New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John L. Pillot vs. Olde Discount Corporation and Steven Schween Attorneys: For Claimant(s): Robert Dyer Esq. - Orlando, FL For Ftespondenl(s): David T. Doyle Esq. - Detroit, Ml Date Filed: 02/01/1995 First Scheduled: 11/15/1995 Decided: 06/11/1996 Case Summary: customer vs. Member Firm and Registered Rep alleging unauthorized transadions and margin trading, failure t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities. Inc. v. David K. Evansen Attorneys: For ClaJmanl(s): Gary M. Miller Esq. - Ft. Lauderdato, FL For Ftospondent(s): David K. Evansen - Boca Raton, FL Date Filed: 01/24/1995 First Scheduled: 8/16/95 Decided: 4/9/96 Case Summary: claimant alleges breach of employment agreement and non-payment of promissory note, and seeks recovery as well for s

r / York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllllam L. and Patti D. Carrasquillo vs. Oppenheimer & Company, Inc., David Little and Benny Varzi Attorneys: For Claniant(s): Robert Dyer Esq. - Orlando, FL Fbr Respondenl(s): Joseph C. Pickard Esq. - New York, NY Date Filed: 01/23/1995 First Scheduled: 11/14/1995 Decided: 05/15/1996 Case Summary: customers vs. Member Firm and Registered Reps alleging unsuitabto hig

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John K. Oliver v. Bear Stearns & Company Inc., Karen Sue Tekulsky, Mtohael J. Margolis, Damton P. Carufe and Gregory A. Brumbetoe Attorneys: For Ctoimants): William A. Jacobson Esq. - Providence, RI For Respondents): \ Paul W. Stivers Esq. - /Vdanta, GA ^s Jeffrey W. Willis Esq. - Attonia, GA Date Filed: 01/18/1995 First Scheduled: 02/27/1996 Decided: June 25, 1996

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Cooke v. Fidelity Brokerage Services,lnc. Attorneys: For Clain»nl(s): /John Cooke - Garden City, NY Fbr Ftospondent(s): Altoto Flelnes-Leo - Boston, MA 2/y>^ Date Filed: 09/io/i996 First Scheduled: 12/04/1996 Decided: /2, Case Summary: claimant alleges that the firm wrongfully debited his account in connection with an order to sell shares of Snapple common s

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: M.L Moore, Sr. v. Rauscher Pierce Refsnes, Inc. Attorneys: For Clainnnl(8): M.L. Moore - Ben Wheetor, TX Fbr Ftospondeni(s): James T. Ritt Esq. - Dallas, TX Date Filed: 09/05/i996 First Scheduled: 12/10/1996 Deckled: 12/13/96 Case Summary: Customer alleges tfiat the firm was not timely In Ihe remittance of interest payments on a FNMA CMO and faitod to pay interest due

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valerie Polacek I : 01-04163 of-tfae Salomon Smith Barney Inc. and David Neale Brown Claimant, Valerie Polacek ("Polacek"), hereinafter referred to as "Claimant": represented by: Stuart R. Berkowitz, Esq., St. Louis, MO. Respondents, Salomon Smith Barney Inc. ("SSB") and David Neale Brown ("Brown")> hereinafter collectively referred to as "Respondents":

) ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Stacey J. Butts Attorneys: For Claimant's): Patrick L Hynes Esq. - New York, NY Fbr Ftespondent(s): Stacey J. Butts - Boca Raton, FL Date Filed: 07/3i/i996 Case Summary: Member First Scheduled: n/os/isse Decided: 11/5/96 fimi claimani alleges breach of emptoyment agreement and nonpayment of promissory note

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Martin M. Goldman v. First /\lbany Corp. Attorneys: Fbr Claln»nt(s): Martin M. Goldman - Plattsburgh, NY For Respondent's): Brian F. Mumford Esq. - /Ubany, NY Date Filed: O8/02/1996 First Scheduled: 11/12/1996 Decided: 11/12/1996 Case Summary: Customer claimant alleges wrongful sale of 300 shares of Tel De'Argentine. Product: EQU Market: NYSE Claim Data

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Myma RhoaHes v Oean Witter Reynotos Inc. Attorneys: For Ciainnnt(s): Myma Rhoades - Las Vegas, NV Richard Signorelli Esq. - New York, NY Date Filed: 07/08/1996 Case Summary: daimant's account. Ctaimant First Scheduled: alleges that after promising to stop payment on a Product: Decided: check, respondeni faitod lo do so, Market: /•/} resu