y Vew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bernard Finkel v Prudential Securities, Inc. Attorneys: For Clainwnl(s): Vincent A. Federico Esq. - Branford, CT Bemard Finkel - New Haven, CT For ReBpoiiderrt(s): David B. Gorfinkel Esq. - New York. NY Date Filed: 07/O6/1995 First Scheduled: 11/02/1995 Decided: 4/18/96 Case Summary: Claimanl aHeges unaudwrized trading of 3400 shares of Wislern Digital.

t * Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine M. Sperber (Claimant) v. Josephthal & Co., Inc. (Respondent) Case Number: 01-04182 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Christine M. Sperber ("Sperber") hereinafter referred to as "Claimant": Peter A. Dankin, Esq., McPheters & Dankin, P.C., New York, NY. Respondent Josephthal & Co.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01287 Aaron L. Rice, Claimant vs. Todd Powell, Respondent. ATTORNEYS: Claimant, Aaron L. Rice, ("Claimant"), appeared Pro Se., Chicago, II. For Respondent, Todd Powell, ("Respondent"), appeared Theodore M. Davis, Assistant Vice President and General Counsel, Prudential Securities, Inc. New York, NY. DATE FILED: March 24, 2000 CASE SUMMARY: Claimant alleged that he called Respondent

Award NASD Dispute Resolution, Inc. he Matter of the Arbitration Between Name of Claimant Donald Hairston Case No. 00-00132 Name of Respondent Barren Chase Securities, Inc. REPRESENTATION OF PARTIES For Donald Hairston ("Hairston"), hereinafter referred to as "Claimant": J. Douglas Stewart, Esq. of Stewart, Melvin & Frost, LLP, Gainesville, Georgia. For Barren Chase Securities, Inc. ("Barron Chase"), hereinafter referred to as "Responden

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Morris Olshina & Birdie Olshina vs. Smith Barney, Philip Rothman & Edward Bougas Attorneys: For Claimanl(s): Morris Olshina - Delray Beach. FL Fbr Respondenl(s): Ann Parry - New York, NY Date Filed: 05/31/1995 First Sctieduled: 02/06/1996 Case Summary: claimant alleges breach of fiduciary duty, mismanagement, and failure Product: EQU Decided: to execute

y \ New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Hlgginbotham, Frances C. v. Prudential Securities and Paul Humphries Attorneys: For Claimanl(s): Stephen J. Schechter Esq. - Houston, TX Fox Re5pondent(s): Andrew R. Harvin Esq. - Houston. TX Date Filed: 05/30/1995 First Sctieduled: 10/25/1995 Decided: March 4, 1996 Case Summary: Claimant, a public customer, alleges churning, misrepresenlation,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Loren G. Ben vs. Gruntal & Co., Inc. Attorneys: For Claimantfs): Frank F. McGinn Esq. - Boston, MA Fbr Respondents): Emilia M. De Meo Esq. - New York, NY Date Filed: os/i9/1995 First Scheduled: 12/27/95 Decided: 3/29/96 Case Summary: claimant alleges breach of Employment Agreement, Account Agreements and Promissory note, and wrongful wllhhokiing of securities acc

New York Stock Exchange i In the Matter of Arbitratioii Between NYSE Case: Chorioa C Pork v. Alex Broum a Sons, (.io, and Roger a Co*, Jr. Atiomeya: Polar P. Hantqtan Jr. - Quiney, MA rsT tm|aRaBnw. D«M J. OenoMn EK|. - BMbnoNL MD Mann R GM Em. - WMt Piaira, 14V Date Fiied: osnView Rist Scheduied: 01/23/tflge Case Summary: CUMKt ateaea lowdtwiB d purdoMS of Tridart McrasyaMns. dabnani 0110008 unaudwdiod aolaa of Dial Pa0a, inc. Produ

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Barry Schoenfekl vs. Ben Jacobson & Sons, Inc., and Earl Ellis Attorneys: Fiw Clainianl(s): Barry Schoenfekl - North Palm Beach, FL For Respondentfs): Lee 0. Unterman Esq. - New York, NY Date Filed: 05/12/1995 First Sctieduled: 02/O8/1996 Decided: 7/16/96 Case Summary: claimant alleges failure to follow instrucltons and sell 40,000 shares of Tamdem Computer at '15'.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kenneth Bolton v. Prudenlial Securities Inc. and Raymond Brennan Attorneys: For ClaHiiant(s): Spencer B. Robbins Esq. - Woodbridge, NJ Fbr Respondeni(s): Kirsten Hotchkiss Esq. - New York, NY Date Filed: 05/15/1995 First Sctieduled: 11/07/1995 Decided Case Summary: claimant, a registered representative and former emptoyee of respondent, a member firm, termina