iX New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sidney D. Krasner v Shearson Lehman Brothers, Inc. Attorneys: For Clainianl(s): I. Michael Bayda Esq. - New York, NY For Respondents): Joel Finger Esq. - Hem York, NY Date Filed: 11/16/92 First Scheduled: 08/17/93 Decided: 11/28/94 Case Summary: claimant alleges empkiyment discrimination (vnlation of the Federal Age Discrimination in Empkiyment AcX) resulting

(y" New York Stock Exchange In the Matter of Arbitration Between Case: Richard Forman and Joan Fdrman v Prudenlial Securitias, Inc. and Gregory H. Rolh NYSE Attorneys: ForClalmanl(s): Steven Davis Esq. - Mianii. FL For Respondeni^: James R. George Esq. - Miami, FL David A. WeMraub &q. - Boca Ratoa FL Date Filed: 11/12/92 Rrst Scheduied: 07/20/93 Oecided: 06/2?/94 Case Summary: Cuslonier v Member Firm and Registered Representative

') New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ooromy E. Hewlt V PrudsnUal SacurUss, Inft Attorneys: ForOkkiianiM: Stuart 0. Goldberg Esa - Austin, TX For RNpOAWMWl Pater Byer Esq. - New York NV Date Filed: 1 I/IO/M First Scheduled: osaam D«5W«l: 3l2-lq*f Case Summary: CUmant, a cMKinMr, aHS0St re«)ondarts. a iMmbar fhn and lagiMsrsd ^ ^ and spaoulBtMlnifeaimarth, broach of Ikftieiary duty, mta

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George L Demetroulakas v. Tucksr Anthony Incorporated, Gary Adelkopf and DavM Meaks Attorneys: For Claiinant(s): James E. O'Connell Esq. - Boston, MA For Rospondont(8): Patrick J. Howley Esq. - Naw York, NY Date Filed: 11/05/92 First Scheduled: 04/22/93 Deckled: 1/27/94 Case Summary: Customer v. Member Fimn and Registerad Representativas - claimant alleges breach of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04565 Ruth Savitz Names nf the Respondents Hearing Site: Pittsburgh, PA Jack Chottiner Gruntal & Co., L.L.C. REPRESENTATION OF PARTIES Claimant, Ruth Savitz, hereinafter referred to as "Claimant", was represented by Cory. 0. Daschback, Esq., Feldstein, Grinberg, Stein & McKee, P.C., Pittsburgh, Pennsylvania. Respondent, Jack Chottiner

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Jordan v. Gruntal & Co., and Merrill Lynch, Pierce, Fenner & Smith Attorneys: For Claimant(s): Edmund V. McCann Esq. - Ridgefield Park, NJ For Respondent(s): Camilla M. Kenny Esq. - Newark, NJ Kimberly Unger Esq. - New York,, NY Date Fiied: 10/16/92 First Scheduled: 10/14/93 Decided: 03/07/94 Case Summary: claimant alleges that pint authorization from her At

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder, Peabody & Co. Incorporated v. Daniel D. Dolan, Jr. Attorneys: For Clainiant(s): Richard Kelly Esq. - New York, NY For Respondent(s): Michael T. Hannafan Esq. - Chicago, IL Date Filed: 10/30/92 First Scheduled: 09/O8/93 Decided: bbf Case Summary: Member firm against former registered representative for balance due on promissory note. Product: OTHER

< :,--• New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gust A. Palvanas, II and Debra L. Paivanas v Shearson Lehman Hutton and Thomas M. Prybylo Attorneys: For ClainfKUit(s): William G. Bauer Esq. - Rochester, NY Fbr Respondent(s): George O. Richardson, Esq. - New York, NY Date Filed: 08/26/92 First Scheduled: 06/24/93 Decided: 03/11/94 Case Summary: Claimants allege that the registered representative bega

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Joseph V. Curran and Betty B. Curran vs. Prudential Bache Securities, Inc., Dean Witter ReynoMs, Inc. Attorneys: — - For ClaJniant(s): C. Dean Little Esq. - Seattle, WA For Respondent(s): Curt H. Mueller Esq. - San Francisco, CA Christian N. Oldham Esq. - Seattle, WA Date Filed: 10/23/92 First Scheduled: 04/20/93 Decided: 02A)4/94 Case Summary: Customers v

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: David G. WiMauer v Prudential Bache Securities, Prudential Securities Inc. and Christopher Jacobi Attorneys: For Claimant(s): James R. Mall Esq. - Pittsburgh, PA For Respondents): Mnhael V. Arias Esq. - Boca Raton, FL Date Filed: 10/05/92 Case Summary: claimant alleges unsuitability First Scheduled: 08/30/93 Decided: 06/01/94 , negligence and breach of fMuc