For Ciafanant(s): Susan B. Yoffee Esq. - N. Palm Beach, FL FOr Respondent(s): Lk>yd R. Schwed Esq. - Miami, FL Date Filed: 03/21/91 First Scheduled: 09/15/92 Decided: 11/17/92 Case Summary: Registered Representative v Member Firm for alleged fraudulent inducemem to join claimant firm. Respondent alleges that Me

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04835 Martha Bilyk Name of the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner and Smith, Inc. John Pierce James H. Graham, Jr. REPRESENTATION OF PARTIES Claimant, Martha Bilyk, hereinafter referred to as "Claimant": Steven M. Dranoff, Esq., Dranoff- Perlstein Associates, Philadelphia, PA.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John K. & Frances L Gauar v. Dain Bosworth Inc. & RKK HaHer Attorneys: For Claimant(s): Lawrence A. Wright, Jr. Esq. - Knwa, CO For Re6pondent(ft): James B. Lynch Esq. - Minneapolis, MN Date FHed: 04/24/91 Rrst Scheduled: 01/09/92 Decided: 1/11/92 Case Summary: customer v. Member Firm & Registered Representative - unsuitable investments in mutual funds and securities

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Legg Mason Wood Walker Inc. v. James Martin Attorneys: For Claimant(s): C. Clark IHodgson Esq. - Philadelphia, PA Fbr Respondent(s): Marc Ouram Esq. - Philadelphia, PA Date Fiied: 04/24/91 Case Summary: Member Firm v First Scheduled: 11/06/91 Registered Representative - Product: - nonpaymem of promissory nota Decided: 05/19/92 Madcet: NYSE

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert D. /\tkins v. Oppenheimer & Co. Inc. Attorneys: For Cleimant(s): Matthew A. Henderson Esq. - Spartanburg, SC For Respondent(s): John T. McGuire Esq. - New Yorit, NY Date Fiied: 04/29/91 Case Summary: Customer v. Member Finn- First Scheduled: oax}6«2 Decided - failure to foUow instructnns in sale of Cirrus Logic Stock Product: NYSE Maritet

{ { New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential-Bache Securities Inc. v. Malnksk, Carol Attorneys: For Claimant(s): Ftobin Nackman Esq - New Yoric, NY Date Filed: os/os/oi First Scheduled: Decided: 2/25/92 Case Summary: Member firm against former registered representative for balance due on a promissory note-$20,500.00. Sessions: Product: Claim Data Claim: $20,500 Punitive: $0.00