New York Stock Exchange In tlie Matter of Arbitration Between y NYSE Case: Thomas Viuf and Deborah Viuf and C.E.I. Inc. v Prudential Bache Securities Inc.; Rotan Mosle Inc., a subsMiary of PaineWebber and Steven Fritz Attorneys: For Clainmni(s): E. J. Raymond Esq. - Tulsa, OK For Re8pondent(s): Graydon Oean Luthey, Jr. Esq. - Tulsa, OK P. DavkJ Newsome Esq. - Tulsa, OK Stephen J. Shine Esq. - New York, NY Date Filed: 09/23/91 Fir

(y- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Kroner v Shearson Lehnan Kjtton, Inc., LaHrsnce J. Hayes, John R. Glueclcert, David Prevo, Joy Janssens-Coffey, Martin Kobak and Gail Despain flttornoys: For ClaiBant< a): Dwight D. Brarmon Esq. - Dayton, OH For RaapondantCa): Kevin J. O'Brian Esq, - Dayton, OH John G, Uitherspoon Esq. - Dayton, OH Date Filed: 09/^30/91 First Scheduled: 12/07/92 De

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First Fedoral Bank Of Puerto Rieo vs. Bear Steams and Company Attorneys: For Clainianl(«}: Harold D. Vicente esq.. Sanniree, PR For Respondanl^s): Melvin A. Broaterman Eaq. - New York, NY Date Filed: oa/iz/si Rrst Scheduled: 03/i5«4 Decided: osffii/M Case Summary: Cklmant, a Customer has alleged that tha inveitrmnla 'K}*! ol mortgago-buckod aecurttiei were unsu

u New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v Thomas A. Pandolfo Attorneys: For Claimant(s): Mary Winstanley O'Connor Esq. - Boston, MA For Respondent(s): Thomas A. Pandolfo - Boston, MA Date Filed: 05/23/91 Case Summary: Member Rrm v. First Scheduled: Registered Representative - Product: 04/09/92 - claimant seeks balance of Decided: 2/16/94 promissory note

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Work Aids Corp. Employees' Pension Trust and Work Aids Corp. Employees' Retirement Trust -v- Smith Bamey Harris Upham & Co., Inc. and William J. L^ahey Attorneys: For Claimant(s): Robert H. Jaffe Esq. - Springfield, NJ For Respondent(8): Hugh McGovern Esq. - New York. NY Date Filed: 02/11/91 First Scheduled: O8/13/91 Decided: 12/09/93 Case Summary: Claimants seek

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudenttol Securtties Inc. v. Roy Paul Winkworth Attorneys: For Claimant(s): Christopher Freeze Esq. - New York, NY For F)espondent(s): Roy Paul Winkworth - Atlantic Ctty, NJ Date Filed: 07/21/94 First Scheduled: Oecided: Case Summary: Product: Market: Claim Data Claim: $15,346.13 Punitive: $0.00 Atty Fees: Uns Deposit: seoo.oo Award D

Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securtties, Inc. v. Juan A. Gonzalez Attorneys: Fi)r Clainianl(s): Mark J. Happe Esq. - Boca Raton, FL Fi>r Ftospondent(s): Juan Gonzalez - Tampa, FL Date Filed: 12/27/94 First Scheduled: 04A)7/95 Decided: 11/15/95 Case Summary: Member firm against former customer for debtt balance in account. Product: EQU Market: Ciaim Data Claim: $18,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard B. Goldstein vs. Lehman Brothers, Inc. Attorneys: For Claimant(s): Howard B. Goldstein - Cliffside Park, NJ For Respondent(s): Mark S. Mancher Esq. - New York, NY Date Filed: 12/30/94 First Scheduled: 04/11/95 Oecided: 05/15/95 Case Summary: Registered Rep vs. Member Firm (ex-emptoyer) alleging mishandling of Ctoimants state licenses and citont problems, fraud

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herbert C. Deesen v. Dean Witter Reynokls and Mariene Winn Attorneys: . For Claimanl(s): Herbert C. Deesen - Beaverton, OR For F< espondent(s): Janet T. Epstein Esq. - San Francisco, CA Date Filed: 12/22/94 First Sctieduled: Case Summary: Claimant, a publto customer, altoges respondents, a sato of Auridiam Consolidated of Australton. Claimant seeks a refund of Pro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Buscemi, (Claimant) vs. Trubee, Collins & Co., Inc., William Pictor, and Thomas O'Brien, (Respondents) Case Number: 01-04556 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Maria Buscemi, hereinafter referred to as "Claimant": Patrick G. Finegan, Jr., Esq., Attorney at Law, Washington, DC. Respondents, Trubee, Collins & Co., Inc. ('Trubee") and William