New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Inez Clark v. Shearson Lehman Brothers. Inc. Attorneys: For Clainnnt(s): Mary Inez Clark - New York. NY For Respondent(s): Unda R. Alpert Esq - New York, NY Date Filed: 07/27/93 First Sctieduled: 02/07/94 Decided: 02/07/94 Case Summary: claimant alleges losses due to imprudent advice of registered representative of respondent. Claimant alleges she was misinforme

New York Stock Exchange In the Matter of Arbitration Between Case: Advest Inc. v. Alex Reznik NYSE Attorneys: For Ctainfnnt(s): William Freitag Esq. - Hartford, CT For Respondent(s): Alex Reznik - Aventura, FL Date Filed: 08/30/93 First Sctieduled: 08/23/94 Decided: O8/23/94 Case Summary: Member Firm V. Non-Member - claimant alleges non-payment of balance of promissory note following terminatkin of employment. Product: PROMISSORY

New York Stock ^icchange In the Matter of Arbitration Between NYSE Case: Abraham M Chutorian v. Smith Barney Shearson Inc. and Phillip D. Enright Sr. Attorneys: For Claimant(s): Atea Martin Esq. - New York, NY For Respondent(s): Christine Tracey Esq. - New York, NY Date Fiied: os/i2/93 First Sctieduled: 04/11/94 Decided: 06/14/94 Case Summary: Claimant alleges that Respondents purchased unsuitable securities for his IRA account. Prod

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patrksla A. DeAnthony v. A. G. Edwards & Sons Inc. & Jeffrey R. Epstein Attorneys: For Clainumt(s): Patricia A. DeAnthony - Milford, NJ Fbr Respondant(s): Jeff Jamieson Esq - St. Louis, MO Date Filed: O8/20/93 First Scheduled: 01/31/94 Decided: 01/31/94 Case Summary: customer v. Member Firm & Registered Representative - claimant alleges that respondent Epstein rushed

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fred FeM v. Prudential Securities Attorneys: For Claiinant(s): Fred Feld - Glari(. NJ For Re8pondant(a): John N. Camperiengo Esq. - New Yorit, NY Date Fiied: 08/19/93 Case Summary: Customer v. that they couki not be called for First Scheduled: 02/16/94 Member Finn - claimant alleges that respondent misled him a year, but which were called after five months.

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: John I. Hook, III vs. John J. Maloney, Jr., Ronald Morgan, Philip M. Fahey, Newton Schott and David Hiley Attorneys: For ClainKuit(8): John I. Hook - New York, NY For Respondents): Jonathan D. Thier Esq. - New York, NY Date Filed: 08/16/93 First Sctieduled: 03/23/94 Decided: 05/19/94 Case Summary: Claimant alleges that Respondents fraudulently induced him into their

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judith L. Berenson v Shearson Lehman Brothers, Inc. and Michael Goldstein Attorneys: For aalmant(s): Robert A Graham Jr Esq. - Arcadia, GA For Respondent(s): Victor A. Machcinski Jr. Esq. - New York, NY Date Fiied: 08/19/93 First Scheduled: 05/10/94 Decided: (1(^1 Case Summary: Customer against member firm and registered representative for unsuitability, breach o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Chambers and Patricia Chambers, (Claimants) vs. Buckman, Buckman & Reid, Inc. and Richard Caldwell, (Respondents) Case Number: 01-04640 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, William Chambers ("W. Chambers") and Patricia Chambers ("P. Chambers"), hereinafter collectively referred to as "Claimants": Frank Viola, Esq., Viola, Benedetti & Azzo

r New York Stock Exchange in the Matter of Arbitration Between Case: Bear, Stearns & Co. Inc. v. Patricia Gonzales NYSE Attorneys: For Claimant(s): Nicholas P lavarone Esq - Chicago. IL For Re8pondent(s): Patricia Gonzales - Chicago. IL Date Filed: 08/03/93 First Sctieduled: 04/26/94 Decided: Mil Case Summary: Member firm agamst former registered representative for commission deficit Product: OTHER Market: Claim Oata

New York Stocit Excfiange Case: Randall J, Hough v Alex Brown i> Sons, Inc. v Frank Hudson NYSE fittorneys; For Ciaiaant(s>: ^irk n, McAlpin, Jr. Esq. - Atlanta, GA For ReapondBnt(s}: Daniel E. Mclntyre Esq. - Baltimore, HD For 3rd Party; •jjenn A, Delk Esq. - Atlanta. GA Oate riled: 08/26/93 First Scheduied: W/12/94 Decided: 0*^/12/94 Case Summary: Claimant alleges that Respondent broached its employment agreement with Claim