^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CaroKne Eagan Gaynor vs. Prudemial Securitiea, Inc. and Michael J. FrucMman Attorneys: For CWimnl(i): Gordon T. King Esq. - White Plains, NY For Ratpondanl^i): Marshall H. Fishman Esq. - Naw York, NY Date Filed: 07/20/93 First Scheduled: 01/24/94 Decided: 04/21/94 Case Summary: customer vs. Member Firm and Registered Rep alleging unauthroized transactions, vwla

ly^ New York Stock Exchange ' NYSE In the Matter of Arbitration Between Case: Matthei* T. Broljeand Alison E. GJbts v. Okie Discotmt Corporalion, Timothy O'Brian, Darek Johnson and Ken Bator Attorneys: ForCURMnlbQ: MaMvew T. Bralie-Clikaiga, IL For nc^ponUmiHa): Kan Bttir-Oatroit, M Darok Johnaon - CMmit, Ml TimoChy < yBrlan - Dotroit, Ml ku N. ato Esq - Detroit Ml Date FBed: o7;2i/&3 First Scheduled: wm^A Decided: - > ) •

^ iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward J. Glaring & Judith M. Giering v. Smith Barney Harris Upham & Co. Inc. Attorneys: For Claimam(s): Albert J. Oneto, III Esq. - Hamden, CT For Respondem(8): Judith C. Greene Esq. - New York, NY Date Filed: 07/19/93 First Sctieduled: 01/18/94 Decided: 05/26/94 Case Summary: Customer v. Member Firm - claimant alleges breach of fiduciary duty, breach of feder

New York Stock Exchange In the Matter of Arbitration ISetwcen NYSE Case: Louis Cistoldi v Charles Schwab & Company Inc. Attorneys: For Claimam(s): Philip B. Kraft Esq - Chelsea. MA For Respondem(s) Mark Batten, Esq. Boston, I-L^ Date Filed: 07/15,93 First Scheduled : 11/02.'93 Decided: 5/1 Case Summary: Customer v Member Firm - claimart alleges breach of fiduciary duty and f ai lure to "frora pursuing investraent strategy tha

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edwani D. Jones & Co. v. PaineWebber Incorporated Attorneys: For Claimant(8): Louis R. Branz Esq. - Maryland Heights, MO For Raepondent(s): James K. Archit>ald Esq - Towson. MD Date Fiied: 06/30/93 First Scheduled: 01/13/94 Deckled: H\HM Case Summary: Member fimi against member fimi for misrepresentatton in connection with bonds. Product: BONDS Market: Claim Data

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carol Gordon vs. Thomson McKinnon Securities, Inc., Prudemial Securities, Inc. and Mary T. Mullins Attorneys: Fbr Clainnm(s): Barbara Kbrnreich Esq. - Chappaqua, NY Fbr Re8pondent(s): - New York, NY Mark L. Seffinger Esq. - New York, NY Date Filed: 07/22/93 First Scheduled: 07/13/94 Decided: 07/13/94 Case Summary: customer vs. Member Firms and Registered Re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James F. Dietz vs. Charles Schwab & Company Attorneys: For Clalnnnt(s): James F. Dietz - New Buffato, PA Fbr Respondent(s): Mary B. Templeton Esq. - San Francisco, CA Date Filed: 02/00/93 First Scheduied: 11/19/93 Decided: 01/20/94 Case Summary: Customer vs. Member Firm alleging that based upon Claimam's credit rating, Respondem refused to establish a Schwab One

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Grumal & Company vs. Gary K. Lutz Attorneys: For Clainwuit(8): Mark Kaufman Esq. - New York, NY Fbr Respondent(s): George Lutz - Feasterville, PA Date Filed: 06/30/93 First Scheduled: 03/22/94 Decided: 03/22/94 Case Summary: Member Firm vs. Customer alleging Respondem has a debit accoum balance with Claimam firm resulting from unsuccessful options trades and a ix

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Antonio Orlando Greco vs. Oppenheimer & Co., Inc. and Ara Momjian Attorneys: For Claimant(8): Paul S. Aufricmig Esq. - New York, NY For Respondent(s): Marc D. Powers Esq. - New York, NY Eugene L. Small Esq. - New York, NY Date Filed: 06/10/93 First Scheduled: 02/01/94 Decided: 08/08/94 Case Summary: customer vs. Member Firm and Registered Rep alleging negligence,

New York Stock Exchange In tbe Matter of Arbitration Between NYSE Caaa: nwMn K arasHy V. Hobwi W. BriRi • CD. a eragory Ooitomt AttcMiMyB: L-Grand napWt,M aoyd A HindHMnGiQ- •Qnnd Haphhi Ml DalBFHadiosawn CaM Summanr: Cwsamar V. MM Md dan laM to aaaoali • til orta Fbst Sdieduled: iioiiw Nher nm ft ntVMrad Rapmanorin . ayanant y Product: eou Deddad: 0M(M4 Mwtot: Claim: $t»,aoojOO Puntilv9:iOM Atty Fan: Um Deposit