New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Colleen Cummings v. Bateman Enhler, Hill Richards, Incorporated, now Kemper Securities Group, Inc. and Robert Mills Attorneys: For Clainnnt(s): Steven M. Gluck Esq. - Calebesas, CA For Respondent(s): Paul W. Poareo Esq. - Los Angeles, CA Date Filed: 10/22/92 First Sciieduled: 10/19/93 Decided: lil'^3 Case Summary: Customer against member firm and registered repre

Wew York Stock Exdiange In the Matter of Arbitration Between NYSE Case: Robert E. Lynch & Frances M. Lynch v. Cameron Cieric & Tudtsr Anthony Incorpondad Attorneys: For Claiiiiant(s): Edward W. Russey, Ul - Woodland Hilb. CA For Reepondeiit(a): Patrick J. Howley Esq. - New Yoric, NY Date RIed: 10A09/92 Rrst Scheduled: 03/10/93 Deckled: 8/2/93 Case Summary: Customer v. Member Rrm & Registered Representative - customers egainst member firm

4ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: shearson Lehman Bros. vs. Edward McGlynn Attorneys: For CtainMtfM(s): Mark S. Mancher Esq. - New York, NY Fbr Reepondeni(s): Geraki D. Rscher Esq. - New Yori(, NY Date Filed: 10/20/92 First Sciieduled: 03/24/93 Decided: 06/04/93 Case Summary: Member Rrm vs. Registered Rep (ex-empk>yee) seeking to recover an alleged outstanding loan balance under Claimant's Executive

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., Claimant Vs. Robert Alan Magness, Respondent. Hearing Site: Louisville, Kentucky Case Number: 01-04769 y Brandon K. REPRESENTATION OF PARTIES Claimant Charles Schwab & Company, Inc. ("Schwab"), was represented b Hemley, Esquire, of Charles Schwab & Company, Inc., San Francisco, California. Respondent Robert Alan Magness (

New York Stock Exchange _ _ NYSE In the Matter of Arbitration Between ~ Case: Esther Tuchband v. Pmdential Securities & E. F. Hutton Attomeys: For Claiinant(a): Esther Tuchband - Sunrise, FL For ReBpondent(a): John P. Bevllacqua Esq. - New Yoric. NY George C, McGulgan Esq. - New York, NY Date Filed: 10/20/92 Case Summary: disclose. Customer V. Member Finn Rrst Scheduled: 4/22/93 Decklad Product: EQU Market: =

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dr. Louis Shure, Freyda Shure, Dr. Louis Shure, D.P.M., P.C, Louis Shure and Freyda Shure, as Co-Trustees of Louis Shure, D.P.M., P.C. Pensnn Plan and Trust, v Deborah Wallach, Attorneys: For Clainiani(s): Louis F. Burke Esq. - New York, NY For Respondeni(s): Mark Atonso Esq. - New Yori(, NY Date Filed: 10/20/92 First Scheduled: 10/20/92 Decided: 10/20/92 C

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: June M. Owen v. The Robinson-Humphrey Company, Inc. & David E. Grice Attorneys: For Claimant(s): Susan Taylor Rash Esq. For Respondent(s): Cory Hohnt>aum Esq. Asheville, NC Charlotte, NC Date Filed: 10/19/92 Case Summary: Customer v. investments which included a life First Scheduled: 03/11/93 Decided: 03/11/93 Member Firm & Registered Representative -

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joseph Ifohler, III v John Montgomery, WHIard Saperston, and Advest, Inc. Attorneys: For Clainianl(8): Willard M. Pottie, Jr. Esq. - Buffato, NY For Respondents): Robert A. Dean Esq. - Buffak), NY William C. Freitag Esq. - Hartford, CT Date Filed: 09/23/92 First Scheduled: 06/23/93 Decided: O8/2S/93 Case Summary: Claimant alleges that he relied on the exper

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lois Friedman v Prudential Securities Inc. and Loren Sydney Attorneys: For Ciain»iil(s): Gereki D. Fischer - New York, NY Fbr RaBpondeni(B): Laurie Gnlito Esq. - New York, NY Date Filed: 10/05/92 First Scheduled: O6/O8/93 Decided: 06/28«3 Case Summary: Claimant alleges breach of fkludery duty, chuming, unsuitability and failure to supervise. Product: EQU Mark

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard and Lillian Leslie. Trustees of the Leslie Family Trust: Mack and Pat Reed, and Rosalie S. Rogers v Wedbush Morgan Securities, inc Attorneys: For Claimant(s): Gary A. Waldron Esq. - Newport Beach, CA For Respondent(s): Terry Ross Esq. - Long Beach, CA Date Filed: 09/23/92 First Scheduled: 04/30/93 Decided: < ?/2 h^ Case Summary: customers against membe