New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James K. Arthur; John and Maria Heneiy; John J. Heneiy Ltd. Profit Sharing and Pensnn Plan; John J. Henely Ltd., a professnnal corporation; Fred and Ijouise M. Parker; Parker Sales Engineering Inc.; Parker Sales Engineering Profit Shari.ig Plan; Philippa and Michael D'A Booth; Roibert L and Frances J. Zielsdorf; Dr. Samuel and Terry L. Kiehl; Dr. Samuel J Kiehl M.D. Inc. Profit Sharing Plan; Le

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company v. Eric Decatur Attorneys: For Clainfiant(s): Peter Jaffe Esq. - McCoy, CO For Respondents): Erto Decatur - Vallejo, CA Date Filed: 12/14/1995 First Sclieduled: 10/04/1996 Case Summary: Claimant, a member firm, seeks repayment of a draw deficit in respondent, a registered representative and former emf^yee. Product: Decided: 02/13/199

New Yori( Stocl( Excliange In the Matter of Arbitration Between NYSE Case: Wllliani Sheehy, Executor of the Estate of Marjorie Sheehy (Deceased) v. Gruntal & Company and Daniel H. Axinn Attorneys: For Clainnnt(s): Benedict L. Sliney Esq. - Commack, NY Fbr Re8pondent(s): Larry H. Krantz Esq. - New York, NY Date Filed: 12/13/1995 First Scheduled: 06/25/1996 Decided: 07/24/1997 Case Summary: Claimant, a pulilic customer, alleges respondents

New York Stock Exchange NYSE In the Matter of Arbitration Between Casa: Jbi«ph< hil Uyen a HOM IneorportMd V J.W. Chaitos SMUIWM Ina. Mwriiall T. Lsods, John R. Ctwha and Pmit T, Mannlen Attomeya'. FwCWmMi(i): •onald MoCiiba Esq. - Nmr YMk, NY Tarry R. Vltm E*q. - Muis. QA Fori Garaid kVrw Esq, - Atlama, OA John L North Esq, - Atlarta, OA •ate Filed: i2/D7/igos Rrat Scheduled: owiai9BB Decided: 06.TM^9B7 Case Summary: CMMM aftgatiM fl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: The Estate of Egon A'Dutch' Schnekler, Mike McCoy, Sheryl McCoy, William G. Baker and John Speibnan v. Cindy R. Kolb aqd Sdw«Ccia Jones & Company Attorneys: For Clainianl(s): Marie E. Cusack Esq. - San Marcos, TX WiUlam S. Shepherd Esq. - Houston, TX Fbr Respondents): Sharon Oobbs Esq. - Austin, TX Ro(iney Heggy Esq. - Oklahoma City, OK Lin Hughes Esq. - Austin, TX

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shkleh Z. Theunissen v. GoMman Sachs & Company Attorneys: For Clairnant(8): Juditti P. Vladeck Esq. - New Yoric, NY Margaret L Watson Esq. - New York, NY For Re8pondenl(B): Theodore O. Rogers Esq. - New York, NY Holly H. Weiss Esq. - New Yori(, NY Date Filed: 11/29/1995 First Scheduled: 05/i4/i996 Decided: 09/09/1996 Case Summary: Claimant, a registered rapra

L/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Tallb H. Halal v Josephttial Lyon & Ross, Inc. and Wahid Tabani Attorneys: For Clain»nt(s): Neal J. HunwJtz Esq. - New York, NY Fbr Respondent(s): Evan D. Jay Esq. - New York, NY Wahid Tabani - New York, NY Date Filed: 11/I6/1995 First Scheduled: 07/09/1996 Decided: 01/14/1997 Case Summary: claimant alleges that Respondents embezzeled money from his account by

ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Wade Barnett and Neal Sachs v. CS First Boston Corporatnn Attorneys: For Claimant(s): Uoyd S. Clareman Esq. - New York, NY For Respondent(s): Rkshard B. Kendall Esq. - Los Angeles, CA James R. Warnot Esq. - New York, NY Date Filed: 11/29/1995 First Scheduled: 07/23/1995 Decided: 3/5/1997 Case Summary: claimants, registered representatives and former employees, all

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Brian Nevils y Mairil Lyneh & CorRpany, Inc. Attorneys: For GHMMMI^* Danial A HorowiU Esq. - Oditand, CA PW niipandBM(i): CartM E. GoKtalK &q. - San Franoiseo, CA Date Filed: i2Aoa/iM5 First Scheduled: oaasfisse Decided-. (»/ia/iM7 Case Summary: Clainant, a r^iisterad rspresartatnwL has lilagad ttrnt ha wu Monofuly ttmnaiad iri ^ cnbahaHolaiharMnpleyess. He ha* a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dina Von Zweck, (Claimant) vs. First Montauk Securities Corporation and David A. Garfinkel, (Respondents) Case Number: 01-04102 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dina Von Zweck, hereinafter referred to as "Claimant": David M. Foster, Esq., David M. Foster, P.C., Farmington Hills, MI. Respondents, First Montauk Securities Corporation ("FMSC") an