New York Stock Exchange In the Matter of Arbitration Between U/ NYSE Case: Shearson Lehman Brothers Inc v Amy Chow A/K/A Htwe Fun Wong Attorneys: For Clainnnt(s): -^ h^i- F'>s'rir^. New York, NY Fbr Respondent(8): Amy Chow - Montebello, CA ^ 0 AM^tT/t-Ult- »fCb First Scheduled: I )tfl< ^3 Date Filed: 10/09/91 Decided: H t3 Case Summary: Member firm against former customer for debit in account — $20,789.95 Sessi

New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case: Harvey L. Skinner and nadoline Skinner v. Roten fiosle, Inc. Attorneys; For Clainnt< 8}: Uiliian U. Uade Esq. - Houston, TX For RaflpondonKs}: Evan Charkes Esq. - Ueehauken, NJ Date Filed: 11/01/89 First Scheduied: 04/30/91 Deeidad: 06/17/93 Case Suflniary: Claimants allege they were solicited by reapondent and stated their inveatnent objectiveg to be preservation

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donakl M. Soloff, Alison F. Sotoff, Mtehael Dodge, Justin Dodge, Judith Rose, on behalf of Sari Rose & Seth Rose, Hugh D. Summers, Rushmore Development Corporation, Richard Verrochi, Christine M. Verrochl, Clayton Dunn, Peter Morrissatte & Davkl C. Schroeder v. Robert Thomas Securities Inc. & Raymond Jamas & Assodates Inc. Attorneys: For Claimant(s): David E. Landau Esq. - Philadelp

(y^ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities v Thomas Carlisle v Philip Graham Attorneys: For Claimants): Corbet Bryant, Jr. Esq. - Dallas, TX For Reapondent(s): Edward Barker Esq. - Corpus Christi, TX Donald M. Feferman Esq. - Corpus Christi, TX Date Filed: 09/23/91 First Sctieduled: 07/09/92 Decided: 09/10/93 Case Summary: claimant alleges wrongs that include a wrongful misappropriation

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward J. Vickers v The First Boston Corporation Attorneys: For Clainiant(s): Ludwig A. Saskor Esq. - New York. NY For Respondent(s): Richard Boris Esq. - New York, NY Date Filed: 09/26/91 First Scheduled: 02/19/92 Decided: 11/09/93 Case Summary: Claimant alleges Respondent discriminated against him, by terminating him, on the basis of his age. Respondent count

New York Stock Exciiange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc v. Andrew Costa Attorneys: For Ctaimuilfs): Dennis J. McCarthy, Esq. For Reapondenlfr): Andrew Costa - Deerfield, FL - New York, NY Date Filed: 08/28«i First Sctieduled: 09/i6«2 Case Summary: claimant alleges that broker terminated his emptoyment without satisfying t annum) payabis immediately Product: OTHER Decided: 7/6/93

New York Stock Exciiange In the Matter of Arbitration Between y NYSE Case: Jeny and Dorrna Zack Gelband vs. Pnidential Securiliaa, Ina and Morion Flshaiaon Attorneys: FbrClainnni< s): John J. Hannaway Esq. - New York, NY For Reapondanl(a): Brian F. Amery Esq. - Morristown, NJ Morton Fishelson - East Hampton, NY Date Filed: 10/01/91 Rrst Sctieduled: 03/02/92 Decided: 08«s«3 Case Summary: customers vs. Member Rnn and Registered Rep

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Muriel Greenfield Names of the Respondents Sn Investment, Inc. Steve Manning Renee Shenker Benjamin The Wallace Planning Group Case Number: 01-04664 Hearing Site: Boca Raton, FL REPRESENTATION OF PARTIES For Muriel Greenfield, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices Debra G. Speyer, Philadelphia, PA. For Respondent SII

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Melanle Barloh v Smith Barney & Co. and Oppenheimer & Co. Attorneys: For Claimant(s): Joseph J. Dehner Esq. - Cincinnati, OH Fbr Respondent(s): Joseph Pickard Esq. - New York, NY Terry R. Weiss Esq. - Atlanta, GA Date Filed: 09/24/91 First Sctieduled: 05/11/93 Decided: Ocvfeiaee I'a.^*^*^^ Case Summary: claimant, a public customer, alleges that respondents, membe

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Paul Hedges v Merrill, Lynch, Pierce, Fenner & Smith v Prudential Securities, Inc., and John M. Marmion, Jr. Attorneys: For Clain)ant(s): Thomas M. Campbell Esq. - New York, NY For Respondent(s): Christopher C. Coss Esq. - Paoli, PA Date Filed: 11/19/91 First Scheduled: 11/10/92 Decided: 02/18/93 -+• Case Summary: claimant seeks declaratory judgment that he