New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Mark Zilly v Legg Mason Wood Walker Inc. Attorneys: For Ciainiant(s): Merit Zillr*- Chicago, IL For Respondent's): Dana N. Pescosolido Esq - Baltimore, MD Date Filed: 09/28/92 First Scheduled: 10/29/93 Decided: /\jcV. 30, t9'^3 Case Summary: Customer against member tirm for failure to deliver Black and Decker Stock Product: EQU Market: Ciaim Data Award Data C

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Rosemary V. Millsap v Dean Witter Reynolds Inc. Attorneys: For Clainiiant(s): Rosemary V. Millsap - /Vthens, GA For Respondentia): Elizabeth T. Hill Esq. - New York, NY Date Filed: 08/26/92 First Scheduled: 02/03/93 Decided: 02/03/93 Case Summary: Claimant alleges that her account was mismanaged and that unauthorized trading took place in the account. Product: EQU Market:

New York Stock Exchange the Matter of Arbitration Between NYSE Case: Beatrice Goldman vs. Fahnestock & Company, Inc. Attorneys: For Clainianl(s): Alan L. Ingber - New Canaan, CT For Respondent^): Charles E. Padgett Esq. - Ne\.- York, NY Date Filed: 10/02/92 First Scheduled: 12/21/92 Decided: 12/21/92 Case Summary: Customer vs. Member Firm alleging misrepresentations, unsuitable investments in Medical Care Corp, (Envirofil) stock, failure

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul H. Fitzgerald v Reich & Company, Inc. v Paul H. Fitzgeraki Attorneys: For Clannant(s): Edward J.M. Little Esq. - New York. NY For Respondent(8): Marie LubienskI Ciokajk) Esq. - New York, NY Date Filed: 08/25/92 First Scheduled: 03/18/93 Decided: 04/28/93 Case Summary: Claimant alleges deliberate and unjustified breach of emptoyment contract and termination of em

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ivan D. Ahlbrandt, William E. Loeber, Maxine R. McDowell, Ronald Stowell, Carole Stowell, and First Baptist Church v. Respondent / Third-Party Claimant Washington Square Securities, Inc. v. Third-Party Respondents Cameron Benton Ryan D. Stowell 01-04767 penver, Colorado Nature of Dispute: Customers v. Member and Member v. Associated Persons

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers, Inc. vs. Love Properties, Inc. and Samuel Pfeiffer Attorneys: For Ciainiant(8): James T. Meyer Esq. - New York, NY For Respondenl(8): Samuel Pfeiffer - Brooklyn, NY Date Filed: 09/30/92 First Scheduled: O6/02/93 Decided: O6/02/93 Case Summary: Member Firm vs. Customers elleging Respondents issued a check on insufficient funds to pay for thei

\y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Landolt v. Boettcher & Co. Inc. Attorneys: For Claimant(s): Richard Landolt - Boulder. CO For Respondent(s): William 0. Nelson Esq. - Denver. CO Date Filed: 9/28/92 First Scheduled: 02/03/93 Deckled: 5/6/93 Case Summary: Customer v. Member Firm - claimant alleges unauthorized trading, fraud and misrepresentatnn regarding purchasing flock. Product

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: H. Dorn Stewart v Goldman, Sachs & Company Attorneys: For Clainwut(s): Mnhael J. McAllister, Esq. - New York, NY For Respondent(s): Joel M. Miller Esq. - New York, NY Date Filed: 09/10/92 First Sciieduled: 04/28/93 Decided: ^'//2./^.3 Case Summary: claimant alleges respondent, a member firm, breached a consulting contract with respect to the Wheeling-Pittsburgh

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. John J. Sisk Attorneys: FOr CUmanKs): Joel Stuttman Esq. - New York, NY Fpr ReBpondenl(s): John J. Sisk - Madison, CT Date Filed: 09/21/92 First Sctieduied: 01/27/93 Decided: 06/28/93 Case Summary: Member Finn vs. Registered Rep (ex-employee) seeking to recover an amount ellegedly due on a loan and promissory note as well as knses incurred b

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Charlene Miller v. Dean Witter Reynolds, Inc. & Jerald Reiland Attorneys: For Claintant(s): William T. Hart Esq. - Denver, CO For Respondent(s): Paul D. Allen Esq. - San Francisco, CA Date Filed: 09/23/92 First Scheduled: 01/06/93 Decided: 2/3/93 Case Summary: Customer v. Member Firm & Registered Representative - claimant alleges unauthorized purchases of high