New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard M. Engelhardt v. Bear Stearns & Company Inc. Attorneys: For Claimant(s): Rtohard M. Engdhardt - Laurence Harbor, NJ For Respondents): Philip A. McLeod Esq. - San Francisco, CA Date Filed: 05/03/1995 First Scheduled: 05/21/1996 Decided: 10/07/1996 Case Summary: claimant alleges that Ihe firm misrepresented Ihe terms of an employment offer at its San

New York Stock Exchange In the Matter of Arbitration Between 1 / NYSE Case: Dr. Jack Ehriich v. Smith Bamey Inc., Barbara Mackevtohs and Gene Mackevtoh Attorneys: Fbr Ctoin»nt(s}: Jack Ehrilch - Chtoago, IL Fbr Respondenl(s): Ntooto Felton Esq. - New Yorit, NY Date Filed: 04/17/95 First Scheduled: 12/13/95 Decided: January 12, 1996 Case Summary: Product: EQU Market: Claim Data Claim: $50,000.00 Punitive: Uns

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Inc. v Farzad Moazed v Smith Bamey Inc., George Sula and Jerome Levitt Attorneys: For Ctolmanl(s): Judith C. Greene Esq. - New York, NY Fbr Respondent(s): Brian A. Carlis Esq. - Princeton, NJ Date Filed: 04/05/i995 First Scheduled: 11/09/1995 Decided: 04/17/1996 Case Summary: Claimant, a member firm, has alleged that respondent failed to re-pay the balan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles W. Barksdato, Trustee for The Barksdato Fertilizer/Charles Barksdale Profit Sharing Plan v. Prudential Securities, Inc. Attorneys: For Ctoimant(s): Philip /^ikoff Esq. - Los Angeles, CA Robert Uhl Esq. - Los Angeles, CA Fbr Respondent(s): Mtohael M. Gless Esq. - Long Beach, CA Date Filed: O4A)4/1995 First Scheduled: 11/28/1995 Decided: 07/23/1996 Case Sum

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Aito Poladian, Claimant v. TD Waterhouse Investor Service, Inc., Respondent Case Number: 01-04171 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Arto Poladian, In Propria Persona Burbank, California For Respondent: Janis Campanella, Esq. TD Waterhouse Investor Services, Inc. Boca Raton, Florida CASE INFORMATION Statement of Cl

^ New York Stock Exchange in the Matter of Arbitration Between NYSE / Case: Patrlcto C. Schuman v. C.S. First Boston Corporation Attorneys: For Clainiant(s): Davto B. Wechsler Esq. - New York, NY For Re6pondenl(s): Kathtoen M. Comfrey Esq. - New York, NY James R. Warnot Esq. - New York, NY Date Filed: 04/19/1995 First Scheduled: 09/27/1995 Decided • 7/9/96 Case Summary: Claimant, a registered representative and former employe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Co., Inc. vs. Barbara Siegel Sacks Attorneys: For Claimanl(s): Robert A. Boraks Esq. - Washington, DC Fbr Respondents): Arttiur Koski Esq. - Boca Raton, FL Date Filed: 03/27/95 First Scheduled: 10/10/95 Decided: 3/18/96 Case Summary: Ctoimant altoges breach of agreement and non-payment of promissory note. Product: PROMISSORY NOTE Market

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerard Klauer Mattison & Co. LLC vs. Quick & Rdlly/U.S. Clearing Corp. vs. Bradley D. Edson, Brad Edson and Julto Polaski, Edson Family Living Trust, Olympian Investments, Michael L. Berger and Sharon L. Berger Attorneys: For Ctoim8nt(s): Lee S. Rtohards Esq. - New York, NY f=or Respondenl(s): Matthew Fartoy Esq. - New York, NY Date Filed: 03/29/1995 First Scheduled: 07/

New York Stock Exchange In the Matter of Arbitration Between Case: UHton Lederman vs. /\dvest. Inc. NYSE Attorneys: For Claiinani(s): Pairida A. Shub Esq. - Fort Lauderdato, FL Fbr Respondents): Maxine K. Streetar Esq. - Fort Lauderdato, FL Date Filed: 03/21/1995 First Scheduled: 02A)7/1996 Case Summary: Ctalmam altoges unsuitabto investinents to IHtouto limited partnerships. Securities Laws, breach of ftoudary duly, failure lo super

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John J. Jurkiewicz & Joan E. Jurkiewicz v A.G. Edwards & Sons, Inc. & Bruce A. Barnhart Attorneys: For Claimant(s): Sherri C. Strand Esq. - St. Louis, MO Fi>r Respondent(s): Willtom S. Port Esq. - St. Louis, MO Date Filed: 03/27/1995 First Scheduled: 03/21/1995 Decided: 3/21/96 Case Summary: Claimants, customers, have alleged that respondents recommended the sale of