New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frankie L. Guynn & Janie C. Guynn v Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Claimant(s): Tom Boyd Esq. - Amarlllo, TX For Respondent(s); Gregory 0. May Esq. - Dallas, TX Date Filed: 06/30/92 First Scheduled: 02/10/93 Decided: 02/17/93 Case Summary: claimant alleges violations of the Securities Exchange Act of 1934, and Rule 10 (b) (5) thereunder, vio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel Rossman, Claimant v. K.W. Brown Investments, Kenneth W. Brown and Wendy Elizabeth Brown, Respondents Case Number: 01-04749 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Richard Sacks Novato, California For Respondents K.W. Brown Investments and Kenneth W. Brown Kenneth W. Brown: K. W. Brown Investments D

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonardo Caldaron, Jr., Independent Administrator of the Estate of Ehria Calderon, Deceased v. Eppler Guenn & Tumer. Inc. and Hector Gonzalez Attorneys: For Claimant(s). F Gene Gruber Esq. - El Paso. TX For Respondenl(s): Steven T. Baron Esq. - Dallas. TX Date Filed: 07/02/92 First Scheduled: 01/05/93 Deckled: May 6, 1993 Case Summary: Customer v. Member Firm & R

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jeck Pearlstein & Thelma Pearlstein v. John Mnhael Donakison & Sheerson Lehman Brothers Attorneys: For ClBJmani(8): Lee Applebaum Esq. - Philadelphia. PA For Raapondenl(s): G. Wayne Hillis Esq. - Atlanta. GA Date Filed: 06/30/92 First Scheduled: osmama Decided: 07/02/93 Case Summary: customer v. Member Rrm & Registered Representetlve - Claimants allege misrepresentat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bnjca Wilder v Deen Wttler Reynokls and Kelly GkMtZ Attomeys: ForClaimentfe): Eari S. TWeiaauni Esq. - Framingham., Mf< For Raapondent(e): Kely QaalZ'2Smmetn)an - Tulsa, OK Richela Kennedy Esq. - Boston. MA Dote RIed: Casa oe/24«2 Summary: First Scheduled: 02/11/93 Decklad 6/1/93 Customer against memlMr fimi and registered rsprMentalive for aitega

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomson McKinnon Securities Inc. v James J. Konaxis Attorneys: For Claimant(s): Holly K Passantino, Esq. - White Plains, NY For Respondent(s): Morris M Goldings Jr. - Boston, MA Date Filed: 07/01/92 First Scheduled: 12/17/92 Case Summary: Member firm against registered representative for alleged balance due under i Product: OTHER Decided;L2/29/92 1 promis

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PaineWebber, Inc. v Robin Buerge Attorneys: For Claimant(s): John T. Schmidt Esq. - Tulsa, OK Fbr Respondent(s): Robin Buerge - Tulsa, OK Date Filed: 06/25/92 First Scheduled: 04/13/93 Decided: 04/28/93 Case Summary: claimant alleges that respondent entered into certain common stock transactuns and that respondent refused to tender monies owed as a result of the

y N^ew York Stock Exchange . . the Matter of Arbitration Between NYSE Case: Steven Melnick vs. Merrill Lynch Pierce Fenner & Smith, Inc. Attorneys: For Clainfiant(s): Llane R. White Esq. - New York, NY For Re8pondent(s): Barry J. Mendel Esq. - New York, NY Date Filed: 07/01/92 First Scheduled: 12/O8/92 Decided: 03/25/93 Case Summary: Customer vs. Member Firm alleging unsuitable investments in options, failure to follow instructions,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Brumer and Dorothy Brumer v Shearson Lehman Hutton and Sandy Rywell Attorneys: For Clalmant(s): Michael Brumer - Miami, FL For Respondent(s): Brian B. Joslyn Esq. - West Palm Beach. FL Date Filed: 06/23/92 First Scheduled: 05/05/93 Decided: 11/15/93 Case Summary: claimants allege respondents acted fraudulently in violation of Florida Statutes sections 517.301

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Aagot Andersen v Dean Witter Reynolds & John Murray Attorneys: For Claimant(s): Bart A. Chase Esq. - Westfield, NJ For Respondent(s): John V. McCambly Esq. - Wyckoff, NJ Date Filed: 06/01/92 First Scheduled: 12/02/92 Decided: 01/12/93 Case Summary: Claimant, a customer, has alleged that respondent was negligent in failing to advise her of the ramifications of placing