New York Stock Exchange ^n the Matter of Arbitration Between ,/ NYSE Case: Wllllam N. Deatherage and Bette Massick Colombo v S.G. Warbug & Co. Inc. Attorneys: FxM- Clainiant(s): James Klenk Esq. - New York, NY For Respondents): Thomas R. Kelly Esq. - New York, NY Date Filed: 08/10/1995 First Sctieduled: o^08/i996 Decided: 06/07/1995 Case Summary: Claimants allege that Respondent breached their agreements with Respondent by failing to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Natalie Hutchinson v Dean Witter Reynolds and Christopher Pratico Attorneys: For Clajmant(s): Peter S. Pearlman Esq. - Saddle Brook, NJ For Respondenl(s): John v. McCambley Esq. - Wyckoff, NJ Date Filed: 08/07/1995 First Sctieduled: 05/2i/i996 Decided: 09/11/1996 Case Summary: Ctoimant alleges Ihat Respondents made unauthorized trades in her accounl, generating

y- New York Stock Kichange In the Matter of Arbitratfam Between Casa: Mtohad L WtetMr V PludmUiri NYSE For For •McOonon^GA a LeCiwaiee &i|. > New YiorK mr Data Hied: < M/i7/iofis FvBt Scheduled: oaowieee Decided: oaomses Case Summary: Ns lie wn gsM imuWdb KMG* and tfM tM bnikm emptoyed by Product: eou MaiHeL- CWmOMB Claim: tas/xxM» Punitiva: tojoo Atty Feea: $OJOO Depoait: tsoojoo Award: tojoo P

^lew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Steven Thomas Sapperstein v. Charles Schwab & Company Inc. Attorneys: For Clainnnt(s): Steven T. Sappersteto - Owing Mills, MD For Respondents): Matthew F. Curry - Baltimore, MD Rhonda Y. Jones Esq. - San Frandsco, CA Date Filed: O8/01/1995 First Sctieduled: 11/17/1995 Decided: 04/24/i99e Case Summary: ctoimant, a publto customer, alleges Respondent, a member fi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard E. Hamann v. Olde Discount Corporation Attorneys: For Ciaimant(s): Rtohard E. Hamann - Woodstock, IL For Respondents): Davto T. Doyto Esq. - Detroit, Ml Date Filed: 07/i9/i99S Case Summary: customer against advtoe. First Sclieduled: 05/21/1996 Decided: 8/13/96 firm for fraud to not informing ttie customer ttiat ttie broker dto not foltow slock, an

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: smith Barney Inc. vs. Brian Cregar Attorneys: For CtoJnwntfs): Juditti C. Greene Esq. - New York, NY Fw Respondent(s): Brton Cregar - Planlatton, FL Date Fiied: 07/24/1995 First Sctieduled: 02/07/1996 Decided: 4/10/96 Case Summary: Ctoimant altoges breach of loan agreement and non-payment of outstanding batonce on tax indebtedness. Product: PROMISSORY NOT

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: oppenheimer A Company Inc, v, Louis RHey Attorneys: For GUmafllfli: Joseph P. Keenan Esq. - Gaixton CHy, NY For RBSpO(ident(s): Dan A Oniz Esq. - Sea Qirt, NJ Date Fifed: 07/24/i9es FkBt Sdieduled: 12^)7/1995 Case Summary: Claimant, a menfber firm, alegM-respondenl, emptoyment agreement by toUng to pay ttie balamiue on a toan $8,079.21, costs and attorney's feas.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Theodore Hecht and Loretta B. Hecht, Indlvtoually, and Theodore Hecht as Trustee of the Theodore Hecht i^evokabto Trust v A.G. Edwards & Sons, Inc. and Tiberto DeJulto Attorneys: For Clainianl(s): J. Pat Sadler Esq. - /Vtiania, GA Fbr Respondenlts): Jeff Jamieson Esq. - St. Louis, IMO Date Filed: 07/12/1995 First Sctieduled: 031^25/1996 Decided: 03/26/1996 Case S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean M. Beatty, (Claimant) vs. Morgan Stanley Dean Witter and Douglas Hampton, (Respondents) Case Number: 01-04473 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Jean M. Beatty, hereinafter referred to as "Claimant": J. Michael Gatien, Esq., a sole practitioner, N. Canton, OH. Respondents, Morgan Stanley Dean Witter ("MSDW") and Douglas Hampton ("Hampton"),

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers Inc. v. Christopher S. Long Attorneys: For Clainiant(s): Charles Mills Esq. - Washington, DC For Respondent(s): Douglas M. Nabhan Esq. - Rtohmond, VA Date Filed: 07/14/1995 First Sctieduled: 12/07/1995 Decided: octaober 17, 1996 Case Summary: Claimant, a member firm, alleges Respondent, a registered representative and former employee, breached the ter