New York Stock Exchange In the Matter of Arbitration Between FEB 2 2 199: NYSE Case: Shearson Lehman Hutton, inc. v John Finlay Attorneys: For Claitnant(s): Rudy A. England - Houston. TX For Respondent(s): John Finlay - Houston, TX Date Filed: Case Sumi 06,'25'90 mary: Member Rrm First Scheduied: 09.'29/92 agains: Registered Representative, former employee. Product: PROMISSORY NOTE aileging Decided:

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Catherine Cumberpatch v Kidder, Peabody & Co. Attorneys: For Ciaimant(s): Anne C. Vladeck Esq. - New York. NY For Respondent(8): Thomas A. Dubbs - New York. NY Date Filed: 11/21/91 First Scheduled: 05/04/92 Decided: 06/24/93 Case Summary: Registered Representative against Member Firm for alleged sexual discriminatton. Product: Market: Claim Data Award

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph P. Carey Employee Retirement Trust DTD 5/1/82 by Joseph P. Carey, Trustee of IRA Account v PaineWebber Attorneys: For Claiirant(a): Joseph P. Carey Esq. - Fishkill, NY For Re8p0(xtonl(s): Romaine Gardener Esq. - Weehawken, NJ Date Filed: 11/29/91 First Scheduled: Decided: 04/I6/93 Case Summary: Customer against Member Firm for alleged failure to use due dilege

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities. Inc. vs. Equity Securities Trading Co. Attorneys: Fdr ClaimantCs): Thomas T. Bales Esq. - New York, NY Fdr Respondent(s): Ted S. Meikle Esq. - Minneapolis, MN Date Filed: 11/20/91 First Scheduled: 08/19/92 Decided: 1111."} 3 Case Summary: claimant, a member firm, alleges respondent breached five stock toan agreements involving General

y New York Stock Exchange A the Matter of Arbitration Between NYSE Case: Bertha Pittner and Dennis Pittner v. Shearson Lehman Brothers Inc. and Marvin Koenig Attorneys: For Claimant(s): Stephen R. Goldberg Esq - Brooklyn, NY l=or Respondent(s): Pete S. Michaels, Esq. - New York, NY Date Filed: 11/04/91 First Sclieduled: 03/25/92 Decided: ^1:^^^;^ Case Summary: CUSTOMER V MEMBER FIRM and REGISTERED REPRESENTATIVE FOR UNAUTHORIZED

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Roy Patton v Bear Steams & Co. and Charies Schmitz Attorneys: For Clainanl(i): John E. Dees, Jr. Esq. - Dallas, TX Robert E. Wood Esq. - Dallas, TX For rioipoodiintW: Cheryl Mikes Jerome Esq. - Dallas, TX Charies Schmitz - Dallas, TX Date Filed: 11/12/91 First Scheduled: 11/11/92 Decided: 12/02/92 Case Summary: customer alleges that member firm and firm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louise Gish (Claimant) v. Howard Zimmerman, Morgan Stanley Dean Witter, Inc. and Janney Montgomery Scott, LLC (Respondents) Case Number: 01-04665 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Louise Gish, hereinafter referred to as "Claimant": Thomas P. Wilicutts, Esq., Thomas P. Wilicutts &

New York Stock Exchange In the Matter of Arbitratioii Between NYSE Case: Sherry Gaines vs. PaineWebber, Inc. and Robert A. Cohen Attomeys: For Claimants): Davkl J. Sutton Esq. - Garden City, NY For Respondent(s): Jujepli A. Vdllu CuMjp - Weehawken, NJ Date Filed: 11/14/91 First Scheduled: 03/02/92 Decided: 10/12/93 Case Summary: ¥£Custom¥£er vs. Member Firm and Registered Rep alleging failure to fbllow instmctions, mismanagement of accou

New York Slock Exciiange 111 the Matter of Arbitration I5etween NYS Case: Wark In-.pcnale v Morrill Lynch & Co., Inc. /\tlorneys: For Claimant(s): Victor Muskin Esq. - New York, NY For Respondent(s): Stuart H. Eompey Esq. - "Jew Ycrk. NY Date Filed: 10/25. Case Summary: Cl.-iimant an interest 91 rjon- !n Trit( Mnmbcr ich, n d; /iS'cn First Sch. :.; f.'.Gfnb'vr rirjTi for li of Mc-rriii Lyni.li. Product

/ t^ New York Stock Exchange NYSE n the Matter of Arbitration Between Case: Thomas W Nerell and Jane Nerell v Prudential Bache Securities Inc. Attorneys: For Claimant(s): Steven L Stern Esq - Newport Beach, CA For RBspondent(s): Suzanne Charnas Esq. - New York, NY Date Filed: 10/23/91 First Scheduled: O8/17/92 Decided: 1 ifiUs Case Summary: CUSTOMER AGAINST MEMBER RRM FOR UNSUITABILITY, NEGLIGENCE AND BREACH OF FIDUCIARY DUTY IN