y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lula l. Coleman v PaineWebber, Inc. and William K. Blount Attorneys: For Claimeuit(s): Lula I. Coleman - Sisters,, OR l=br Re8pondent(s): Joseph A. Valk) Esq. - Weehewken,, NJ Date Filed: 09/09/92 First Scheduled: x/'*•/•» J Decided: 02/12/93 Case Summary: customer v Member Firm and Registered Representative for alleged failure to execute stock transactnn (Weye

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gloria June Kelly v. Dean WMar Reyndds, Inc., Suzanne Venn ft Jamas R. Waiieoe Attorneys: For Ciaimant(8): James B. Alley Esq. - Santa Fe, NM For Reepondent(e): Wendy R. Robinson Esq. - San Francisco, CA Date Filed: 09/14/92 First Scheduled: Q6MI93 Case Summary: Customer v. Member Rnn & Registered Representative ' Securities Fund, unsuitability, negligence and breach

rN New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Leonard Friedman v Hamilton Investments Inc. Attorneys: For ClainuuTt(8): Maureen A. Mosh Esq. - Chicago, IL Fbr Respondenl(s): Ugne T. Adams Esq. - Chicago, IL Date Filed: 08/19/92 First Scheduled: 03/23/93 Decided: (^ ^^[< \3 Case Summary: REGISTERED REPRESENTATIVE AGAINST MEMBER FIRM FOR AGE DISCRIMINATION, SLANDER, EMOTIONAL

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ernst & Company v Gorman Commodities & Securities, Inc. and Ira Gorman Attorneys: Fw Claimant(s): Michael DuBoff Esq. - New York, NY Fbr Respondent(8): Ira Gorman - Santa Monica, CA Ira Gorman, Pros - Los Angeles, CA Date Filed: 08/05/92 First Scheduled: 04/16/93 Decided: 06/30/93 Case Summary: Member firm against non-member firm and non-member individually for b

i i h^y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark C. Peterson v. Tucker Anthony & R.L Day, Inc., Tucker Anttiony, Inc. and Walter Qough Attorneys: For Claimam(s): Jeffrey Rosen Esq. - Red Bank, NJ fior RBspondent(s): Patrick J. Howley Esq. - New York, W Date RIed: O8/07/92 Rrst Scheduled: 3/iOiqs Deckled: ^j^oj^S Case Summary: CUSTOMER AGAINST MEMBER RRM AND REGISTERED REPRESENTATIVE FOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce M. Nash and Sophie M. Nash, Claimants v. Prudential Securities, Inc., CW;Niirnlv>r 01-04766 Respondent Site- Los Atigeles, California RFPRFSFNTATTON OF PARTIES For Claimants: For Respondent: Peter Garrell, Esq. Liner Yankelevitz Sunshine & Regenstreif LLP Los Angeles, California Charles LaChaussee, Esq Prudential Securities, Inc. San Francisco, Cali

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Michael J. Del Monaco, Michael A. De! Monaco and Chrystina A. Del Monaco, Claimants vs. Charles Schwab & Co., Inc., Respondent. Case Number: 00-01325 Hearing Sue: San Francisco, California REPRESENTATION OF PARTIES Claimants, Michael J. Del Monaco, Michael A. Del Monaco and Chrystina A. DeJ Monaco, hereinafter collectively referred to as "Claimants": Timothy A. Canning, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Judith M. Sables v. Merrill Lynch Pierce Fenner & Smith and PaineWebber, Inc. Case Number: 00-00133 Hearing Site: Southfield. Michigan REPRESENTATION OF PARTIES Claimant, Judith M. Sables, hereinafter referred to as "Claimant": Walter L Baumgardner, Esq., Musilli, Baumgardner, Wagner & Parnell, St. Clair Shores, Michigan. Respondent Merrill Lynch Pierce Fenner & Smith, Inc

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities, Inc. v Ronakl Daggett Attorneys: For Ciaitrani(s): Mnhael Kraft Esq. - Chnago, IL For Respondents): Ronakl R. Daggett - Bumsville, MN RonaM Daggett - Prior Lake, MN Date Filed: 07/30/92 First Scheduled: 06/09/93 Decided: 7/f/f^ Case Summary: Claimant, a member firm, elleges respondent, a registered representative and former employee, failed to pay

New York stock Exchange In the Matter o£ Arbltratio-* Between NYSE Case: Shearson Lihnan Brothers, ITC, V Ben 'Kex Hoses Attorneys I For ClaiBant< 8>: Rudy England, Esq. - Houston,, TX For RBspondantCtt} I Ban R. Hoses - Houston, TX Ben Rex hoses - Houston, TX Ben Rex Hoses - Houston, TX Date Filed! 08/31/32 First Scheduled: 06/15/93 Dacldad: 06/17/93 Case Sumnaryl Clainant, a nenber firn, alleges respondent, a registered represen