New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John T. Hackett, M.D. v Smith Barney Shearson, Gramercy Partners, John Polyvtou, Jerry Levitte, Scott Costine, Jack Gaglione and Vivian Amorim Attorneys: For Claimant(s): John T. Hackett M.D. - Modesto, CA For Respondent(s): William A. Hohauser Esq. - New York, NY Date Filed: 03/21/1995 First Scheduled: 01/24/1996 Decided: 3/15/96 Case Summary: claimant alleges r

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Haroto R. Lewis, M.D. v. OLDE Discount Corporatton and Rtok Kapitoff- Attorneys: For ClainBnl(s): Thoms J. Kenan Esq. - Oktohoma City, OK For Respondenl(s): Karen L. Brink Esq. - Detroit, Ml Ronato P. Kane Esq. - Chtoago, IL Date Filed: 03/08/1995 First Scheduled: 10/17/1995 Decided: 2-7-96 Case Summary: Ctolmam alleges the account executive (1) Receiv

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Gubitosi and Jamto Davlla vs. Mabon Securittos, Inc., Bemard Barrett, Gianni Fidanza, Kevin Homish, Giorgto Questa, Edward Maguinn, Salvatore Trani, /Vnthony Conroy and Peter Bonaparth Attorneys: Fbr Clamianl(s): Mtohael J. McAllister Esq. - New York, NY Fbr Respondeni(s): Richard M. Retoe Esq. - New York, NY Date Filed: 02/13/1995 First Scheduled: 07/27/1995

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: RonaU Woodberry vs. Shearson Lehman Brothers, Inc. Attorneys: For Clainunt(s): Robert Dyer Esq. - Ortondo, FL Fbr Respondents): David G. Russell Esq. - Atlanta, GA Date Filed: 03/01/1995 First Scheduled: 11/16/1995 Decided: 03/08/i996 Case Summary: customer vs. Member Firm altoging unsuitable margin trading, failure to supervise, self dealing, viototions of the Flori

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: ftelph T. Frledmann, Jr. TTEE vs. Dean Witter Reynokls, Inc. and Douglas Campbell Attorneys: For Clairranlts): Ralph T. Frledmann Jr. - Ft. Lauderdale, FL For Respondents): George Sullivan, Esq. - New York, Ni" Date Filed: 02/23/95 Case Summary: Ctoimam alleges First Scheduled: 8/17/95 commisston charged on trades were to excess Product: EQU Decided:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred Guison vs. Salomon Smith Barney and Greg Reidy Case Number: 01-04170 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Alfred Guison Alfred Guison IRA For Respondents: Salomon Smith Barney Inc. Greg B. Reidy Alfred Guison Huntington Beach, California Alfred Guison Huntington Beach, California Danielle J. Tarasen

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Henry B. Font. Jr, Vikki Font and Astrocard. Inc. v. Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Ctolmanl(s): Richard T. Howell, Jr. Esq. - Houston, TX For Respondemfs): Jack D. Ballard Esq. - Houston, TX Date Filed: 02/22/1995 First Scheduled: 10/24/1995 Decided: February 8, 1996 Case Summary: claimants, public customers, allege respondent, a mem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elaine Farber, Executi-ix of ttie Estate of Joseph Rotti v Prudentiai-Bache Securities, Inc. Attorneys: For Clajnnnt(s): Jeremiah B. Mc Kenna Esq. - Staten Island, NY For Respondents): /Mhony Paduano Esq. - Naw York, NY Date Filed: 02/07/1995 First Scheduled: 04/01/1996 Decided: oa/os/isse Case Summary: Claimant alleges that Respondeni breached Its comractual and fid

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Prudential Securities. Inc. vs. Barry M. Potter Attorneys: For Ctoimanl(s): Marc S. Dobin Esq. - W. Palm Beach, FL For Respondent(s): Bruce A. Katzen Esq. - Miami, FL Date Filed: 02/03/1995 First Scheduled: 10/12/1995 Decided: 2/7/96 Case Summary: claimant alleges breach of employment agreement and non-payment of promissory note. Product: PROMISSORY NOTE

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Luis Torres Attorneys: For Ciainiant(s): Gary Saretsky, Esq. For Respondent(s): Luis Torres - Mtomi, FL - W. Palm Bea,ch, FL Date Filed: 01/23/1995 First Scheduled: 10/11/1995 Decided: 11/5/96 Case Summary: Ctolmam alleges breach of employment agreement and non-payment of promissory note. Flespondeni filed counterclaim al