New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Connie Bergholz-Meeks v Merrill Lynch. Pierce. Fenner & Smith and David Kubat Attorneys: FOr ClaimarTt(s): Connie Bergholz-Meeks - Napa, CA For Respondent(s): Elizabeth G. Armstrong Esq. - New York, NY Date Fiied: 12/09/92 First Scheduled: 09/22/93 Decided : 09/23/93 Case Summary: claimant, a customer, has alleged that respondents engaged in unauthorized trading and

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herman V. and R. June Beury vs. Dean Witter Reynolds and Carl J. Peters Attorneys: For Claimant(s): Christopher D. Warren Esq. - Philadelphia, PA Fbr Respondent(8): C. Clark Hodgson Esq. - Philadelphia, PA Carol B. Schachner Esq. - New York, NY Date Fiied: 12/15/92 First Scheduled: 08/03/93 Case Summary: Customers against Member Firm and Registered Rep alleging unsuitabl

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Robert J. Levin v. Prudential Bache Securities Inc Attorneys: For Clainiant(8): Donakl J. Desisto Esq. - San Diego, CA For Respondent(s): Elizabeth P Beazley Esq. - Long Beach, CA Date Filed: 01/03/92 Case Summary: customer against BAche Energy Income Fund. First Scheduied: 11/09/92 Decided: 02/24/93 memeber firm and registerad representative for un

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thor A. Stensrud v Sear, Steams iM Co. Inc.i and The Bear Steams Coapanles, Inc. Attorneys: For ClBiaaRt< a>: Hichaei llaroko Esq. - Los Angeles, CA For RaspondsiitCa}: Saauel A. Keesal, Jr. Esq. - Long Beach, CA Date Filed: 01/03/SI2 First Scheduled: 11/30/92 Oeoided: 07/23/99 Case Suaaary: Clalaant, a registered representative, against a neaber fira aUeg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04670 Kathleen D. Whisler Name of the Respondent Hearing Site: Chicago, Illinois Paine Webber, Inc. REPRESENTATION OF PARTIES Claimant Kathleen D. Whisler ("Whisler") was represented by Gordon D. Gee, Esq. of the firm Seigfreid, Bingham, Selzer, Levy & Gee located in Kansas City, Missouri. Respondent PaineWebber, Inc., ("PaineWebber") was

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Westminster Capital, Inc., Claimant v. Dirks & Company, Inc. and Barry W. Blank, Respondents Case Number: 00-01313 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Dirks & Company, Inc. For Respondent Barry W. Blank: CASE INFORMATION Frederic N. Richman, Esq. Richman, Mann, Chizever, Phillips & Duboff Beverly

B' "^ork Stock Exchange L tne Matter of Arbitration Between NYSE ise: Morris Feklman and Marion FekJman v Merrill Lynch Pierce Fenner and Smith< Inc. and Bryan Fylak torneys: •Clakmnl(s): rris Fekiman Esq. - Roslyn, NY ' nospondent(s): M Zuckerbrod Esq. - New Yori(, NY its Filed: 11/26/91 Rrst Scheduled: 05/27/92 Decided: 05/13/93 ise Summary: claimant alleges that Respondents fraudulently misrepresented the nature of the bonds they sokl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. V Anthony Ferrone Attorneys: For Clainfiant(s): Gary Klein Esq - New York, NY For Respondent(8): Alfk) S. Lanuto Esq. - New York, NY Date Filed: 12/02/91 First Scheduled: 07/19/92 Decided: 05/21/93 Case Summary: MEMBER FIRM AGAINST REGISTERED REPRESENTATIVE FOR ALLEGED FAILURE TO HONOR PROMISSORY NOTE OBLIGATION. RESPONDENT COUNTERCLAIM

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul Sarkozy v. John Rinaldo, J Alexander Securities Inc., James Alexander, and DOEs 1 - 25, inclusive Attorneys: For Claimant(s): George Baltaxe Esq. - Encino, CA Fbr Respondent's): Howard P Brody Esq - LJOS Angeles, CA Date Filed: 10/31/91 First Scheduled: 08/19/92 Decided: j . ^ 1^ Case Summary: CUSTOMER V NON MEMBER FIRM FOR ALLEGED FRAUD, CONVERSION, AND BREACH OF F

/ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Stephen Fine emd Renea Fina v Gruntii & Co., Inc. and Joal Saidel Attorneys: FflrCWiMMM: Phyllis Hom Eptfein Esq. - PhladelphiB. PA For Ra^nndsmW: Aaron Beyw Esq. - PhladBlphia, PA Arthur JaoiwMi Eaq. - Phladelphia. PA Date Filed: 12/10/91 Rret Scheduied:08«Q«2 Oecided: 7/12/93 Case Summary: CuEtoimr againat Member Rrm and fleglMarad RapraMMatiwv for aleged unsuiiaMtty