V York Stock Exchange In the Matter of Arbitration Between NYSE Case: Orexel Burnham Lambert Inc. v Mark Adams Attorneys: For Ctalnunft): Mark N. Axinn Esq. - New York, NY For Respondent's): David Crystal Esq. - New York, NY Date Filed: 07/25/88 First Scheduled: 07/14/89 Decided: 01/27/92 Case Summeuy: Member Fvm aganat Registered Representative tor repayment of a promissory note plus interest and costs. Regislared R«presenia|ive cou

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Drexel Burnham Lambert Inc. v Chester Dudzik Attorneys: For Claimant's): Allen H. Brill Esq. - New York, NY For Respondent's): Davkf Crystal Esq. - New York, NY Date Filed: 07/25/88 First Sciieduled: 07/13/89 Decided: 11/08/91 Case Summary: Member Firm against Registered Representative for repayment of promissory note. Registered Representative counter claimed eg

( ( y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: F. Timothy Hurley v Dave F. Pappadio v P.":*:*; Pr'k ^.^cGooey Clearing Corporatnn Attorneys: For deimanfs): Howard B. Sirota Esq. - New York, NY Fbr Respondent's): Jeffrey Amerman Esq. - New York, NY R. Paul Bohlin Esq. - New York, NY Date Filed: I1/1/88 First Sciieduled: 5/25/89 Decided: io/oa/92 Case Summary: Claimant alleges that Respondent

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney, Harris Upham & Co., Inc. -v- Winston Zabiela Attorneys: For Claimant's): Scott E. Kresch Esq. - New York, NY For Respondent's): Winston Zabiela - Ronkonkoma, NY Date Filed: 11/O6/89 First Sciieduled: 10/09/91 Decided: 09/02/92 Case Summary: Claimant alleges Respondent's employment was terminated and seeks to recover the balance due on a Promissory

-lew York Stock Exchange In the Matter of Arbitration Between NYSE Case: John A. Sloan vs. Dean Winer Reynolds Attorneys: For Claimanl's): Peter R. Qiroux Esq. - St. Petersburg, FL For Respondent's): Glenn D. Kelley Esq. - West Palm Beach. FL Date Filed: 12/01/89 First Scheduled: 03/i4.'9o Decided: ojnomz Case Summary: claimant allegss he was induced to leave his ompkiyar 'EF Hutton & Co) to join respondent firm as vice president and man

New York Stock Exchange a. the Matter of Arbitration Between / NYSE Case: Smith Barney, Harris Upham & Co., Inc. v Mark R. Svennevik Attorneys: For Cleiniianfs): Scott E. Kresch Esq. - New York, NY Fbr Respondent's): Mark R. Svennevik - New York, NY Date RIed: oamm First Sciieduled: 01/15/92 Decided: 03/05/92 Case Summary: Member Rrm V Registered Representative — Claimant seeks recovery of the t>alance due pursuant to the terms of a

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Shearson Lehman Hutton vs. John Voipe Attorneys: For dainianfs): Mark J. Alonso Esq. - New York, NY Fbr Respondent's): William A. Despo P.C. - Shrewsbury, NJ Date Filed: 05/25/89 First Sciieduled: 10/19/90 Decided: 03/12/92 Case Summary: Member Firm vs. Registered Rep regarding breach of Emptoyment Contract Product: TRAINING AGREEM Market: NYSE Clai

y New York Stock Exchange In* tne Matter of Arbitration Between NYSE Case: Alien S. Feinblatt, Steven M. Goldring, Norman Hall, Seymour Kay,.JesseJievinoandJdwrence.D.;Satdenberg v Eddie A Muller, Robert A Blatt, Mark D. GoMsmith, Jay N. Lampach, J. Jerome Olitt, Muller &.Co., Muller.andi«ompany.and Muller and.Company, Inc. Attorneys: For Clainranfs): Dominick J. Dorata Esq. - New York, NY Fbr Respondent's): J. Jerome Olitt - White Plains, NY

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Morgantos N.V. vs. Amivest Corporatkin Attorneys: Fbr ClaiRHnfs): Mendel White Esq. - New York, NY For Respondent's): Anthony Phillips Esq. - New York, NY Date Filed: 04/03/89 First Sciieduled: 10/23/89 Decided: 03/18/92 Case Summary: customer/Lender vs. Member Firm seeking payment of a cash subordinatnn agreement. Product: TRAINING AGREEM Market: N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Miriam Pierce, (Claimant) vs. Atalanta Sosnoff Management Corporation and Martin Sosnoff, (Respondents) Case Number: 01-04780 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Miriam Pierce, hereinafter referred to as "Claimant": Ira Daniel Tokayer, Esq., a sole practitioner, New York, NY. Respondents Atalanta Sosnoff Management Corporation ("ASMC") and Martin