New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Seymour Ziegelman and Loretta Ziegebnan v. Prudential Securities Inc. Attorneys: For ClaiinEmt(s): Walter L Baumgardner Esq. - St. Clair Shores, Ml For Re8pondent(s): Richard P. Sastow Esq. - Debvit, Ml Date Filed: 02/16/93 First Scheduled: 03A)3/94 Decided: 10/26/94 Case Summary: Claimants allege that Respondent convinced them to purchase unsuitable investment

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patricia W. Allen v. Prudential Securities Inc. Attorneys: For ClaJrnant(s): Walter L. Baumgardner Esq. - St. Clair Shores, Ml For Respondent(8): Jack Mazarra Esq. - Detroit, Ml Date Filed: : 02/16/93 First Scheduled: 04/28/94 Case Summary: Claimant alleges unsuitability. fraud, breach of fkJuciary duty, negligence. Respondent's recommendation that Claimant purchase

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. v Michael Pilgrim Attorneys: For Claimant(s): Janna Ward Clarke Esq. - Fort Worth, TX For Re8pondenl(8): Mkshael Pilgrim - /\rlington, TX Date Filed: 02A)8/93 First Scheduled: 10/07/93 Decided: 10/07/93 Case Summary: claimant alleges that Respondent has not satisfied his obligation of payment on a promissory note contained in his employeme

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: W. Drake Patterson v Shearson Lehman Hution, Inc., Scott H. Son and Gabelll & Co., Inc. Attorneys: For Ctainnnl(s): Man/In Menaker Esq. - For ReBpondanl(t): Bradley W. Foster Esq. ;.TX Dallas, TX Date Filed: 02/17/93 First Scheduled: IQA)5«3 Decided: 08/26/94 Case Summary: customer requests recissnn of a transactnn involving the purchase of a mutual fun

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Bank, N.A. and Wells Fargo Van Kasper, Claimants v. David Scott Cacchione and Mark W. Lamb, Respondents Case Number: 01-04684 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: ' Michael J. Lawson, Esq. Jojiro Takano, Esq. . Steefel Levitt & Weiss San Francisco, California For Respondents: David W. Studley, Esq. Law Offices o

New York Stock Exchange: In the Matter of Arbitration Between NYSE Case: Phyllls, Mark and Joe Schuele vs. /\Ar- Edwards & Sons, Inc. Management and Alliance Capital Management Attorneys: For Clainianl(8): Uatk Schuele - Lutz, FL For noipondont(»): - New York, NY Phyllis A. Radovich Esq. - St. Louis, MO Date Filed: 02/16/93 First Scheduled: 06/14/93 Case Summary: Customers vs. Member frm alleging misrepresentattons about charges and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: H. E. Rozmiarek & Angeline A. Rozmiarak v. Dain Bosworth & Ron Icabone Attorneys: For Claimant(s): Loyd G. Pearcy Esq. - Denver, CO For Reepondant(s): Michael S. McCarthy Esq. - Denver, CO Date Filed: 02/01/93 Rrst Scheduled: 07/01/93 Case Summary: Customer v. Member Firm and Registered Representatlva - regarding stock purchases, and IRA transactions. Product: EQ

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph L. Koran, IRA vs. Advest Inc., Lee Millar and Jeff Pesnai Attomeys: For Claiinani(s): Joseph L Koran - Sun City West AZ For Raspond«nt(s): WilHam C. Freitag Esq. - Hartford, CT Date Filed: 02/01/93 First Scheduled: 08/05/93 Decided: 8/5/93 Case Summary: Customer vs. Member Firm, Registered Rep and Branch Office Manager, In a dispute oonoaming stock RJR Nab

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James G. Diedrich, Linda Diedrich, James Diedrich as Custodian for Vanessa Diedrich, James Diedrich as Custodian for Dana Diadrich and Diedrich Chemicais Restoration Technologies v Dean Witter Reynolds Inc. and John Demetropolis Attorneys: Fdr Claiimfit(s): Andrew J Guzlkowski Esq. - Milwaukee, Wl For Respond8ni(s): Curt H. Mueller Esq. - San Francisco, CA Date Filed: 01/22/

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kemper Securities, Inc. v Shearson Lehman Brothers. Inc., Edgar Floer, Harvey Iwata: Michael Lent, Stephen Lent, William Lent, Phillip Messuri, Jr., Richard Meyers; Steven Meyers, Addison Sherman, Andrew Weiss and James Wood Attorneys: For Claimant(s): Chris Barber Esq. - Chicago, IL For Respondent(s): Thomas M. Campbell Esq. - New York, NY Date Filed: 02/04/93 First Sch