New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John p. Henry v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Claimanl(s): John P. Henry - East Braunswick, NJ For Respondenl(s): Daniel A. Taylor Esq. - New York, NY Date Filed: 09/11/1995 First Scheduled: 02/15/1996 Decided: 02/15/1995 Case Summary: claimant alleges that Respondent is partially responsible for the decline in value of his bond and shoul

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Te Leng Wu and Bao Cheng Lee Wu v Richard Maynard and Smith Barney Shearson Attorneys: For Claimant(s): Te Leng Wu - Scarsdale, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 09/O6/1995 First Scheduled: 02/21/1996 Decided: 02/21/1996 Case Summary: claimant alleges that Respondents recommended a bond that was unsuitatMe for Claimant. Product: BOND

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edwin B.R. Sanders vs. Dean Witter Reynotos Attorneys: For CtoJmant(s): Edwin B. Sanders - Nashville, TN For Respondents): Debra A. Roth Esq. - New York, NY Date Filed: 09/12/1995 First Scheduled: 03/14/1996 Decided: 03/15/1996 Case Summary: customer vs. Member Firm alleging an unreasonabto delay an transferring Ctoimant's IRA account from Respondent firm to Clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v Patrtok McGowan Attorneys: For Claifnanl(s): Marc S. Dobin Esq. - West Patoi Beach, FL Fbr Respondents): M. Dan Hughes Esq. - R. Lauderdate, FL Date Filed: 08/20/1995 First Scheduled: 05/09/1996 Decided: 10/10/96 Case Summary: claimant alleges breach of employment agreement and non-payment of promissory nota. Product: PROM

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Harry T. Watson v Otoe Discount Corporation and Greg Taytor Attorneys: For Claimant(s): Harry T. Watson - Jupiter, FL Frx Respondent(s): Julie D. Reed Esq. - Detroit, Ml Date Filed: 09/01/1995 Case Summary: Ctoimant First Scheduled: 05/09/1996 altoges failure to execute order properly and subsequent purchase Product: EQU Decided: 5/9/96 of incor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Graham Ward IRA and MaryAnn Ward IRA, Claimants v. Wedbush Morgan Securities Inc. and Gregory J. Gursey, Respondents Case Number: 01-04479 Hearing Site: Anchorage, Alaska REPRESENTATION OF PARTIES For Claimants: Graham Ward Glennallen, Alaska For Respondents Wedbush Morgan Securities Inc. and Gregory J. Gursey Gary L. Holmes Wedbush Morgan Securities Inc. Los Angeles

y^ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ktoder Peabody & Company vs. Joseph P. Hagen Attorneys: For dsimanKs): John Jamnback Esq. - Washington, OC For Respondenlts): Joseph P. Hagen - Phoenix, AZ Date Filed: 09/07/1995 First Scheduled: oa«)e/i996 Decided: pebruars' 14, 1996 Case Summary: Member Firm vs. Registered Rep (ex-emptoyee) seeking lo recover an amount allogedly duo under the tgrms ol a promisiDry n

New York Stock Exchange In the Matter of Arbitration Between y" NYSE Case: Ktoder Peabody & Company Incorporated v. John J. Beisner Attorneys: f^r Claimant(s): Robert A.W. Boraks Esq. - Washington, DC For Respondent(s): John J. Beisner - Garden City, NY Date Filed: os/i4/1995 First Scheduled: 03/O6/1996 Decided: 04/19/1996 Case Summary: Member firm alleges registered representative failed to repay promissory note after the terminatio

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Company Inc. vs. Michael F. Mazzei Attorneys: For Claimant(s): Robert A. W. Boraks Esq. - Washington, DC Fbr Respondents): Michael F. Mazzei - Lantana, FL Date Filed: 09/07/1995 First Scheduled: 05/08/1996 Decided: 5/8/96 Case Summary: claimant alleges breach of toan agreement and non-payment of promissory note. Product: PROMISSORY NOTE M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfred B. Reiss vs. Gotoman Sachs & Co. Attorneys: For Claimanl(s): Davto E. Robbins Esq. - New York. NY Fw (to5pondenl(s): Theodore A. Krebsbach Esq. - White Plains, NY Date Filed: 08/29/1995 First Sctieduled: 02/07/1996 Decided: 9/12/96 Case Summary: Claimant alleges improper and unauthorized creation of short posittons in Vtocom, Inc. resulting in tosses being inc