New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Bear. Steams & Co. Inc. v. Aimco Guaranty Corp. Attorneys: . For Claintant(s): Davkl M. Morris Esq. - New York, NY Fbr Respondent(s): Rtohard Werner - Denver, CO Date Filed: 06/24«4 First Scheduled: 1/11/95 Decided: 6/14/95 Case Summary: claimant, a member tirm, asserts ttiat it had customer and repurchase agreements witti respondent, an instituttonal eutamar. Claimant altog

y New Yoric Stocic Exchange In the Matter of Arbitration Between NYSE Case: Mae Kraft Individual Retirement /Vccount; Frank Kraft Trust v. Gruntal & Co. and Atoxandra Kunkle Attorneys: For Claimants): James E. Beckely, Esq. - Wheaton, IL Fbr Raspondent(s): J. Willtom Holland Esq. - Chicago, IL Erto Hunter Esq. - New York, NY Date Filed: 06/13/94 First Scheduled: 04/28/95 Decided: \^[l^ i< iS Case Summary: claimants allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Garvez vs A.G. Edwards & Sons, Inc Attorneys: For Ctoimant(s): Robert P. Kassel Esq - Nyack, NY For Respondent(s): William S. Port Esq. - St. Louis, MO Date Filed: 06/22/94 First Scheduied: 10/10/94 Decided: 01/05/95 Case Summary: Customer vs. Member Firm alleging negligence by purchasing 5000 shares of Qualcomm stock, rather than 500 shares as Instructed b

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scolt. Inc. vs. Donato J. Berg vs. Janney Montgomery Scott. Inc., Frank T. Salera and Dougtos Bevars Attorneys: For Ctainwnt(s): Elizabetti Hoop Fay Esq. - Phitodelphto, PA For Respondent(s): Melvin E. Caine, Esq. - tfedia, PA Date Filed: 06/27/94 First Scheduled: 06/07/95 Decided: 11/17795 Case Summary: Member Rrm V. Registered Rep (ex-emptoyee) al

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Franklin G. Reick and Florence R. Reick v OMe Discount Corporation Attorneys:.- For Ctoimanl(s): Thomas E. Napoliteno Esq. - Ramsey, NJ Fbr Respondent(s): David T. Doyto Esq. - Detroit, Ml Date Filed: 06/O8/94 Case Summary: Ctoimant, a customer. First Scheduled: 01/26/95 Decided: 02/24/95 has alleged that respondent failed to execute a sell order of United States

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Glidden vs. Lehman Brothers, Inc., Smith Barney Shearson, Inc., Smith Barney, Inc. and Shearson Lehman Brothers, Inc. Attorneys: For Ctoimant(s): Ralph A. Siciliano Esq. - New York, NY For Respondent(s): Theodore A. Krebsbach Esq. - White Plains, NY Date Filed: 06/20/94 First Scheduled: 10/25/94 Decided: 06/29/95 Case Summary: Registered Rep vs. Member

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wagner Stott Clearing Corp. v J.A Cetenteno Securittos Corp. and Joseph A Cetontano v Merrill Lynch, Ptorce. Fenner & Smidi Attorneys: For Claimanl(s): Ira Qtouber Esq. - New Yorit, NY Fbr Respondent(s): Alfred J. Parisi Esq. - Bayskle. NY John A. Tarteglto Esq. - White Ptoins, NY Fbr Srd Party: IraGtouberEsq -NewYork, NY Date Filed: 06/i7,'94 First Scheduled: 10

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: June Braakensiek and Robert Braakenstok v. Smith Barney Shearson Inc. Attorneys: For Clainwnt(s): June and Robert Braakensiek - Hollls Parit Gardens, NY Fbr Flespondent(s): Madelyn A. Levy Esq. - New York. NY Date Filed: 06/13/94 First Scheduled: 10/04/94 Deckied: /. i'i-fS Case Summary: ctoimants, pubUc customers, altoge respondent, a member firm, made misrepr

•y?: »>-.»^. ^ New York Stock-Exchange In the Matter of Arbitration Between NYSE Case: Fradaiiek Landin V Ctwriaa Sehanb a Co. Attomeys: FDirClainianl(4: Fraderick Landn - Dales, TX For ri0ipondBnl|^z Stephen E. Ftox Esq. - Oaln. TX Date Hied: oenana Rrst Scheduied: ot/ions Decided: 02n6«5 Case Summary: Oahnant, a ragi«ared reprosenttdlwB. was arraaiad on a aiageainai iwiponooni acno irauauanay ana nag^enay n asBunng nnn mat •

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04528 Joseph Stevens & Company, Inc., claimant vs. P. Ronald Bingham, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President of Street Wide Asset Recovery Group, Inc., New York, NY Respondent appeared pro se, New York, NY. DATE FILED: August 24, 2001 CASE SUMMARY: Claimant alleged that respondent breached a Registered Representative Agreement that stated if