New York Stock Exchange In the Matter of Arbitration Between NYSE Case: J, Rtoksy Kaichum v Prudanitol Securities, inc., RkMrd Johnson and John R. Pok Attorneys: For CiainiBnl(4: Dan A Druz ^ . - Manasquan, NJ Fbr Raspondenl(s): Gabrtol Loubtor Eiq. - Naw York, NY Date Filed: o»22/i996 Rrst Scheduled: 04/09/1007 Decided: 08/11/1887 Case Summary: Ctoimant alegss that Respondents made unauUiorized and unaiiiiabto trades oontMut

y New York Stock Exchange Tn the Matter of Arbitration Between NYSE Case: PrinoipaJ Fhandal Inc. V Ronald J. Abbott AtlomeyB: RorCUmanM: IO. JIayaon Eaq. - .TX Ror WMtar L Bauni0aidnar Esq. - St. Shores. Ml Date Filed: oa/i4/isge Rrst Sclieduled: oa/n/iee? Decided: 03/11/1997 Case Stimmary: CMmant alegea thai Respondant has lalad to repay a toan whtoh baoama due upon his resignaiton from Clalmanra ampioyineni, pursuan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Blnod K. Verma v Oppenheimer & Co., Inc. and David Shoekin Attorneys: For Ctoimant(s): Binod K. Verma - Rego Park, NY Fi>r Respondent(s): Russell Katz Esq. - New York, NY Date Filed: os/i9/1996 First Scheduled: 03/04/1997 Decided: 04/I6/1997 Case Summary: Claimant alleges that Respondents misled him and gave bad advice about India Fund, failed to send him a prospectu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: The Principal Rnanctol Securities, Inc v. Ken Coulter Attorneys: For Claimant(s): Martin Casbt) Esq. - Chtoago, IL For Respondentia): Rosemarie J. Guadnolo Esq. - Chicago, IL Date Filed: 08/14/1996 First Scheduled: 02/13/1997 Decided: 10/15/1997 Case Summary: Claimant, a memberfirm, has alleged that respondenttoiled to repay money due as a result of a promissory note

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loretta Lutfy (Claimant) v. Republic Financial Services Corporation, HSBC Brokerage (USA) Inc., and Steven Verveniotis (Respondents) Case Number: 01-04134 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Terminated Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Loretta Lutfy ("Lutfy") hereinafter referred to as "Claimant": Joh

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Principal Finandai Securities Inc. v. Byron Marshall Attorneys: For Ci8in«nl(8): Martin R. Castro Esq. - Chtoago, IL For ltoBpondant(s}: Byron Marshall - West Chicago, IL Date Filed: 08/i4/i996 First Sctieduled: 02/10/1997 Case Summary: Member finn against former registered representative for balance due Product: PROMISSORY NOTE Decided: 4/9/1997 on a pro

y" New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Prudent»l Securities Incorporated v. Leonard Rtoh Attorneys: For Claimants): Arthur Baumgartner Esq. - New York, NY Fbr RaBpondanl(s): Lil^^nard Rich - Scarsdato, NY Date Fiied: 07/26/i996 First Sclieduled: 02/10/1997 Decided: 6/19/1997 Case Summary: Member firm against former registered representative for $58,828.80 due on an October 7,1993 nota and $10,346.8

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hilda Schrettner vs. Merrill Lynch Pierce Fenner & Smith, Gene Wortsman and /Vndrew Edellman Attorneys: F=br Claimar< (s): Thomas R. Grady Esq. - Naples, FL For Respondent(s): John J. Kilkenny Esq. - New York, NY Date Filed: os/oi/isgs First Sctieduled: 03/10/1997 Decided: 04/24/1997 Case Summary: Customer vs. Member Firm, Registered Rep and Branch Office Manager alle

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer & Co., Inc. v Gregg GaKaghar Attorneys: For Ciaimant(4: Woody Hong Esq. - New Yorit, NY Fbr Respondenl(s): Martin E. Karlinsky - New York, NY Date Filed: 07/16/1996 First Sclieduled: OS/O8/1997 Decided: 07/02/1997 Case Summary: claimant alleges that respondent solidtad and soM shares of a stock not registered or exempt from registratton in purchasers

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securitiea Inc. v, Lin Wen Ten Attorneys: For daimants): Stawan P. Krasnar Esq. - WItBa Plains. NY For Reapandera(s): Un Wan Ten. Port I, NY 'Date Filed: 07/01/1996 Hrst Scheduled: 02/12/1997 Oecided: osnz/isg? Case Summary: claimant plus interesL AddittonaHy, employed by ctolmam. that respondent, a fonner ampioyee, is in dafault of a toan,