New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Herman J. Silverstein, Pauline Silverstein, Robert Silverstein, Lawrence L. Levin, RHa E. Levin, Michael Silverstein, Mindy Levy, Carlos Medrano, Marilyn Medrano & Silverstein Investmem Club v Pacific Brokerage Services, Inc. Attorneys: For CtainianKs): /^hur J. Ranson III Esq. - Orlando, FL For RespondenKs): Stephen BedeU Esq. - Chicago, IL Date Filed: 10/24/90 Fi

y \ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheldon & Susan Cyttyn v A.T. Brod & Co., WaH Stt'eet Clearing Co. Attorneys: For ClainianKs): Simon S. Kogan Esq. - New York, NY Fbr RespondenKs): Ralph Barman iaf\. - New York, NY Albert T. Brod - New York, NY Date Filed: 10/15/90 First Scheduled: 10/04/91 Decided: 07/21/93 Case Summary: Customer v Member Rrms for the alleged failure to execute an order t

y New York Stock Exchange In the Matter of Arbitration Between *NYSE Case: Smith Barney, Harris Upham & Co., Inc. -v- John R. Lewis Attorneys: For Ctaimant(s): Scott E. Kresch Esq. - New York, NY For Respondents): John R. Lewis - Bay Head, NJ Date Filed: 08/01/89 Case Summary: Ctaimam seeks terminatkin. recovery on First Scheduled: the balance due on a 04/16/91 Decided: 01/26/93 promissory note executed in connect

Stipulated Award (J flD V NASD Dispute Resolution V UI I In the Matter of the Arbitration Between: Charles J. Persico, Claimant v. Sands Brothers & Co., Ltd. and Michael J. Tuscano, Respondents Case Number: 01-04617 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Vincent D. Slavens, Esq. Krause & Kalfayan San Diego, California For Respondents: Richard A. Roth, Esq. Littman, Krooks & Roth P.C. New York, New York

'iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smkh Barney, Harris Upham & Co., Inc. -v- Edward A. Robinson Attorneys: For ClaNiianl(s): David S. Friedman Esq. - New York, NY Fbr RespondenKs): Joan Markey Esq. - New York, NY Date Filed: 07/19/89 First Scheduled: 05/07/90 Decided: O6/16/93 Case Summary: Clalmam, a member firm, has alleged that respondem has failed to pay ttie amoum due on promissory note. Respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Maureen Keane v. Prudemial Securittes Inc. and Gregory Erick Beckman Attorneys: For Ctaimant(s): Lawrence J. Bochat Esq. - Garden City, NY Fbr Respondent(s): Christopher Freeze - New York, NY Morgan W. Bendey Esq. - Newark, NJ Date Filed: 11/27/1995 First Sctieduled: 05/06/1996 Oecided: 10/08/1996 Case Summary: claimant alleges the individual respondem induced he

N«w York Stock £xchange NYSE In tha Matter of Arbitratton Between _________________._^_„__ Casa: John 0. Langdon v. Marra Lyneh Plaroe Mnnar SmMi Attorneys: ForOaimaM^}: John OtoUrtaon Lanodon - cnartoauvlto. VA f^ DMpBndanlti). Pad Rbgerakl BM). - Now Vorlt. NV Data Hiad: osffiMS Fim Scheduiad: Decided: uwn Case Summary: Ctaitram, a piMo oaiMnor. altagat nKpondart. a marntaar fkm. angagad In urwul)^ liwnioileMWKhritiiaeitaahweaofCaalnoAfflartaa

\y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Edith Jacobs v Smith Barney Shearson and Henry Senger, Jr. Attorneys: For Ciaiiiiant(s): Edith Jacotis - Sarasota, FL Fbr Respondem(s): Ann Parry Esq. - New York, NY Date Filed: 07/31/95 First Scheduled: Decided: 11/21/95 Case Summary: Clalmam, a customer, has alleged that respondem misrepresented ttie terms and ttie risks of a municipal NJ Fund. Product: BONDS

y y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Co. Incorporated v Alexander V. Sabo Attorneys: For Clajnunl(s): Donakl W. Cohen Esq. - New York, NY For Respondem(s): Ernest R. Walker Esq. - Johnstown, PA Date Filed: 08/01/1995 First Scheduled: 10/28/1996 Decided: 06/19/1997 Case Summary: Claimam alleges that H erroneously credited Respondem's accoum $100,000, ttiat Respondem transferred his a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Val Manov vs. PaineWebber. Inc. Attorneys: For Ctaimantfs): Val Manov - Florham Park. NJ For Respondem(s): Cara Aber Esq. - Weehawken, NJ Date Filed: 06/30/95 Case Summary: Customer vs. Member firm First Scheduied: 09/20/95 altaging failure to pay dividends on Product: MUT FUND Oecided: 10/10/95 Ctaimant's investmem in Thai Capital Fund. Marke