y New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Stephen Einhorn vs. Okie Discount Attorneys: For Claimant(s): /Vnthony J. Hom Esq. - Philadelphia, PA Fbr Respondeni(s): Karen L. Brink Esq. - Detroit, Ml Date Filed: 10/11/93 First Scheduled: 06/09/94 Decided: 12A)9/94 Case Summary: customer vs. Member Firm in a dispute concerning a margin call alleging fraudulent misrepresentatnns and omissions, breach

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Mysel vs. Gruntal & Company, Inc. and Stanley Kleinberg Attorneys: For Claimant(s): Marc S. Krieg Esq. - Dix Hills, NY For Respondent(s): Davki R. Rappaport Esq. - New York. NY Date Filed: 10/04/93 First Sctieduled: 03/07/94 Decided: 03/17/94 Case Summary: Customer vs. Member Firm and Registered Rep alleging breach of duty and negligence. Claimant seeks r

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Johnson and Sharon Johnson v Merrill Lynch and Arthur D. Rooney Attorneys: For Claimant(s): Dan A. Druz Esq. - Pt. Pleasant,, NJ For Fiespondent(s): Charles L. Henderson Esq. - New York, NY /\rthur D. Rooney - New York, NY Date Filed: 09/17/93 First Sctieduled: 03/29/94 Decided: 06/02/94 Case Summary: Claimants, customers, have alleged that respondents we

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Mnhael D. Kiley v. Smith Barney Harris Upham & Co. Inc. Attorneys: For Claimants): Nicholas P lavarone Esq - Chnago, IL For Respondent(s): John E Jenkins Esq - New York, NY Date Filed: 09/21/93 First Sctieduled: 05/26/94 Decided = (^^o£;Jii'^c>,m¥ Case Summary: Claimant alleges Respondent firm made false representatnn in order to entice claimant to work for

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene A. Naparst -v- Shearson Lehman Brothers Inc., Andrew P. Shea, /Arthur J. Kieval, David Standridge and Smith Barney Harris Upham & Cole Incorporated d/b/a as Smith Barney Shearson, formeriy d/b/a Shearson Lehman Brothers Inc. Attorneys: For Ctaimant(s): Jack H. Emmott, III Esq. - Houston, TX For Respondent(s): Jack D. Ballard Esq. - Houston, TX Date Filed: 09/03/

Ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David S. Grayson vs. Muriel Siebert & Co., Muriel F. Siebert Attorneys: For Clalniam(s): Mark J. Sugarman Esq. - New York, NY For Respondent(s): John Carlson Esq. - New York, NY Date Filed: 09/24/93 First Scheduled: 02/15/94 Decided: to/14/94 Case Summary: Registered Rep (ex-employee) vs. Member Firm, Member and Registered Rep alleging breach of agreement to p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bryant V. Bumanlag, Claimant v. Morgan Stanley DW, Inc. and Ephraim Philip Santiago Tucker, Respondents Case Number: 01-04641 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Vincent DiCarlo, Esq. Sacramento, California For Respondents: Walter F. Brown, Jr., Esq. Susan D. Resley, Esq. Gray Cary Ware & Freidenrich TIP San Francisco, Cali

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Betty Alcalay v Eric Felbert and Smith Barney Shearson Attorneys: For Claimant(s): Betty Alcalay - Larchmont, NY For Respondent(s): /\nn Parry Esq. - New York, NY Date Filed: 09/07/93 First Sctieduled: 02/O8/94 Decided: 02/06/94 Case Summary: Claimant, a customer, has alleged that respondents failed to pay her interest on a purchase of Nuveen Bonds, for a 3-1/2

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert L. Harr and Jonathan P. Harr v David Leyshon and Branch Cabell & Company Attorneys: For Claimant(s): Thomas Wolf Esq. - Richmond, VA For Respondent(s): James A. Murphy Esq. - Richmond, VA Date Filed: 09/15/93 First Sctieduled: 05/25/94 Case Summary: Claimants allege that Respondents misrepresented the level of risk involved in Claimants further allege unsu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alex Brown & Sons, Inc. vs. Jonathan T. Ginn Attorneys: For ClainvBnt(8): Daniel E. Mclntyre Esq. - Baltimore, MD For Re8pondant(s): Kevin C. McCormick Esq. - Baltimore, MD Date Filed: 09/17/93 First Sctieduled: O8/10/94 Decided: 08/11/94 Case Summary: Member Firm vs. Registered Rep (ex-empk>yee) seeking to recover advances made to Respondent and reimbursement of k>s