y New Vork Stock Exchange In the Matter of Arbitration Between NYSE Case: PakwWebber Irw. v, Cariton Dovore & PalrveWebber Inc. v. David Grey Attorneys: R>r CUnMrtM: iMiGhaal R. AHbrd Esa -Miami, PL For naapondanKi): Robert C. hlMh Esq. > Chwiolte, NC Date Filed: 06W1/80 Rrst Scheduled: IO/BJ90 Decided: 8/4/92 ^^_^k__ _ T m ^ tw^tm ira-a 1 ^ mm M-T ir-r ' ^ i ^ n^—i— i^—I—iii_i^^^i__^^^*\ii_^^B^riiw^^^i ^^^M^_^^^M

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Sheerson Lehman Hutton Inc. v. Henry Cole Attorneys: For Ciaimantts): Frederick Greco, Esq. - McLean, VA For ReapondentM: Charles Piven, Esq. - Baltimore, MD Date Fiied: 08/20/90 First Scheduled: 3/5/91 Decided: 1/29/92 Case Summary: Member Firm V. Customer for non-payment of debit balance resulting from purchase of securities Product: OPT Mari< et: ifYSE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\nglo-American Financial v Prudential Bache Securities. Robert Knutson. and Mkshael R. Offit Attorneys: For Claimant(s): Christopher Lovell Esq. - New York. NY Fbr Respond0nt(s): Loretta A. Preska Esq. - New York, NY Date Piled: 06/25/9o First Scheduled: 07/I8/91 Decided: 01/09/92 Case Summary: Claimant Seeks damages for tosses allegedly resulting from Misrepresenta

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton Inc. v. Yates S. Williams Attorneys: For Claimant(s): John S. IJJtz Esq. - Denver, CO For Respondenl{i): Jon W. Ponder Esq. - Colorado Springs, CO Date Plied: 09/13/90 First Sciieduled: 07/09/91 Decided: 01/07/92 Case Summary: Memk)er Rrm v. Registered Representatlva for nonpayment of promissory note evidencing purchase of securities Produc

New York Stock Exchange In the Matter of Arbitration Between NYSE C-ase: Chizuru Ni^< 3 >.'S. Prudential Bache Securities, Inc. and Jerry Dale Attorneys: For CleiMnUs}: John Pjpp, Esq. - Honolulu, Hk For HeapandsRtts): K^arran Star Esc;. - jtonolulu, JM Date filed: «l/0?.^i First Sciieduled: 10/3a^l Decided: %^?.'92 CiM SuAJMry: Custonier dgaiflst «aiiber firn wi registered rapresentBti'A fsr fraud, co«i.ieraioR, violation of 34 -act and

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Shearson Lehman Hutton inc. v. Douglas Smalis Attorneys: For Claimant(8): Christopher P. Litterio Esq. - Boston, MA Fbr Respondent(8): Douglas Smalis - New Stanton, PA Date Filed: 01/09/90 First Scheduled: 07/17/91 Decided: 04/07/92 Case Summary: Member Firm against Registered Representative for balence of promissory note. Product: Market: Ciaim Dat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nancy Longacre, Eliot M. Eames, Thora E. Eames & Don Thomas v. Boettcher & Company & Craig Carson Attorneys: For Claimant(s): Thomas L. Kennedy Esq. - Colorado Springs, CO For Respondent(s): Thomas D. Birge Esq. - Denver, CO Date Filed: 08/O8/90 First Scheduled: 03/12/91 Decided: 11/20/91 Case Summary: customer v. Member Firm & Registered Representative for failu

c New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Gruntal & Co. Inc. v. James Sonnefeld Attorneys: For dainnnt^): Eric S. Huttier Esq. - New York, NY For Re8pondenl(8): WiUiam C. Mims Bq. - Leesburg, VA Date Filed: 09/12/90 Case Summary: Member Firm v First Scheduled: os/os/oi Decided: 4/21/92 Non-Member for breach of emptoyment comract, non-payment of promissory note. Product: Market: NYSE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael A. Kerper, (Claimant) vs. Sandgrain Securities, Inc. and Salvatore Liggieri, (Respondents) Case Number: 01-04808 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael A. Kerper, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondent, Sandgrain Securities, Inc. ("Sandgrain"), did not appear at the h

1 ,v York Stock Exchange In the Matter of Arbitration Between NYSE Case: Evelyn S. Lawrence v Prudential-Bache Securities Ina and James E. Oucey Attorneys: For ClaJniant(8): Frank Lewis Esq. - Phoenix, AZ For Respondemfs); Peter Byer Esq. - New York, NY Date Filed: 10/03/90 First Scheduled: ti/ts/ai Decided: 04/30/02 Case Summary: Customer against Member Firm and Registered Representative for alleged churning, unsuitability, failure to s