New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Kalink:h v Sharon Kalin Attorneys: For Clainiant(s): Pony Eustis Esq. - New York. NY Fbr Respondent(s): Barbara J. Glenns Esq. - New York, NY Date Filed: 02/12/92 First Scheduled: 11/05/92 Decided: 11/24/93 Case Summary: Customer alleges Respondent churned his account and made unsuitable investments. Claimant also alleges vioiatnns of Rule 10b-5, Sec 10(b)

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merra Lynch. Pieree Fenner A SmUi, ln& v Iteinath W. Fnxt Attorneys: FarClaknai«(t): Earl W. Sealy Esq. -Austin, TX For RMpondanltQ: Kaih D. MapiBS Esq. - Aus&n, TX Donald Templin Esq. - Dallas, TX Date RIed: 02/os«2 First Scheduled: ii/ioae Decidad: QS/msa Casa Summary: Mambor Firm against Regitiered HepresentMiMBalleginBthat Rsapondent fiaudulBnliy Muced the da

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Genesee Partners vs. Furman Selz incorporated Attorneys: For Claimant(s): James E. Rogers Esq. - Seattle. WA For Respondent(s): Thalia M. Cody Esq. - New York, NY Date Filed: 02/07/92 First Scheduled: O8/05/92 Oecided: 04/21/93 Case Summary: investment Company/Customer vs. Member Firm alleging breach of fiduciary duty resulting from Respondent's unreasonable delay

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Kidder, Peabody & Co. Incorporated v Sarah Kusterman Attorneys: For Clalmant(s): Thomas A. Dubbs Esq. - New York, NY For Respondent(s): Sarah Kusterman - Brooklyn, NY Date Filed: 11/20/91 Case Summary: Member Firm First Sctieduied: 07/31/92 against Customer for alleged debit balance incurred in Product: EQU margin Decided accounts. Market: 1

New York Stock Exchange In the Matter of Arbitration Between / NYSE Cata: Sunn B. KozknuiM (TmiMi) v Ranald S. ttvgg and ahoonon Lehman Hunen Attorneys: For daimanlM: sndgR M. Few Esq. - Bunau, NY For na^Mndart(s): Jeffrey A. Sallm Esq. - Buftale. NY Date Filed: 12/10/91 First Scneduied: \W4M 08cidad:o3ni/93 Case Summary: Cusmnw agani Member Firm and n«giaiirad FtapnmniaiNw fer allegsd churring, iitoetiiweiMdon. and breach of Mudvy b

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Stephen Spiike and Cynthia Spiike V Prudential Securities, Inc. and Ira Bassin Attorneys: For Claimant(s): Richard Weint>erger Esq. - New York, NY Fbr Respondent(8): Andrew W. Sidman Esq. - New York, NY ~5j^l Date Filed: 01/28/92 First Scheduled: 02/03/93 Decided: 93 Case Summary: Claimants, public customers, allege respondents, a member firm and registered re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JAMES E. HOY V TUCKER ANTHONY INCORPORATED AND THOMAS A. PASQUALE Attorneys: For Clainiant(s): Paul A. Manoff Esq. - Boston, MA For Reapondent(B): Thomas A. Hickey, III Esq. - Boston, MA Paul Lieberman, Esq. - New York, NY Date Filed: 02/04/92 First Scheduled: 02/11/93 Decided: 03/19/93 Case Summary: Registered representative (former employee) against member fimi

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers. Inc. V Robert W. Frost Attorneys: For Claiinant(s): Jack Ballard Esq. - Houston, TX For Respondent(s): Joe James Sawyer Esq. - Austin, TX Date Filed: 02/04/92 First Scheduled: 01/19/93 Decided: 01/19/93 Case Summary: Claimant, a member firm, alleges respondent, Robert W. Frost, owes damages as a result of his voluntary termination of

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Award NASD Dispute Resolution In the Matter of the Arbitration Between: George B. Rogers, Claimant v. Jefferies & Company, Inc. and Jefferies Group, Inc., Respondents Case Number: 01-04722 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Harold E. Rogers, Jr., Esq. In Properia Persona San Mateo, California For Respondents: Jill A. Fukunaga, Esq. Littler Mendelson Walnut Creek, California CASE INFORMATIO