AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE; MITCMEgJ, IRVINE 6 RALLY SEXaJRITIES, INC. V. KM^rER WESTERN OPTI -^3 DATA FILED: 7/12/96 PIRST SCHEDULED; N/A DECIDED: CASE SUMMARY; Claimant is suing for past brokerage oowmissicjns. 1/25/99 CLAIMANT'S INITIALS: RESPONDENT'S: SESSIONS: rw»T^< «.^rTn np.mt.A rv^ «T%^ p^.^A^.^f CLAIM AND AWARD DATA: CLAIM: 8393.75 PUNITIVE: * TTY FEES: DEPOSIT:

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN •ASE; ROBERT PHCFIO V. DBNNIS GOIN, OOIN & OO. , INC. , MC3M, UJZ, PATRICIA MOSCHEI^LA, OOIN & oo. , lUDC & OO. , TSLC S GOINMitWAY, IJC ATE FILED: 6/11/97 FIRST SCHEDULED; 6/18 & 19/98 DECIDED: 1/14/99 ASE SUMMARY: Maiaaer v. member dispute. Mentoer €3gcnands dissolution of specialist firm and vrLyid-up of affairs; breaches of oral andi writtei> contracts. Respondent denies the ctuurq

«-?ASE: AMERICAN STOCK EXCHANGE IN THE MATTER OP ARBITRATION BETWEEN HTRwaM iiiiaT.T.ar-R- TtwicgPFga rw THR .cmnnBTTV wBOiOiiRafai; giiMa\7-rrTgg laRfMFTT SHRRTMCi TR05ST VS. KRANCXS £.. OCfBOZ2X) DATE FILED: 5/1S/98 FIRST SCHEDULED: 2/10/99 DECIDED: 2/10/99 CASE SUMMARY: A menber y. mewtoer dispute involvixiq a claim off unpaid principal on a aan-l- arjT^'WTWTH- "-^ r'*'*-"1 igf"•"l' •~-^'^ HfBrnmrtent is TTpgiiewt-inq a rtifiminflal nf rhf» r

:ASE.: AMERICAN STOCK EXCHANGE IN TH|: MATX'KR OF ARBITRATION BETWEEN WiUl^h & Ellen IteGill v. Spear, IJeodo & Kellogg & William Bergratli, Jr. 4t ^P?-Of )ATE FILED: 12/10/97 FIRST SCHEDULED: 10/1/98 DECIDED: 10/5/98 :ASE SUMMARY: CustGrnar v. iiBifaer claim, claimant allege unsuitability and churning . •M/y//ZA^,^;^SgGiJ^^gjftP>Vi^ alleges that Bsrgrath vneiB an independoit; Atentoer of the Amex who vias not imder its super

'^ 9g-03 page 2 AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CA.SE: MICHAEa:. ABRAMOWITZ, ET AC. V. R.F. lAFFEECTY & OO. INC. AID HQIRy HACKEE. DATE FILED: 7/29/94 FIRST SCHEDULED: 12/4/97 DECIDED: 11/5/98 CASE SUIVIMLARY: Claimants instituted this artaitration againat Respondents to recover losses arising out oE investments made i-«" m..^ wants in various invBBtampgit ^^ehir^hlgw . Claimants allege that the l

JE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN lAWRENCE FRIEDMAN V. aANNEY MONTGOMERY SCOTT, INC., BygflARA MANGAH sssxS:^! OATE FILED: g/24/95 FIRST SCHEDULED: 6/3/97 DECIDED: B/25/9B '^ASE SUMMARY: ^ Member v. Meinber employee/employer dispute. C^lalmant is alleging wrongful termination and various'" elements off alleged rt 1 nn.r imina t Ipn • Reapondent'a request diamiaaal o^ claim in its entiret;y. :LAIMANT'S I

CASR: AMERICAN STOCK SSCCHANGE IN THE MATTER OF ARBITRATION BETWEEN WILLIAM H. POMEROY, III, V. OI.DB DISCOUNT CORP. & WILLIAM J. I.ENNQM. JR. ^ ^ V ^ " ^ ( DATEFIL,ED: 11/17/97 FIRST SCHEDULED: Auougfc 3 . 3 99aOECIDED; AugMa4^ 3. 199B CASE SUMMARY; Custiomer v. member' claim. Cus-fcomer'alleges Itisuf f Icien-t buying power, cliuirning and unauthoari-zad aal^ of stoclcs uTid nip*:\nnn. Rr-olcei-age fi-Mit daniea the claim.

:< • SE: AMERICAN STOCIC EXCHANtSE IN THE MATTER OF ARBITRATION BET^VEEN - V. THOMAS RENNARD >ATE FILED: 6/20/96 FIRST SCHEDULED: 12/2Q/96 DECIDED: 1/23/97 'ASE SUMMARV: Member v. member claim. Member a l l e g e s former empltsyee breached employment agreement. .^f- ^ ^•' ** Cj f" UAIMANT'S INITIALS SSSIONS; #1 • ^ RESPONDENT'S: THIRD PARTY'S INITIALS: UAIM AND AWARD DATA: >AIM: fNI

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBTTRATION BETWEEN CASE- • ^^^^^ WEINRIB V. MERRII.]:. LYNCH, PIERCE, FENNER £ SMITH., INC. MARSHA D. JONES DATEFIL.ED: 4/15/96 FIRST SCHEDULED: 12/20/96 DECIDED: 12/20/96 CASE SUMMARY: Customer v. member claim. claimant alleges unauthorized improper trading and excess eommj ««< p»r»w by V^Trolcmr and •fjrm- »Qaponci*»r»tr denied the claim. ^ ^ (^ — / (^ CLAIMANT'S INITIALS: '^^^T^ RESPONDENT'S: A ^

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Sweet and Scott D. Kuiper, Claimants, v. Case Number: 01-03408 UBS PaineWebber, Inc., Respondent. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants, Richard Sweet ("Sweet") and Scott D. Kuiper ("Kuiper"), hereinafter collectively referred to as "Claimants," were represented by Donald L. Cox, Esquire, of Lynch, Cox, Oilman & Mahan, P