New York Stock Exchange In the Matter of Arbitration Bietween NYSE Case: Joel D. Kazls V Smith Barney Harris Upham & Co., Inc. Attorneys: Fbr ClainKuit(s): David Nathan - New York, NY Fbr Re8pondent(s): Joan Guggenheimer Esq. - New York, NY Date Filed: 08/05/91 First Scheduled: O6/08/92 Decided: 04/22/93 Case Summary: claimant alleges respondent breached the emptoyment agreement. Pursuant to the terms of the agreement, claimant alleges h

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Harris Upham & Company, Incorporated vs. Everett W. Copelin Attorneys: Fbr Claimant(8): Thomas M. Campbell Esq. - New York, NY Fbr Respondent(s): E. Wayne Copelin Jr. - Houston, TX Date Filed: 11/14/90 First Scheduled: 03/10/92 Decided: 12/17/92 Case Summary: Member Firm against Registered Representative for collection of promissory note. Respondent file

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James B. Elkins and Rtohard T. McSherry v /Uiel/Noser Corp. v Bernard Herold & Co., Inc. Attorneys: Fbr Clainwmt(s): Milton R. Gleit Esq. - White Plains, NY For Respondent(s): Mark J. Astarita Esq. - New York, NY Date Filed: 08/12/91 First Scheduled: 04/30/92 Decided: 09/09/93 Case Summary: Former heads of trading and sales departments against Member Firm for alleged

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ashraf Lakhany vs. Gruntal & Company, Inc. and Christopher Guptill Attorneys: (=br Clain»nt(s): G. Martin Cole Esq. - Fort Wayne, IN For Respondentia): David R. Rappaport Esq. • New York,, NY Date Filed: O8/19/91 Case Summary: Indiana Code 23-2- First Scheduled: 06/09/92 Decided: ///V/9'3 ^ Customer vs. Member Firm and Registered Representative for

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Ronald C. Peterson Attorneys: For Claimant(s): Gilbert W. Boyce Esq. - Washington, DC For Respondent(s): Walter H. Fleischer Esq. - McLean, VA Date Filed: O8/01/91 First Scheduled: 11/12/92 Oecided: 12/30/92 Case Summary: Member Firm v. Registered Representative; Claimant alleges nonpayrr,'dnt of promissory note and breach of emp

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam Mark Czebatol v Prudential Securities, Inc. and WiHiam Tatro, IV Attorneys: For Clainiant(s): Arm M. Williams Esq. - Rochester, NY Henry W. Williams, Jr. Esq. - Pittsfonj, NY Fbr Respondent(8): Ftor Coton Esq. - Rochester, NY Date Filed: 07/31/91 First Scheduled: 06/04/92 Decided: O6/08/93 Case Summary: Customer v Member Firm and Registered Representative

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Eppler, Guerin & Tumer, Inc. v Gene Peter Valentino Attorneys: Fbr Claimant(s): Steven E. Fox Esq. - Dallas, TX Fbr Re«pondent(8): Gary S. Pitchlynn Esq. - Norman, OK Date Filed: 06/04/91 First Scheduied: 11/12/92 Decided: t^- i^< r-^3 Case Summary: Member Rrm V Former Employee for payment of the oustanding balance allegedly due on a promissory note issued>by Cl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank J. Fedziuk v Dilton, Read & Co., Inc. and Wilson, John Attorneys: For ClainMnl(s): Wllliam T. MarshaU Jr. Esq. - Denville, NJ Fbr Reapondeni(s): Daniel A. Pollack Esq. - New York, NY Date Filed: 07/D9/91 First Scheduied: 12/O6/91 Deckled: 07/21/93 Case Summary: claimant alleges that Member Finn and non-member vnlated the Naw York State labor law Sec 193, wrongf

[e 'ork Stock Exchange NYSE n the Matter of Arbitration Between ase: Eppler Guerin & Turner v Edward B. Lyon ttomeys: ir Clainiant(8): .eve Fox Esq. - Dallas, TX sr Respondent(s): dward B. Lyon - Katy, TX ate Filed: 06/04/9i ase Summary: Member Firm) espondent to Claimant. First Scheduled: 07/07/92 Decided: Product: PROMISSORY NOTE Market: 04/06/93 promissory note issued by :iaim Data Award Data )laim: $13,333.33

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Phillip Joon Soo Kim, Claimant v. Daehan Securities, Inc. and Wonhee Nick Choi, Respondents Case Number: 01-04656 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondents: Wonhee Nick Choi, Esq. Daehan Securities, Inc. Los Angeles, California CASE I