New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard A. Buch v Kidder, Peabody & Co. Incorporated Attorneys: For Claimam(s): Leonard B. Pack Esq. - New York, NY For Respondem(s): Robert A.W. Boraks Esq. - Washington, DC Date Fiied: os/i0/93 First Scheduled: 01/27/94 Decided: < S- lfc-*\»+ Case Summary: Clalmam, a registered representative, alleges Respondent, a member firm, failed to pay claimant bonus money and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Bruno v. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Claimam(s): George Bruno Esq. - Manchester, NH For Respondem(s): Bryan Killian Esq. - Boston. MA Date Filed: O8/13/93 Case Summary: Customer v. Member Firm • First Scheduled: 01/27/94 Decided: 03/10/94 - claimant alleges mismanagement of IRA account, negligence, unsuitable investment.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: DBL Uquklating Trust v United Kingdom Life Insurance Attorneys: For Claimants): Joseph DaProcida Esq. - Garden City, NY For Re8pondem(s): Manuel E. Romeu Esq. - Hato Rey, PR Date Filed: 07/01/93 First Scheduled: 11/01/94 Decided: 11/08/94 Case Summary: Claimant, a former member firm, has alleged that a bond was erroneously registered in respondents name and respondem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patricia F. Fagan v Josephthal, Lyon & Ross and Mitchell GoMberg & Bear Stearns & Co. Attorneys: For Claimam(s): Susan N. Perkins Esq. - New York, NY For Respondent(s): Robert Moses Esq. - New York, NY Alfred J. Parisi Esq. - Bayskle, NY Daniel S. Taub Esq. - New York, NY Date Filed: 06/28/93 First Scheduled: 03/07/94 Decided: 08/29/94 Case Summary: Clalmam a

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Albert T. Brod v Michael Brod Attorneys: For Claimam(s): Thomas J. McCabe Esq. - New York, NY For Respondem(s): Mitchell Berns Esq. - New York, NY Date Filed: 06/15/93 First Scheduled: 01/20/94 Decided: 01/20/94 Case Summary: claimant, an allied member, alleges respondem, an allied member, was hekl joimly and severally liable with claimam for paymem of an a

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dominick & Dominick, Inc. vs. Bruce A. Sammut Attorneys: For Claimant(s): Henry F. Minnerop Esq. - New York, NY Fbr Respondem(s): Curtis Carlson Esq. - Miami, FL Lloyd R. Schwed Esq. - West Palm Beach, FL Date Filed: 07/30/93 First Scheduled: O8/I6/93 Decided: 01/11/94 Case Summary: Claimam alleges that after Respondem sold Sammut Capital Managemem (SCM) to

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CMA Noel, Ltd. and Carol Martino v Prudemial Securities Incorporated Attorneys: For Clainiiant(8): Eric C. Christu Esq. - West Palm Beach, FL Robert Kraus Esq. - New York, NY For Respondent(s): Eric Rieder Esq. - New York, NY Date Fiied: 07/21/93 First Scheduled: 05/17/94 Decided: 05/26/94 Case Summary: customers v Member Firm for the alleged wrongful conduct of

L^ Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marilyn Cohen v Fahnestock & Co., Inc. and Donald L. Mercurk) Attorneys: For Claimant(s): Marilyn Cohen - Miami, FL Fbr Re8pondem(8): Charles E. Padgett Esq. - New York, NY Date Filed: 07/16/93 First Scheduled Case Summary: Customer alleges Respondents failed to place an instructions. Product: EQU : 02/17/94 Decided: 02/28/94 order to purchase

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04635 David Hammersley Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter n/k/a Morgan Stanley DW, Inc. Ryan M. Hogan REPRESENTATION OF PARTIES For David Hammersley hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For Morgan Stanley Dean Witter n/k/a Morgan Stanley DW, Inc. (" M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01306 Gisela Williams, Claimant vs. Prudential Securities, Inc., Tom Decker and John Decker, Respondents. ATTORNEYS: For Claimant, Gisela Williams, ("Claimant"), appeared Frank E. Bremer, of the firm Greenbaum & Ferentz LLP, New Port Beach, CA. Respondents, Prudential Securities, Inc., Tom Decker and John Henry Decker, (collectively "Respondent"), appeared through its Assistant Vic