\ ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: PrudanUBi Soourities InoorponMd v DanM J. Oeob Attorneys: For OUraiiKs}: Mark J. Happe Esq. - Naw York. NY i DaiM J. Deet 1^. - Mariatta, QA 1 Date Filed: 03/i4/i996 Rrst Scheduled: Case Summary: aaimant alleges thai Respondw* faied to repay t Raapondenrs amploynienl. 10n4/19»S L loan that, pursuant Product: PROMISSORY NOTE Dea'dfld: 0

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Northeast investment Properties Partnership v Memll Lynch, Pierce, Fenner & Smith and Linda D. Marcelll Attorneys: For Claimant(s): Joan M. Markey Esq. - New York, NY For Respondent(s): Bradford Maistrow Esq. - New York, NY Date Filed: 02/09/1996 First Sctieduled: 09/25/1996 Decided: 11/20/1997 Case Summary: Customer(Claimant) alleges that respondents breached an agr

New York Stock Exchaiigie In the Matter of Arliitnition Between NYSE Case: PrueHalial btaoifot^KavUmHCmi4ufkLaaJ.Gmii*aiid,t(minlLnMdaomiaOdbo$tiiOiwH» Attortieys: MMMlt IM- SiswwCac|. ^CMoaaii. IL rn niii|if>t»< (i) Gair W. Staiw eaq.. MiMMWiiae, Wi Date Filed: oi/si/ieee Case Summaiy: CWMM esisM dM flM Iheir aooounis < D another facokecmB inm. Rati First Sclttduted: ii/ianeae ipono0M§ flonipntf ID OORMHI OMeMnivMi Kwd

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oharles pjemann and Judy Ojemann v. Dean Witter Reynolds Inc., National Securities, Chowdary Mikkilileni, Nadonsinnk of Texas, N.A, Natlonsbank of North Carolina, N.A. and Merle Brown Attorneys: For Clainnnt(s): Thomas G. Bousquet Esq. - Houston, TX For Respondent(s): Rodney Ackers Esq. - Dallas, TX Date Filed: 01/22/1996 First Sctieduled: 01/28/1997 Decided: 01/30/1997

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudemlal Securities Incorporated v. /Vdam Motoney Attorneys: For Cteimant(s): Linda A. Qailgher Esq. - Chicago, IL Fbr Respondents): Adam Moteney - Wheaton, IL Date Filed: 01/09/1996 First Sctieduled: Decided: 01/23/1997 Case Summary: Ctelmam, Prudential Securities Inc., alleged non-payment of two promissory notes entered into between Prudential and Adam J. Molo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Co. Incorporated v. Steven Gehlmann Attorneys: For Ctein»nt(4: Richard I Janvey Esq. - New York, NY For Ftespondert(s): B.J. Sullivan Esq. - Chteago, IL Date Fiied: 01/23/1990 * First Sctieduled: 11/12/1996 Decided: ^Ir Case Summary: Member firm againsi former registered representative for breach of promissory note $6,000. and $20,000. Product:

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: Douglas J. Palmterl v. Josephthal, Lyon & Ross, Inc. Attorneys: For Claimants): Andrew S. O'Connor Esq. - New York, f4Y Fbr Respondents): Robert E. Murphy Esq. - New York, NY Date Filed: 12/26/1996 First Sctieduled: O6/11/1996 Decided: 01/03/1997 Case Summary: Registered representative against member firm and registered representative for discriminlory termination ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pggp Nnmhpr- 01-04125 August Charles Kraft TTftifl-mg Sitfv Houston, Texas First Avantus Securities, Inc. George Eugene Petra Claimant, August Charles Kraft, hereinafter referred to as "Claimant": Trevor A. Taylor, Esq., Kincaid & Horton, located in Austin, Texas. Respondents, First Avantus Securities, Inc., f/k/a First Financial Investment Securities ("First Avantus") a

New York Stock Exchange In the Matter of Arbitration Between NYSE Gate: Ctwe bn Kim, See KI Mm, Oong Jin Kim and Dong Woeh Kim v. Onintal ft Co. IncorpercM AKemeys: ForCMmanilB): Jam** 5. Suibar Esq. - Chicago. IL Mtehael B. Roche Esq. - CMcage. Ik Date FihNi: 11/28/1999 Firrt Scheduled: 11/12/1996 Decided: 12 h- hy also altege unauVioreadlradirig. ohamiog. and, «ilun la tupeniae. Pioduct: OPT Market Claim Data Cl

l ^ ?w York Stock Exchange NYSE in the Matter of Arbitration Between Case: Frederick R. Armbruster vs. Prudential Securities, Inc. Attorneys: For Cteimanl(s): Frederick R. /Armbruster - Jacksonville, FL For Respondent(s): Marci B. Gold Esq. - New York, NY Date Filed: 12/30/1996 Case Summary: Customer vs. First Scheduled: 03/18/1997 Member Firm alleging unsuitable investment of Cteimant's Product: EQU Decided: