New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First state Bank, Harrah, Ok. and Sooner State Bank, Tuttto,OK. v Prudential Securittos, Inc., John H. Neely and Cari W. Busch Attorneys: For Cfainant(s): Joseph H. Bocock Esq. - Oktohoma City, OK Fbr Respondent(s): William B. Federman Esq. - Oktohoma City, OK John R. Loftus Esq. - Long Beach, CA Date Filed: 09/29/1994 First Sctieduled: 11/15/1995 Decided: 11-11-

Stipulated Award NASD In the Matter of the Arbitration Between: Melvin Isaacs, Melvin Isaacs (Managed IRA-PD 71672), and Melvin Isaacs (Managed IRA-PD 71073), Claimant v. UBS PaineWebber, Inc. and Philip M. Rice, Respondents Case Number: 01-04152 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Melvin Isaacs, Melvin Isaacs (Managed IRA-PD 71672), and Melvin Isaacs (Managed IRA- PD 71073), hereinafter referred to as "Claimant": Martin J. S

Award NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between: Financial Independence, Inc., Steven Case, William Kumm, and Dean Thurman vs. Kevin Van Dyke and Bioomfield Hills Financial. Case Number: 00-1280 Hearing Site: Southfieid, Michigan REPRESENTATION OF PARTIES Claimant, Financial Independence, Inc. ("Fll"), Steven Case ("Case"), William Kumm ("Kumm"), and Dean Thurman ("Thurman"), hereinafter collectively referred to as "Clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Friar and Ray DeRobbto v Reich & Co., Fahnestock & Co. Inc., Arthur Goetchius, Arthur Goldberg and Richard Lee Attorneys: For Claimant(s): Morgan W. Benttoy Esq. - Newark, NJ For Ftespondent(s): Etoine M. Laftomme Esq. - New York, NY Date Filed: 10/07/1994 First Sctieduled: 05/09/1995 Decided: 01/12/1996 Case Summary: Registered representatives allege that memb

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bemle L. Smith, Jr. and Lucille Smith vs. Raymond James d/b/a Investment Management Services Attorneys: For Claimant(s): Grady F. Tollison Esq. - Oxford, MS For Respondent(s): Shepherd D. Tate Esq. - Memphis, TN Date Filed: 09/20/1994 First Sctieduled: 08/29/1995 Decided: 06/17/1996 Case Summary: Public Customers vs. Member Firm alleging that a registered rep fraudul

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Barry M. Lichtman vs. Smitti Barney Shearson Attorneys: For Ctain)ant(s): Carl Qxholm, III, Esq. - Phil., PA For Respondert(s): Davki C. Franceski Esq. - Phlladelphto, PA Date Filed: og/23/1994 First Sctieduled: 06/08/1995 Decided: 5/21/96 Case Summary: Ctoimant altoges breach of contrad, breach of fidudary duty, wrongful discharge, negligenoe and failure to corred U 5 form.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul Knapp v Stifel, Nicotous & Company Inc. & Ntok Fegen Attorneys: For Ctaimant(s): John D. Hudson Esq. Des Moines, IA For Respondenl(s): Robert G. Brunton Esq. - Atianta, GA Nichotos A. Fegen - Waukee, IA Kathleen M. Quinn Esq. - Omaha, NE Date Filed: 09/06/1994 First Sctieduled: 07/18/1995 Decided: 7/18/1996 Case Summary: claimant, a customer, has all

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dato Courdert v. Bear, Stearns & Co. Inc., and Robert Shore Attorneys: For Clainnnt(s): Bruce S. Schaeffer, Esq. - New York, NY For RosDondnntfsl: ': .me. Vc^uc .L;. - -Nc 'cr'. MY Date Filed: O8/29/94 First Sctieduled: O6/01/95 Decided: ^^J2MS Case Summary: customer alleges ttie firm and its registered representative induced her to invest in unsuitabto securities, a

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: N. Michael Nocera and Michelto Nocera v Gruntal & Co., Bear, Stearns & Co., Lehman Brothers Inc. f/k/a Shearson Lehman Brothers, Inc., Thomas Brazil and Albert Fagan Attorneys: For Claimant(s): Harry S. Miller Esq. - Boston, MA For Respondent(s): Christopher P. Litterio - Boston, MA Jonathan Taylor - New York, NY Date Filed: 08/29/94 First Sctieduled: 2/21/95 Decided: 1/12/9

New York Stock Exchange }. In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. Omar Buttari Attorneys: For Ciainianl(s): William M. Cassarini Esq. - New York, NY For Respondenl(s): Mtohael D. Harris Esq. - North Palm Baach, FL Date Filed: 08/09/94 First Scheduled: osme/as Decided: January 5, 1996 Case Summary: Ctaimant altoges that Respondent has failed to repay a toan due upon terminatton of his emptoyment. Cta