New York Stock Exchange In the Matter of Arbitration Between Case: smith Barney, Harris Upham & Co., Inc. -v- Stephen G. Parker NYSE Attorneys: For ClaJmant(s): Scott Kresch Esq. - New York, NY For Respondem(s): Francis X. Stone Esq. - Boston. MA Date Filed: 05/31/90 First Scheduled: 04/18/91 Decided: 11/23/92 Case Summary: Claimant seeks balance of promissory note from former employee. Product: PROti^issoRY NOTE Market: NYSE

New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton, Inc. vs. Soott C. Crawford Attorneys: For Clalniani(s): David Jensen Eaq. - Atlanta, GA F«r Haaponder«(s): Perry Brant Esq. - Kansas City, Ml Date Filed; 02/28/91 Rrst Scheduled: os/io/gt Oecided: OB/ZS/K Case Summary: Claimam allages that Respondent breached a promisaory note. Product: Market: Claim Oata Claim: $404,8ae.94

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gloria Veoea vs. Raiiachar Pieroe Rehnea InoorporatMi aiNf WUNun H: Floyd Attorneys: Far OalRwnlM: Robert 0. Gieen Eaq. - Houeton, TX TIM no|nMMlert(n) Willwm H.Royd-Hoiaton,TX RIchaid A Rohan E«). - Dellae,, TX Date Filed: oswsfio First Scheduled: fMtzm Decided: 0S/2M2 Case Slltnrnaiy: CiHMmar egaiiMi tneinbar (im and tegtaiiarad rapraM^^ tmaeh of fldunanr d

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose Anna Mines, Custodian for the Rose Anna Hines Custodial IRA and the Rose Anna Hines Custodial Rollover IRA, Claimants v. Torrey Pines Securities, Inc., William F. Gunderson, and George N. Hallad, Respondents Case Number: 01-04815 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Dan Eaton Sonlight Ministries San Diego, California For Res

Award NASD Dispute Resolution, Inc. Case No. 00-01327 In the Matter of the Arbitration Between ( Name ofCiaimant Anthony Zanis Name ofRespondents A.G. Edwards & Sons, Inc. Jens Dalsgaard REPRESENTATION OF PARTIES Claimant Anthony Zanis ("Mr. Zanis") was represented by Howard B. Prossnitz, Esquire, of the Law Offices of Howard Prossnitz, located in Chicago, Illinois. Respondents A.G. Edwards & Sons, Inc. ("AGE") and Jens Dalsgaard ("D

New York Stoclc Exchange In the Matter o£ Arbitration Between NYSE Case; J.A. Turner, Trustee, en behalf of Fublix Super Harltets, Inc., Profit Sharing Plan and Trust vs, R.O. Smith I Cospany, Inc., Alan Heyers and Kay Hadley Attorneys: For Claiiant(s); Fred J. Lotterhos III - Lakeland,, FL For RespondentCs): Heivin A. Brosternan - Neu York,, NY Date Filed; 05/03./30 First Scheduled: 05/08/91 Decided; 02/05/92 Case SuBsary; Clain

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton, Inc. v Nino J. Marini Attorneys: Fbr Clain)anl(8): James T. Myer Esq. - New York, NY For Respondent(8): Edward J. Massare Esq. - Rochester, NY Date Fiied: os/21/90 First Sctieduied: 11/14/90 Decided: 5-6-92 Case Summary: Claimant seeks damages for breach of contract, witti regard to debit betonce incurred in customer's optton account as a resu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Hutton. Inc. v Rtohard C. and Nancy Fabiniak Attorneys: For Claiinant(s): Susan T. English Esq. - New Yoric, NY For Respondent(s): Richard & Nancy Fabiniak - Lancaster, NY Date Filed: 03/15/90 First Sciieduled: O6/26/91 Decided: 07/09/92 Case Summary: Claimant seeks damages for unsecured debit l)alance incurred In respondents' account upon sato of sec

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PaineWebber, Inc. vs. Edgar L. Brackin, Jr. Attorneys: For Clainiant(s): Steven Greentiaum Esq. - Miami, FL Fbr Respondenl(s): Edgar Brackin - Tampa, FL Date Fiied: 01/01/90 First Sciieduled: 02/25/92 Decided: 02/25/92 Case Summary: Member Firm vs. Customer for debit to account caused by failure to pay for securities after checks were returned for insufftoieni fu

New York Stock Exchange In the Matter of Arbitration Between NYSE C?se: Gruntal & Company vs. Salvatore Romano Attorneys: Fbr Clainiant(s): Emilia DeMeo Esq. - New York, NY Fbr Respondenl(s): Salvatore Romano - Staten Island, NY Date Filed: 08/22/90 Case Summary: Member Firm vs. First Sciieduled: O8/26/91 Decided: Registered Rep; claimant alleges breach of employment agreement Product: TRAINING AGREEM Market: t : 10/19/92