New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Seymour Kitay & Joan Kitay v Prudentlal-Bache Securities and Stephen Green Attorneys: For Ctainnnt(s): Michael J. Mella Esq. - Fair Lawn, NJ Fbr Respondent(s): Michael Alford Esq. - Miami, FL Arthur C. Schupt>ach Esq. - Garden City, NY Date Filed: 03/16/92 First Scheduled: 01/13/93 Decided: 05/12/94 Case Summary: customer v Member Firm & Registered Rep. Claimant

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Rdelity Brokerage Services, Inc. and Nattonai Rnandal Sennces Corp v. John S. Artandi, MD Attorneys: For Clainiani(s): Mtehael G. Shannon Esq. - New Yoric, NY Fbr Reapondei< (s): DavM E. Robbins Esq. - New York. NY Date Filed: 03/23/92 First Scheduled: 10/14/93 Decided: 06/24/94 Case Summary: claimant alleges Respondent owes a debit batanoe after Claimant was fo

ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stuart W. Titus v Shearson Lehman Hutton and Dennis Armstrong Attorneys: For Claimant(s): Frank T. Laznovsky Esq. - /\nnapolls, MD For Respondent(s): Thomas C. O'Keefe Esq. - New York, NY Date Filed: 02/17/92 First Scheduled: 02/04/93 Decided: 7-3./_< ?/• Case Summary: claimant, a public customer, alleges misrepresentatnn resulting in unsuitable and unauthorize

^ 1 •v.. New York Stock Exciiange In the Matter of Arbitration Between Case: Rodney Tow, Tnalee in Bankruptcy fq^Joe E. An^^and Juditti P. NYSE Archer V Merrill Lynch, Pierce. Fenner & Smilh, Inc., Shearson Lehman Brothers, Inc. and John BamefieM Attorneys: For Clainnnl(8): ReU Mclnvale Esq. - Houston, TX For Respoiidenl(a): John Bamefiekt - San Antono, TX Andrew Harvin Esq. - Houston, TX Kathy D. Patrick Esq. - Houston, TX

A New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudentlal-Bache Securities v Eddie Perez Attorneys: For Claimant(s): Denis J. McCarthy Esq. - New York, NY For Respondent(s): Luis F. Abreu Elias Esq. - Hato Rey. PR Date Filed: 01/02/92 First Scheduled: 03/15.93 Decided: 03/15/94 Case Summary: claimant, a member firm, has allogod that respondent failed to repay money duo on a promissory note and a defifit com

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: JSC, inc., Daniel Ranagan, Raymond Mando, vs. Jesup Josephthal Securities Group, Inc., John J. Gebbia and Daniel Cunningham and Aircast, Inc., The Flanagan Trust, Jane Flanagan Trustee and Jane Ranagan, Indivklually v Jesup Josephthal Securities Group, Inc. consolktated with Dorothy Horgan, et al v Jesup Josephthal Sees. Group Inc. #1992-002626 Attorneys: For Claimant(s): Bernard Bressl

y ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lshman Brothers Inc. v. George Arterberry Attorneys: Rx aalnnaiit{B): BIzabeth J. Harris Esq. - Long Beach, CA Fbr Respondent's): George Arterberry - Los Angeles, CA Date Filed: 12/02/91 First Scheduled: O8/20/92 Case Summary: aaimant, a member firni, alleges respondent, a registered representative, Claimant seeks the balance of the note plus Interest a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jose A. Mercado v Dean Witter Reynolds, Puerto Rkx) a Ramon Dominguoz Attorneys: For ClaiiTWiKs): Juan A. Ramos Diaz Esq. •• San Juan. PR For He8ponder«(s): Nestor M, Mendez Gomoz Esq. - Hato Rey, PR Date Filed: io/3i/si First Scheduled: ii/oi/os Decided: os>'os/04 Case Summary: claimant, a customer, ha.(> allngod that respondents engaged in an unauthorized sale os Z

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vaijinath Chakote, (Claimant) v. Continental Broker Dealer Corp., C. Surendran and S. Varghese, (Respondents) Case Number: 01-04558 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Vaijinath Chakote, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Law Offices, New York, NY. Respondent, Continental Broker Dealer Corp., ("Continental"),

u New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joan C. Alford v Dean Witter ReynoUs, Inc and Don L. Harris Attorneys: For ClainiBnl(s). John C. Allen Esq - Houston. TX For Rsspondent(s): Rodney Acksr Esq. - Dallas. TX Date Filed: ii/04«i First Scheduled: 11/11/92 Decided: 03/02/94 Case Summary: Clainmnt alleges sexual harrassment, sex discrimination and intentional destructnn of business reputatk>n and defa