New York Stock Exchange NYSE AU the Matter of Arbitration Between Case: Hlllard-Lyons, Inc. v Al Lawing, Jr. and Prudential Securities, Inc. Attorneys: For ClaJmEuit(8): Cheryl U. Lewis, Esq. - Lexington,, KY For Respondentia): William W. Allen Esq. - Lexington,, KY Date Fiied: 03/31/92 First Scheduled: °'^- Amt"., MZ Case Summary: Claimant, a Member Rrm, altoges breach of broker trainee agreement by Ftespondent, RR and fbrmer emptoyee,

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Virgvna E. Blss and Raymond J. Bliss v Dean Witter Reynokls and Jack Gilbert Attorneys: For Clamart(t): Raymond J. BliSS - West Henrieoa. NY For ReipondenKs): John J. Hasluck Esq. - New York, NY Date Filed: 03/09/92 First Scheduled: 07/20/92 Decided: 07/30/92 Case Summary: Customers against member firm and registered representative for alleged breach of fkiudar

New York Stock Exchange NYSE In the Matter of Arbitration Between Ccise: Sam Wolfe v. Morgan Stanley Attorneys: For Claimant(»): Sam Wolfe - New York, NY Fbr Respondent(a): Rtohard Fisher - New York, NY Date Fiied: 03/23/92 First Scheduled: 07/10/02 Decided: Case Summary: Claimant alleges broker bullied him into buying a certain stock and then bought more stock than outhorizad Product: EQU Market: Claim Data Award Data Claim: $8,250.00 A

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Jeffrey Sharp v Richard Wadipian Attorneys: For Claimant(s): Jeffrey Sharp Esq. - Forest Hills,, NY Fbr Respondent(s): FUchard Wadipian - Forest HUls,, NY Date Filed: O3A)9/92 First Scheduled: O8/12/92 Decided: 08/12/92 Case Summary: Customer against Registered Representative for alleged breach of contrad arising out of a profit and toss agreement. Product:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Grossi vs. A.G. Edwards & Sons Attorneys: For Clainiant(s): John Grossi - Princeton, NJ Fbr Respondent(s): William S. Port Esq. - St. Louis, MO Date Filed: 03/09/92 First Scheduled: O8/26/92 Decided: 08/27/92 Case Summary: Registered Rep/Branch Offtee Manager vs. Member Firm (ex-employer) alleging Claimant was 'carelessly and recklessly' . ^)^ terminated as

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clarice Kahn and Sheklon Kahn v. Shearson Lehman Brothers Inc. Attorneys: For Claimant(s): & Mrs. Sheldon Kahn - Longboat Key. FL Sheldon Kahn - Chicago. IL Fbr Re8pondent(s): Tony /Messandrini Esq. - New York, NY Date Filed: 02/02/92 First Scheduled • (0 b (?(«?^ Decided: ^h(i'^ Case Summary: customer v. Member Firm and Registered Representative al

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pascal Durayaprama v Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Clainiant(s): Pascal Durayaprama - France, For Respondentia): Daniel N. Turner Esq. - London EC2Y 9LY, Date Filed: 03/02/92 First Sctieduied: 06/17/92 Decided : 06/17/92 Case Summary: customer against member firm for alleged fraud, misrepresentation and lost profits. Product: EQU

New YorK .Stock Exchange In the Matter of Arhitration Between NYSE Case; MichaeJ & Patricia Sharp v. J. Stephen Stout Attorneys; For CJaJiant{s>; L, David Lawson ESQ. - FJint. HI For RespondentCs); J. Stephen Stout - FJushinq. HI Date Filed; 02/26/32 First ScheduJed; 05/15/52 Decided; J2/J7/92 Case Suffluarv; CJainant allege Respondent mislead them into buving into funds and limited Partnerships with false statements reaardinq value

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant R. Bruce LeBlanc Names of the Respondents Victor M. Rivas Windsor Capital Advisors, LLC Fiserv Correspondent Services, Inc. Case Number: 01-04793 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For R. Bruce LeBlanc ("Claimant"): J. Warren Gardner, Jr., Esq., Charles W. Schmidt, III, Esq., and Janet L. White, Esq., Christovich & Kearney

^ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: John C. Isenhour V Oppenheimer & Co., Inc. Attorneys: For Claimant(»): Jotm C. Isenhour - Louisvilie, KY Fbr R8apondent(s): Joseph C. Pickard Esq. - New York. NY Date Fiied: 12/17/91 First Scheduled: Decided: 05/11/92 Case Summary: Customer V Member Firm end Registered Representative for alleged kisses incurred through misrepresentation am ttie purchase of tax ex