New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Lawrence Kass Attorneys: For Claimant(s): David Gorobetz Esq. - New York, NY For Respondent(8): Lewrence Kass - Springfield, NJ Date Filed: 10/27/90 First Scheduled: Case Summary: Member Firm seeks repayment of promissory note 02/21/91 Decided: 1 and breach of emptoyment agreement. Product: PROMISSORY NOTE 01/09/92 Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: RonaM Smitow & Marilyn Smilow -v- Shearson Lehmen Hutton, Inc. and Robert Gilton Attorneys: Fbr Clainiant(s): Jeffrey V. Boxer Esq. - Newton. MA For Respondent(8): Rtohelle S. Kennedy Esq. - Boston, MA Date l=^iled: 11/23/90 First Scheduled: 12/12/91 Decided: 12/12/91 Case Summary: Claimants seek damages for alleged vnlatnns of IS U.S.C. Sec. 78J(b), 77E(a); fraud an

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: GABRIEL YANDOLI V. SHEARSON LEHMAN HUTTON AND RHONDA DRIVSTUEN Attorneys: For ClaHnant(s): Timottiy J. Denim Esq. - New York.. NY Fbr Re8pondent(s): Willliam A. Hohauser Esq. - New York, NY Date Filed: 10/19/90 First Scheduled: 01/22/92 Decided: 04/28/92 Case Summary: CUSTOMER AGAINST MEMBER FIRM AND REGISTERED REPRESENTATIVE FOR ALLEGED FRAUD IN INDUCING CLAIMAN

y New York Stock Exchange in the Matter of Arbitration Between NYSE Case: SUSAN GATTEN V CHARLES SCHWAB & co., INC., CHARLES SCHWAB. JAMES WIGGETT, LARRY STUPSKI. HUGO QUACKENBUSH Attorneys: For Ciaimant(s): Jill Hersh Esq. - San Francisco, CA Fbr Respondent(s): Judith Dorz Keyes Esq. - San Francisco, CA Date Filed: 11/14/90 First Scheduled: 01/22/92 Decided: 0 6/< 2 6/'?^ Case Summary: CLAIMANT, A FORMER REGISTERED REPRES

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: ABE & LUCILLE MILLER v. PRUDENTIAL BACHE SECURH-IES Attorneys: For Ciainriant(s): MARK A. PIERCE ESQ. - LAUDERHILL, FL For Respondent(s): STUART ABRAMS ESQ. - NEW YORK, NY Date Filed: O8/31/90 First Scheduled: 05/15/91 Decided: //i^/^n- Case Summary: CUSTOMER V MEMBER FIRM FOR ALLEGED FAILURE TO FOLLOW INSTRUCTIONS REGARDING INVESTMENT OBJECTIVES. CUSTOMER FU

New York Stock Exchange In the Matter of Arbitration Bet>veen y NYSE Case: Goldman Sachs & Company, Inc. vs. Richard Galuska Attorneys: Fbr Claimant(s): Paul Scheuerlein Esq. - Chicago. IL For Respondent(s): Richard Galuska - LaGrange, IL Date Filed: 04/11/88 First Scheduled: 04/12/39 Decided: Case Summary: Claimant seeks monies due from debit balance In account due to options trading on margin, alleges failue to supenrise, churn

< ( y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: F. Timothy Hurley v Dave F. Pappadio v ^!•:>:^- Pr'^ McCooey Clearing Corporation Attorneys: For Clainiant(s): Howard B. Sirota Esq. - New York, 1^ For Re8pondent(s): Jeffrey /Vmerman Esq. - New York, NY R. Paul Bohlin Esq. - New York, NY Date Filed: 11/1/88 First Scheduled: 5/25/89 Decided: 10/08/92 Case Summary: claimant alleges that Responden

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: A. G. Edwards & Sons, Inc v Robert Barry Attorneys: For Claimant(s): Jeff Jamieson Esq. - St. Louis. MO Fbr ftospondent(8): Robert Barry - Braintree, MA Date Filed: 09/30/92 First Scheduled: 12/20/92 Decided: 12/20/92 Case Summary: Member Firm against non-member (customer) for alleged debit ballance relating to the purchase of Commodore International Limited.

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph DeGaetano v York Securities, Inc. and Tom Curran Attorneys: For Clainiant(s): Edward T. Brown Esq. - Smithtown, NY For Respondent(s): Thomas J McCabe Esq. - New York, NY Date Filed: 08/07/92 First Scheduled: 11/18/92 Decided: 11/18/92 Case Summary: Customer against Member Firm and Registered Representative for alleged failure to execute a buy order for 400 s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Unger, (Claimant) v. Prudential Insurance Company of America Prudential Retirement Services, Inc. (Respondents) Case Number: 01-04807 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Unger, hereinafter referred to as "Claimant": Peter G. Eikenberry, Esq., a sole practitioner, New York, NY. Respondents, Prudential Insurance Compa