"VSE: AMERICAN STOCK EXCHANGE IN THE NfATTER OF ARBITRATION BETWEEN MITCHELL LEVINE S. RALLY SECURITIES, INC. V. M. GREELEY ft B6C PARTNERS 11/4/96 DECIDED: 11/20/96 DATEFIL.ED: 7/12/96 FIRST SCHEDULJCD: CASE SUMMARY: Former meinber v. meinber claim. Claimant, la Bectki-ng fco recover oaat cowtmlaalon paymenta. Respondent alleges Clalman-t •i>-^l^».««.i^ 4-hom f-rnm payment. ^ ^ / a - / ^ •CLAIMANT'S INITIALS; JwS

CASE: AMXRICAN STOCK EXCEANGI IN TR MATTER OF ARBmUTION BETWIIN aOGBR B8ASWELL V. A.G. KDWARSS, INC., 6 JIM MOTS Page 1 DATE FILED: 3/3/95 FIRST SCHEDULED: 8/21 i 22/95 DECIDED: CASE STJMMARYi Cu'tomer v. m«Bber IRA aoaoiint^ipute. Claiaant ailagaa allat diaaatiafaction with invstaent pTform«nc9« Raapondent recneat diamijisal at elaiat. CLAIMANT'S DOTIALS:.. SESSIONS: •l*^ RBSPONDINT'S: THIRD PARTY'S INITIALS: CLAIM AND AWARD DAT

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRA'nON BETWEEN CASE- MITCHELL LEVINE « RALLY SECURITIES V. SUSAN BENDER DATE PILED: 7/12/96 FIRST SCHEDULED: 11/5/96 DECIDED: 11/5/96 CASE SUMMARY: Former meinber v. member claim. Claimant is seeking to recover past commission payments. Respondent denies the claim. fii\^L CLAIMANT'S INITIALS: /yfg l^ RESPONDENT'S: ^/IfP THIRD PARTY'S INITIALS:. SESSIONS: r'S:_^JfD_ CLAIM AND A'WARD DATA: CLAIM: $

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: GEORGE APOSHIAN V. KIDDER, PEABODY & CO. INC. BATE FILED: 11/1/95 FIRST SCHEDULED: 8/26/96 DECIDED: 10/14/96 CASE SUMMARY: customer v. member claim regarding Polaris 5 limited Partnership. CLAIMANT'S INITIALS: RESPONDENT'S: SESSIONS: Decision based on the pleadings. THIRD PARTY'S INITIALS: CLAIIVl AND AWARD DATA: CLAIM: $7>000-O0 PUNITIVE: /* . . Y

:ASE : AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN EMERY K. BRIDGE, TRUSTEE OF EMERY K. BRIDGE TRUST V. KIDDER, PEABODY & CO., INC., ROBERT C. HECHT & JOHN DOE ^^(jp-id >ATE FILED: 12/27/95 FIRST SCHEDULED Q/l/^S DECIDED 8/21/96 :ASE SUMMARY:* A customer v. member limited partnership dispute involving Polaris Aircraft Income Fund. V. Respondent seeks dismissal of claim. • :i.A IMANT'S INITIALS RESPONDENT'

CAoE; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN NEIL DAVXES AS TaCECUlXDR FOR OSIB ESTATE OF EXXKIARD W. DAVIES AND IHE ESTATE OF EDWARD W. DAVIES V. RAUSCHER, PIEE«CE, REENES, INC. V. MARK PLATT *^(fi'-03 DATE FILED; 11/11/94 FIRST SCHEDULED ^/-2-0 /»^ DECIDED t/'-'ii^ /fiM!/x*e»^'c/.wiw W CASE SUMMARY:* Custoner v. Menftier arbitration claimant alleges his trust fund account/\ - - • - - wa

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ^Sj.= . L. WILLIAM ALTER, JR. , V. AEGIS PARTNERS SPECIALIST JOINT ACCOUNT, ISRAEL A. ENGLANDER, ENGLANDER CAPITAL CORPORATION, MARTIN WEINBURG & DENNIS POSTER DATE FILED: 12/13/95 FIRST SCHEDULED 5/22 &5/23/96 DECIDED May 23, 1996 CASE SUMMARY:" Member v. member c^laim>'i Claimants argue that Respopdents breached the terms and conditions of an August lO, 1990 arbitration award. Respon

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN 'DEBRA KYLE & PAUL ARTHUR SMITH V. PRUDENTIAL SECURITIES, INC. ^ ^U - iD^ 3ATE FILED; 5/5/95 FIRST SCHEDULED 10/27/95 DECIDED 4/15/96 JASE SUMMARY:" A customer v. member dispute involving Polaris Aircraft Income fund IV and Eagle Insured Limited Partnership I. Claimant alleges unsuitability and misrepresentation in the sale of these securities through oral represent

CASE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ANNE FLEISCHMANN V. JOSEPH CURRERI r-.^^ -Oi **- '?< - /^ 9/28/95 DATE FILED: CASE SUMMARY:* Lessor v. 12/14/95 FIRST SCHEDULED j-'^i J--* i ^=> DECIDED 12/15/95 lessee dispute. Lessor is suing Lessee for failing to pay seat rental fees. Lessee acknowledge! monies are owed. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON THE PLEADIN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William Lee Rust Case No. 01-03400 Names of Respondents John L. Dziubela Continental Broker-Dealer Corp. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For William Lee Rust hereinafter referred to as "Claimant": Charles A. McMurry, Esq., Tallahassee, FL. For Respondents John L. Dziubela ("Dziubela") and Continental Broker-Dealer Corp