New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roger D. Gaddis v Edward 0. Jones & Co. Attorneys: For Ciaimanl(s): Bruca W. Day Esq. - Oklahoma City, OK For naapondant(t): Gtoyd L. McCoy Esq. - Oklahoma City, OK Date Filed: 11/08/93 First Scheduied: 04/2s/94 Decided: C5/06/94 Case Summary: Claimant was emptoyed by Respondent firm and a separate lease agreement was entered into by the partias. Claimant was the

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arun Kumar Bhattacharya v Pacific Brokerage Services, Inc. Attorneys: For Clain»nt(s): Arun Kumar Bhattacharya - Chicago, IL For Respondent(s): James R. Kruger Esq - Los Angeles, CA Date Filed: 10/19/93 First Scheduled: ' l^^h'V Decided: V-//^ /v*/ Case Summary: Claimant customer alleges an error by Respondent firm regarding the purchase of 150 shares of stock. C

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Douglas Kass and DAK Securities Corp. v Lazard Freres & Company Attorneys: For CUnnnl^): Jared B. Stamell Esq. - New Yori(, NY Fi)r Raepondant(s): Barbara Robbins Esq. - Naw York, NY Date Filed: 10/19/93 First Scheduled: 05/03/94'— Decided: 06/10/94 Case Summary: Claimant was the owner of common slock and voting rights of a corporatnn proposing an acquisitnn. R

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oavkl E. Kaplan v Edward A. Viner & Co., Inc. Attorneys: For Clainvuil^): Davki E. Kaplan - New City, NY Fbr Respondent(t): Charles E. Padgett Esq. - New York, NY Date Fiied: 10/22/93 First Scheduied: 04A)s/g4 Decided: 07/11/94 Case Summary: Claimant alleges that Ftespondent firm failed to properiy cancel a good-till-cancellad order. Product: EQU Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Cannarella & Mary Cannarella v. Bear Stearns & Co. Inc. & David S. Lazowski Attorneys: For Claimant(s): Joseph R. Cannarella - Nashua, NH Fbr Respondent(s): Christopher P. Litterio Esq. - Boston, MA Barry Y. Weiner Esq. - Boston, MA Date Filed: 10/18/93 First Scheduled: 02/10/94 Decided: 2/10/94 Case Summary: customer v. Memt)er Firm & Non-member - claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aaron N. Wise, (Claimant) vs. Chase Investment Services Corp., (Respondent) Case Number: 01-04644 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Aaron N. Wise, hereinafter referred to as "Claimant": Richard K. Coplon, Esq., Hellring Lindeman Goldstein & Siegal LLP, Newark, NJ. Respondent, Chase Investment Services Corp., hereinafter referred to as "Respondent"

New York Stock Erccl.ange NYSE In the Matter of Arbitration Between Case: Wiltlam E, Bunnell & Virginia M. Bunnell v. Rauscher Pierce Refsnes Inc Attorneys: For Ctaifnani(s): WiHiam E. BunnaN - Los Lunas, NM Fbr Respondenl(s): -.^^ -Dallas. TX James Kitt Date Filed: io/i««3 Case Summary: Customer v. Member Firm. First Scheduled: 10/11/94 Decided: - daimants aliego unsuitable Invastment contrary to instructions, Product: E

New York Stock '^'xchange NYSE In the Matter of Arbitration Between Case: E. Barry Kline, Trustee of BuiMers Emporium UTD 6/27/72 v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Claimant(s): Daniel E. Chase Esq. - Trenton, NJ Fbr Respondent(s): Daniel A. Dolan Esq. - New York, NY Date Filed: 10/05/93 Case Summary: Claimant alleges Member First Scheduled: 04/i9/94 firm mishandled a sell order thereby resulting Product: EQU

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Philip L. Kurkoskl V Olde Discount Corp. and Cari Richards Attorneys: For Clainiiant(s): Philip Kurkoskl - Houston, TX For Respondent(s): Lisa S. Fildes Esq. - Detroit, Ml Date Filed: 10/O6/93 First Scheduled: 02/16/94 Decided: 02/16/94 Case Summary: claimant allegedly changed an open sell order to a market sell order. Respondent allegedly made an error in the execut

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fenner Financial v. Pershing Division of DLJ Attorneys: For Claimant(s): James H. Fenner - Burlington, CT For Respondent(s): David J. Campbell Esq. - Jersey City, NJ Date Filed: 10/11/93 First Scheduled: 03/31/94 Decided: 03/31/94 Case Summary: Non-member V. Member Firm - claimant alleges wrongful retention of money in a 'capital account' resulting in vnlatnn o