New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Capolino d/b/a Tn Capolino Trucking v Fahnestock & Co., Inc., and Lawrence Zimmerman Attorneys: For Claimant(s): Max Markus Katz Esq. - New York., NY For Re5pondent(s): Charles E. Padgett Esq. - New York., NY Date Filed: 08/17/92 First Scheduled: 03/02/93 Decided: 03/02/93 Case Summary: claimant alleges that Respondents, a member firm and registered representa

New York Stock Exchange in the Matter of Arbitration Between esse: Soith Barneu, Harris Uohaa S Co. IncorDorsted; John Euell Xlabrouoh IV. HaJ F. Leuis: Mark Richard Loft.' Frank A. Stackpole. Jr.: [ion UJJJiaasj OisrJes UexJer and Itonte Hart v Dean Iditter RevnoJds Jnc, ftttornevs; For CJaiiaDt{a>: ThOBBS n. Cancbei] ESQ. - New York. Hi EarJ J, Schuarz fso. - MeoohJs. T N For ResPondBntCs). PauJ E. Prattler ESQ. - HaaDhis. T N Date Fil

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Shearson, Inc. v Kenneth D. Ferguson Attorneys: For Claimant(s): Eugene V. Clark Esq. - New York, NY For Respondent(s): Rod Tanner Esq. - Fort Worth, TX Date Filed: O8/25/92 First Scheduled: 06/03/93 Decided: 10/12/93 Case Summary: claimant alleges that Respondent failed to pay the outstanding balance of a promissory note executed in favor of Claimant.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: S. Dale Trude v. Pacific Brokerage Services Attorneys: For Claimant(e): S. Dale Trude - Boca Raton. FL For ReapondenUa): Stephen P. Bedell Esq. - Chicago, IL Date RIed: 07/08/92 First Scheduled: 04/22/93 Decided: Case Summary: Customer v. Member Rnn & Registered Representative ' notification that all margin calls would be met. breach of contract Product: OTHER

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Walter Groff. M.D. v Alan Fox and Shearson Lehman Brothers. Inc. Attorneys: For Claimant(s): Walter Groff M.D. - Short Hills, NJ, NJ For Ftospondenl(s): G. Wayne Hillis Esq. - /Vtlanta, GA Date Filed: 08/18/92 First Scheduled: 01/20/93 Decided: 02/17/93 Case Summary: Customer v Registered Representative and Memt)er Firm alleging he was Induced by Respondent to purche

/• New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John T. V bttnttU/JolHMon Ijuis CdrponMNi Attorneys: Tor CMiwnWW WSam R. Amkmg Esq. - a LaudenWe, FL Pameta P« WarnemBni Etc^ — ChartoHek NC Dale Filed: 0Bn»B2 First Scheduled: oTQom Oecided: oe/29/B3 Case Summary: ReslsMedHapresenMivevMeinbsrFinnfaralegeddlseriiraMionnempioymenlba^ traatmant frein emptoyw Mtoiring the end of hb fotalkimiilp witti anotter

«BUMt New York stooK Bxonange In the Matter of Arbltrat.lori Between I—^T i.ii-^^we NYSE Case: Janet L. Scott and Lori Pixley v. Hsrrlll Lynch and Robert Sul Attorneys: For ClaiBBnt< 8}: Richard Koblinski - Birninton, MI For RBapondentCa): Douglas 6. Grahan Esq. - Detroit, HI Robert 8ui - New York, NY Date Filed: 08/03/92 First Scheduled! 02/24/93 Decided: 06/29/93 Case Suenary: Clalnants allege that Reepondsnta traded unsuita

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: SUney Koch, Executor u/W/o ISA Samuel Silverman & Gerttvde Silverman v Shearson Lehman Brotfiers, Inc. and Eric Krantz Attorneys: For Clainianl(s): Neil L Prupis Esq. - West Orange, NJ Fer rUiapondont(s): Mattfiew Fariey Esq. - New Yori(, NY Date Filed: 07/21/92 First Scheduled: 03/12/93 Decided: 07/16/93 Case Summary: delmant, executor of customers' estates, alleges

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin Pasetta, Lee Miller, Bill Foster, Robert Finkel, Sidney E. Tessler, John Clement, and Lee Rosenberg, Claimants v. Prudential Securities, Inc., Respondents Case Number: 01-04764 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants; Randall J. Sunshine, Esq. Todd A. Boock, Esq. Liner Yankelevitz Sunshine & Reginstreif LLP Santa Monica, Californi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David I. Ferber v. Josephthal. Lyons & Ross Attorneys: fot Claimant(s): David Ferber - New Yori(. NY For Raspondeni(8): Donald Hanson - New York, NY Date Filed: 07/21/92 First Scheduled: 11/18/92 Decided: 11/20/&2 Case Summary: claimant altoges that Respondent feitod to carry out an order to seU securities. Product: EQU Market: Claim Data Claim: $