New York Stock Exchange In the Matter of Arbitration Between NYSE C3*>e: Ellen W. Dixon v A.G. Edwards & Sons, Inc., Francis J. Hendricks and Richard T. Reldy Attorneys: FOr Clajniant(s): William T. Marshall, Jr. - New York, NY For (tospondent(s): William J. Port Esq. - St. Louis, Ml Date Filed: 04/10/91 First Scheduled: 11/19/91 Decided: 10/21/92 Case Summary: Claimant against member firm and registered representatives for alleged fraud

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mannn & Jean Staiman v. Merrill Lynch Pierce Fenner & Smith Inc. v. Jeffrey Staiman Attorneys: For Clainiiant(s): Clifford A. Rieders Esq. - Williamsport. PA Fbr Respondent(s): John J. Murphy. Ill Esq. - Philadelphia. PA Fbr 3rd Party: Jeffrey Staiman - Williamsport. Date Filed: 02/26/91 Case Summary: Customer v options PA Member Rrm - First Scheduled

A New York Stock Exchange In the Matter of Arbitration Between NYSE Case: KAREN ALUSON DEVANEY and ROBERT STUART DEVANEY vs. CHOICE INVESTMENTS PRODUCTS INC.. CHOICE ASSET MANAGEMENT. JAMES a KAIGHIN, lUARK A. WRIGHT AND DONALD UZEN Attorneys: For Clainiar< i(s): MKhael Q. Burfc Esq. - Austin, TX For Reapondant(a): Thomas Moody Bq. - Austin. TX Date Filed: 03/05/91 First Scheduled: OIA)7/92 Decided: 07/io/d2 Case Summery: Cust

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Robert T. and Chartolte HaUer v Prudential Bache Securitias. Inc. and Louis Foran Attomeys: For Claiman((a): Anthony J. Horn Esq. - Philadelphia. PA For Raapondera(s): Joel Lewnson Esq. - New York. NY Date RIed: 03/25/91 First Scheduled: i2/i3«i Decided: 01/17/92 Case Summary: Customer against Member Rrni and Registered Representative for aileged gross omissnns

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Bache Securities Inc. v. Mnhael Axelrod Attorneys: For Claimant(s): Pamela Kenny Esq - New York, NY Fbr Respondent(8): MKhael Axelrod - New Yorit, NY Date Piled: 03/11/91 First Sctieduied: 12/02/91 Decided: 01/14/92 Case Summary: Member firm against former registered representative for breach of contract and balance due on a promissory note — $43,164.7

New York Stock Exchange j^. the Matter of Arbitration Between / NYSE C35e: David Karger v Shearson Lehman Brothers Inc. and MeMn Bliwas ^drneys: RyCkimua^: '''^"i FeMman Eaq - Chicago, IL Fac.RBi|»ndenlW: IWxBrtr RobBrt P. Bramnik Esq. - Chicago, IL F^'bart Weber Esq. - Highland Park, IL t|ate Filed: 02/11/91 First Scheduled: i2/2o«i Decidad: 3 /V ?;L CfOSe Summary; Custonwr against member firm and former registered represent

New York Stock Exdiange In the Matter of Arbitration Between NYSE Case: Kkldar Peabody « Co. v Nicholas Remng-Wood Attorneys: For Claimentts): Richard Kally Esq. - New York. NY Por RMpondamti): Traoy Pride Stoneman Esq. - DaHas, TX Date Filed: oz/ia^i Case Summary: Member Firm V First Scheduled: 10/24/91 Decided: YM'T^ . Registared Representative for alleged breach of employment agreement after Respondent left Claimanrs employ.

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04829 John Deutzman and Wendy Deutzman, JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Fahnestock & Co., Inc. and Brian Murphy REPRESENTATION OF PARTIES For John Deutzman and Wendy Deutzman, JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq. and Scott L. Silver, Esq., Law Offices of Darren C Blum,

New York Stock Exchange In the Matter of Arbitration Between NYSE Casa: J.C. »adlord V. Jbrmy MoMargar Atlornays: FbrOMnMM: Janwa. Davis - NMhvBe,, TN OdaWwrmEiq.-LeulMillsi.KY Date Filed: Qaoa«9i FUSt SctMduied: tz^iznn DecidBd: tneam Case Sumrrtary: Men** Rrm V. ffagiii«d Hapre««rti*w far BKBW* brateh ol ira»^ Product: dam oata Claim: $10272.00 Punitive: 90.00 AttyFefle:tih« Depi}slt: $600.00 Award Dtta Awar

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Rksk P. Brady and Brenda S. Brady v Bear Steams & Company ncorporated and Dean Witter Reynolds Incorporated Attorneys: For Clainiani(a): Ira N. Glauber Esq. - New York, NY Fbr Reapondent(s): James Hubbert Esq. - New York, NY Edward W. Urkin Esq. - New York, NY Date Filed: oi/2i/9i First Scheduled: oao8/9i Decided: 04/08/92 Case Summary: customers against tw