New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joan Katz v Prudential Bache Securities and Roberta Glassman Attorneys: For Clainiant(s): Brad Maistrow Esq. - New York, NY For Respondent(s): Howard Elisofon Esq. - New York, NY Date Filed: 07/O8/91 First Scheduled: 05/11/92 Decided: 7/29/93 Case Summary: Customer v Member Firm and Registered Representative alleging that the respondent engaged in unauthorized

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jaime Sosa Rios and Ana Milagros Calo v PaineWebber Attorneys: Fbr Clainiant(s): Harold D. Vicente - Santurce. PR For Respondent(s): Carkis Bobonis Gonzalez Esq. - Condado, PR Date Filed: 05/16/91 First Scheduled: 11/1/93 Decided:^^^^^ h /r^j Case Summary: Customer v Member Firm and alleges that respondent breached his fkiuciary duty by engaging in unsuit

u New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George and Alberta Watkins v Prudential Bache Securities, Inc., f/k/a Prudential Bache Securities, Inc., William Tatro IV and Ronakl Keller Attorneys: For ClaiinBnt(s): Ann M. Williams Esq. - Rochester, NY Henry W. Williams, Jr. Esq. - Pittsford, NY Fbr Respondent(s): Ror M. Colon Esq. - Rochester, NY Merle M. Troeger Esq. - Rochester, NY Date Filed: 05/21/91 F

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Kidder Peabody & Co. Inc. v Eric C. Brown Attorneys: For Claimant(s): Peter R. Pendergast Esq. - Boston, MA For Respondent(s): Eric C. Brown - Boston, MA Date Filed: 05/31/91 First Scheduled: 12/17/92 Decided: 12/30/92 Case Summary: Member Firm against Registered Representative to recover for the cost of respondent's training. Product: PROMISSORY NOTE M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: security Indemnity Insurance Company vs. Shearson Lehman Hutton, Inc. and Victor Roccki Attorneys: For Claimant(s): Thomas D. Giachetti Esq. - Lawrenceville. NJ For Respondent(s): Casey Baum Esq. - New York, NY Date Filed: 05/06/91 First Scheduled: 02/07/92 Decided: 03/05/93 Case Summary: Customer against member firm and registered representative alleging that respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas O'Connor vs. Prudential Bache Securities, Inc. Attorneys: For Clalmant(s): James J Moylan Esq. - Chicago, IL For Respondent(s): Ronald Kane Esq. - Chicago, IL Date Filed: 04/18/91 First Scheduled: 03/18/92 DeckJed • • C//o/^3 Case Summary: Registered representative against member firm for detrimental reliance on Internal fine of 5k, breach of contract

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PaineWebber Inc. v Dale Waine/Merrill Lynch Pierce Fenner & SmHh v Dale Waine and PaineWebber Inc. Attorneys: For Clain(iant(s); Joseph A. Generslli Esq. - Weefiawken, NJ Thomas P. Gomian Esq. - Boston, MA For Reapondent(s): Susan L Donegan Esq. - Boston, MA Sander A. Rikleen Esq. - Boston, MA Date Filed: 02/25/91 First Scheduled: 08/19/92 Deckled: 03/11/93 C

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: ADVEST. INC. v. TERRY STEPHENS V. ELVIN BARKS Attorneys: For Otaimm^): Mjchael Valenti Esq. - LouisvBle, KY For nMpondcnt(s): James P. McCrocMin Eaq. - Louisville, KY For 3Kl Party: Elvin W. Barfcg - North Corydon, IN Date Filed: 04A}2/91 First Scheduied: 07/21/92 Decided •t^h^ Case Summary: Claimant, a member firm, alleges Respondent, a custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * 01-04653 Richard and Maureen Wiencek Name of th< * P p< : p n n f 1 fa nt! g Hearing Sitp- Dallas, Texas. Donald & Co. Securities Inc.; BNY Clearing Services LLC, successor-in-interest of Schroder & Co. Inc.; Lewco Securities Corp.; The Concord Equity Group, LLC; and, Continental Stock Transfer & Trust Co. N ATTTRF OF THF DTSPT

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald and Lisa Nagel v Raymond Jamas & Associates, Gruntal & Co, Donna Behmoiran and Richard Deutsch Attorneys: For Claimanl(s): Dyanne E. Feinberg Esq. - Miami, FL Fbr Re6pondent(8): Richard Deutsch - R. Lauderdale, FL Maxine Karl Streeter Esq. - Ft. Lauderdale, FL Kim Unger Esq. - New York, NY Date Filed: 01/14/91 First Scheduled: 05/19/92 Decided: 4/7/93