New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edmund Siegfried Werners v Smitti Barney, Inc. Attorneys: For Ctoiniant(s): Cari W. Pike Esq. - New York, NY Ftor Respondenl(s): Wllltom A. Hohauser Esq. - New Yoric, NY Date Filed: 11/09/1995 First Scheduled: os/i8/1996 Decided: 09/26/1996 Case Summary: Claimant alleges Ihat Respondent made unauthorized trades in his account and traded on margin without his consent.

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04489 Ronald K. Lavan, by and through Lewis B. Freeman, as Attorney in Fact Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Martin Sloane Charles Duffy REPRESENTATION OF PARTIES For Ronald K. Lavan, by and through Lewis B. Freeman, as Attorney in Fact, hereinafter referred to as "Claimant': John R. Squitero, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01288 Robert Brimdal, claimant vs. Seaboard Securities, Inc. and Robert Limmer, respondents. ATTORNEYS: Claimant appeared Pro Se, Loma Linda, CA. For Respondents appeared Jay Marc Israel, in-house counsel, Islandia, NY. DATE FILED: March 24, 2000 CASE SUMMARY: Claimant alleged that respondents purchased options without his approval. He also alleged that respondent Robert Limmer pur

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jay Edward Simkin v. PaineWebber Inc., Ladenburg Thalmann & Co. Inc. and MerriH Lynch Inc. Attorneys: For Claimants): Jay Edward Simkin - Nasfnia, NH For Respondenl(s): Charies L. Henderson Esq. - New Yorit, NY Altoe Jump Esq. - Weehawken, NJ Date Filed: 11/13/1995 First Scheduled: 05/16/1996 DeckJed: 5/16/96 Case Summary: customer claimant alleges breach o

New York Stock Exchange In the Matter of Arbitration Between M[< YSE Case: Robert Fuchs v Oscar Gruss & Son, Incorporated Attorneys: For Clainianl(s): Paul D. Wextor Esq. - New York, NY Ftor Ftespondent(s): Robert S. Churchill Esq. - New York, NY Date Filed: 11/os/i905 Case Summary: Qaimant First Scheduled: 06/17/1996 Decided: alteges that Respondent faitod to pay compensation dun to aaimant after he was Product: Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Franklin Bourle & Winifred A. Bourie v. Olde Discount Corp. Attorneys: For Clalmant(s): Franklin Bourie - Woodbury, NY For Respondent(s): Howard M. Klausmeier Esq. - Detroit, Ml Date Filed: 10/23/1995 First Scheduled: Case Summary: ctoimants, publto customers, allege Respondent, a transfer of the account, resulting in losses to Claimants. Product: 01/15/1996

"^ ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Haroto E. Copeland vs. Prudenttol Securities Inc. Attorneys: For Clainiant(s): Craig R. /Mien Esq. - Chattenooga, TN Fbr Respondent(s): David D. Sterling Esq. - Houston, TX Date Filed: 10/23/1995 Case Summary: Registered Rep vs of various laws and misrepresentations. First Scheduled: 05/02/1996 Decided: 12/06/1996 Member Firm (ex-emptoyer) allegi

£W York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ktoder Peabody & Company Inc. v. /\my E. Ctoyton-Benjamin Attorneys: For Claimant(s): John Jamnback Esq. - Washington, DC For Respondents): Domlntok J. Derate Esq. - New York, NY Date Filed: 10/04/1995 First Scheduled: 05/15/1996 Decided: 07/26/i996 Case Summary: Member firm aUeges respondeni faHed to repay promissory note following his termination of emptoyment. Firm

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ktoder Peabody & Co. Inc. v. Gregory D. Stewart, Robert Serto and Chartos Woodworth Attorneys: For ClaimiBnt(s): Robert Boraks Esq. - Washington, DC For Respondent(8): Domlntok J. Derate Esq. - New York, NY Date Filed: 10/00/1995 First Scheduled: O6/05/1996 Decided: 9-4-1996 Case Summary: Member firm alleges the Indmdual respondents failed lo repay promissory not

l..- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David T. Shoop v. Mel Jacobs and Oppenheimer & Company Inc. Attorneys: For Ctoimanl(s): Lee P. McMillan Esq. - Alburquerque, NM Davto T. Shoop - Houston, TX For Respondent(s): Mtohelto A. Murphy Esq. - New York, NY Date Filed: 10/12/1995 First Scheduled: 05/09/1996 Decided: 08/19/1996 Case Summary: Claimant, a public customer, alleges respondents, a memb