4ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kkldar, Peabody a Co. Incorporated v. Junto L. Soktw Attorneys: For Clanwnl(s): Robert A. W. Boraks Esq. - Washington, DC Fbr RsBpondanlfs): Jamte L Sotow - Boca Raton, FL Date Filed: oa/i 7/1996 First Scheduled: 04/i7/ia97 Decided: 08/21/1997 Case Summary: Member firm daimant alteges braach of ban aoreement and nonpayment of promissory note. Product: PRO

' .X New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Evelyn Sanchez Dapena v Merrill Lynch and Hortensia Llavat Attorneys: For Ctennantfs): Zutelka LLovet Esq. - San Juan, PR For Respondent(s): Peter J. Trias Esq. - Hato Rey, PR Date Filed: 08/26/i996 First Scheduied: 01/22/1997 Decided: 2/4/1997 Case Summary: claimant, a customer, has alleged that respondent breached their contract in connection with chec

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grunlal a Co. Incorporated v. Robert lltoeto Attorneys: For Clamnnl(s): Evan J. Charias Esq, - New Yorit, NY ror I lOBponoonm). Francis X. Stone Esq. - Boston, MA Date Filed: 03/20/1996 First Scheduled: 03/05/1997 Docided: 7/30/97 Case Summary: Member firm claimant alleges breach of funptoyrnoiit ntjfBgrf^i^., no::;«'.;!-%ifit of promissory note, and nonpayment of un

New York Stock Exchange In the Matter of Arbitration Between y' NYSE Case: Jo Ellen Goklberg v. Gruntal & Co. Inc. Attorneys: For ClaintBnt(s): Lonnte K. Browne Esq. - West Palm Beach, FL Fbr Respondents): Elizabeth A. Rogers Esq. - West Palm Beach, FL Date Filed: 08/26/i996 First Scheduled: 3/I6/97 Decided: 5/28/97 Case Summary: customer cteimant alteges negligence, vtotetton of Federal and State securities laws, dvil theft, fciihra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JIm Karlm v. Legg Mason Wood Walker Inc. Attorneys: For Clakmnt(s): Howard M. RosenfteM Esq. - Avon, CT For Respondent(s): Mary Ellen McDonough - Bostxan, MA, Date Filed: 08/23/1996 First Scheduied: 02/18/1997 Decided: 2/18/97 Case Summary: customer cteimant alleges unsuitable option purchases, failure to supervise, misrepresantatton, braach of fkiuciary duty, vniatk

New York Stock Exchange In the Matter of Arbitration Between V NYSE Case: John Jewell v. Merrill Lynch Attorneys: For Claiinant(s): Edward W. Cochran Esq. - Shaker Heights, OH For Respondent(s): Stephen M. Bales Esq. - Cleveland, OH Date Filed: os/i2/1996 First Scheduled: 03/12/1997 Decided: 7-11-1997 Case Summary: claimant alleges account churning and the recommendatton of unsuitabte investments in connectton with tosses incurre

l/" 6 New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rachel Kaufman v. Alan Halpert, Steven J. Omstain, Halpert and Co., Inc., Jeffrey Halpert, Matthew Cohen, Patrick Tiedeinann, Daniel Alesandro & Ntoholas Marlnelto Attorneys: For Claiimnl(s): Pete S. Mtohaeis Esq. - Boston, MA For Respondeni(s): Mary O'Connor ^st\. - Boston, MA A. Ross Pearison Esq. - Newark, NJ Brian H. Reis Esq. - New Yoric, NY Date F

Amended Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04106 UBS Paine Webber, Inc. Name of the Respondent Hearing Site: Tampa, Florida Woodie M. Brewer REPRESENTATION OF PARTIES For UBS PaineWebber, Inc. ("Claimant"): Lisa A. Catalano, Esq., Davidson, Mancel & Brennan, LLP, Northvale, New Jersey. For Woodie M. Brewer (''Respondent"): Richard D. Groff, Esq., Dye, Deitrich, Prather, Petruff & St. Paul, P

/, New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Kerry Hoffman Attorneys: For ClainBnt(s): Davkl W. Schmklt Esq. - Kenilworth, NJ For Respondent(s): Kerry Hoffman - Fort Lauderdate, FL Date Filed: 08/20/i996 First Scheduled: 12/13/1996 Decided: 06/18/1997 Case Summary: Member Rrm vs, for the note balance, interest and attorneys Rep (ex-employee) seeking to recover amounts allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John F. Eckstein, III and Carolyn R. Eckstein v. CS First Boston Corporation Attorneys: For Claiinant(s): Jonattian Kord Lagemann Esq. - Naw York, NY Fbr Respondenl(s): Allan N. Taffet Esq. - New York, NY Date Filed: os/i9/1996 First Sctieduled: 02/13/1997 Decided: 02/14/1997 Case Summary: Claimants allege they were charged a fraudulent mark-up on the purchase of mun