New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Hutton v William Lane Attorneys: For Claimant(s): Tom Newmark Esq. - St. Louis. MO Fbr Respondent(s): Benny J. Harding Esq. - Kansas City. MO Date Filed: o8/i5ao Case Summary: Claimant has First Sctieduied: 12/10/91 alleged that respondent, a former empkjyee has failed to Product: PROMISSORY NOTE Decided: repay balance on a Market:

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: James R. Bulfin v Dean Witter ReycK)kls, Incorporated Attorneys: For Claimant(s): Paul T. Shoemaker Esq. - New York, NY For Respondent(s): Ronald M. Green Esq. - New York, NY Date Filed: 07/20/90 First Scheduled: 01/23/91 Decided: 05/12/92 Case Summary: Former employee Registered Representative against Member Firm for alleged breach of contract, defemation and

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: lOdder Peabody & Co., v Roger Webb Attorneys: For Claimant(s): Thomas Dubbs Esq. - New York, NY For Re8pondem(s): Roger Webb - Nonvalk, CT Date Fiied: 08/23/9o First Sctieduied: 10/17/91 Decided: 03/24/92 Case Summary: Member Firm v Registered Representative for alleged failure to repay promissory note and for failure to pay for unauthorized trades in custo

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: Aldo & Renzo Figallo v Shearson Lehman Brothers. Carlos Otalvaro-Coronado. Ernesto Pataky. Saul Retelny and Alejandro Lacayo Attorneys: For Clainnnt(s): Leonor Lagomasino Esq. - Miami. FL For Respondent(s): David Smith Esq. - Miami, FL Harry Walters Esq. - New York, NY Date Filed: 03/06/90 First Sciieduled: os/is/oi Case Summary: Customer v Member Firm and Registere

New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case: Jannette Cintron v Raquel Negron Attorneys: For Claieant(s>: Harold D. Vicente Esq. - Santurce, PR For RespondentCs): Edgardo Colon Arraras Esq. - San Juan, PR Date Filed: Case Sunmiary partnership. 01,'23/90 r. Customer First Scheduled: 11/19/91 V Regi-stered Representative for churning and unsuitable Product: P-SHIP Decided: 07/30/92 investm

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salvatore Trovato v Merrill Lynch Ptorce Fenner & Smith and /Uvin Fait Attorneys: For Claimant(s): David Singer Esq. - New York, NY For Respondent(s): Brian Amery Esq. - Morristown.. NJ Date Filed: O8/I6/90 First Scheduled: 02/28/91 Decided: 02/28/02 Case Summary: Customer against Member Firm and Registered Representative for alleged failure to provkle reliable

c r / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sanford Antin v Herzfeki & Stern (now Jll Securities). Gruntal & Co.. Inc. & Milton Fane Attorneys: For ClaimiBnt(s): Gerald D Fischer Esq. - New York, NY For Respondent(8): Peter Cooper Esq. - New York. NY Davto Rappaport Esq. - New York, NY Edwin A. Zipf Esq. - New York, NY Date Filed: 07/30/90 First Scheduled: 03/24/92 Decided: 05/28/92 C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rodney Griffiths (Claimant) v. Sands Brothers & Co., Ltd., Emilio Luciano, and Robert Spiegel (Respondents) Case Number: 01-04809 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Rodney Griffiths referred to as "Claimant": Brian F. McDonough, Esq., Drinker Biddle & Reath, LLP, Florham Park, NJ.

Vew Vork Stock Exchange /n the Matter of Arbitration Between NYSE Case: Ruth Ann Rosenberg v Dean Witter Reynolds, Inc., F.G. Knight, Mathew Levitan, Nicholas i^ Daniel, Jerry Neal and DOES 1 through 20 Attorneys: FOr Claimant(s): Michael P. Walsh Esq. - Oakland, CA For Respondent(s): Matthew Levitan - New York, NY Nicholas McDaniei - Katy, TX Eric G. Wallls Esq. - Oakland, CA Date Filed: 02/20/90 First Scheduled: 05/21/91 Decided: 0

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PaineWebber Inc. v. Carlton Devore & PaineWebber Inc. v. Davkl Grey Attorneys: For Claimant(s): Mtohael R. /\lford Esq. - Miami, FL Fbr Re8pondent(s): Robert C. Muth Esq. - Charlotte, NC Date Filed: O6/01/90 First Scheduled: 10/O8/90 Decided: 08/04/92 Case Summary: Member Firm V. Customer for nonpayment of debit balance from commodity trades, counterclaim for b