AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN C ^SE • DANNY LEE EMERSON V. SMITH BARNEY, INC. , & ALDO DALLA-VECCHIA DATE FILED: 7/14/95 FIRST SCHEDULED 11/10/95 DECIDED 12/11/95 CASE SUMMARY:* Customer v. member claim. Claimant alleges firm failed to provide him with information on BELMAC and Depreny stock. Respondent denied the claim. • A CLAIMANT'S INITIALS RESPONDENT'S THIRD PARTY'S INITIALS SESSION

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ,ASE: ROBERT E. MAGUIRE V. KIDDER PEABODY & CO, INC. & PAINEWEBBER INC. 4:^^U-OLP DATE FILED: S./.1.5/»S FIRST SCHEDULED T i /i ^/Q«^ DECIDED 4/15/96 CASE SUMMARY: * An employee/emplpv^r dispi^te involving claimant's eligibility to participate in the Deferred Incentive Bonus Plan ("DPB Plan") and firm(s) refusal to transfer General Electric stock options. Respondent (s) defends that cl

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN MARTIH FEINS V. MTOIAEL FRANK « ROCKRraVKSN M (iu- finCURITIES, Q^ INC. ^ATE FTLF.D: 12/4/95 FIRST SCHEDULED 3/2/96 DECIDED 3/22/96 :ASF: SUMMARY:* A Menfaer V. Menfaer Lessee/Lessor Lease Agreonent analls claims arbitration. CLAIMANT'S INITIALS RESPONDENT'S _ HEARING DECISION BASED ON THE PLEADINGS. THIRD PARTY'S INITIALS SESSION

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN VICTOR & NORMA HECHT V. PRUDENTIAL SECURITIES PROPERTY OF AMERICAN STOCK EXCHANGE ^^i^-(gl3 DATE FILED: 3/13/95 FIRST SCHEDULED 3/1/96 DECIDED 3/1/96 CASE SUMMARY:* Customer v. member arbitration. Customer alleges unsuitability and misrepresentation in the sale of PolSris Aircraft income Fund III, Respondent argued case was time—barred. *and Summit: Tax Bxem

page «l AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN PHIL * JUDY HARRIS V. SHEARSON LEHMAN.BROTHERS, INC. GLENN FISHER, NICK CONEO & ROBERT LEBEN DATE FILED: 4/19/94 FIRST SCHEDULED 10/11/&12/93 DECIDED 2/26/96 CASE SUMMARY;* CUStomfir V. memhi»r. Claimant a^lleqes fl;a^dJunauthorized trading, ^_ mi Hrf*pr^i=i«»ntatiQn and churning of their account. Respondent — . denies the claim and states that Claj.mant was sophisticat

CASE : AMERICAN STOCK EXCHANGE IN THB MATTER OF ARBITRATION BETWEEN 'LEK SCHOENAU & CO. V. MIRACLE TRADING PARTNERSHIP, GARY DEAR AND SCOTT POSNBR # "^U-Ol DATE FILED: 6/12/95 CASE SUMMARY; Member v. 10/9/95 DECIDED 2/15/96 FIRST SCHEDULED member dispute. Claimant a $2 broker, is suing for payment of past due bills for use of hand-held computers. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON THE. PLEADINGS,

CASE ; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN REYNDERS, GRAY S CO., INC. V. BEAR STEARNS & CO., INC. & FURMAN SELZ d a ^ ^iL *• ^^- Tj^ DATE FILED: 10/21/94 FIRST SCHEDULED 3/27 &3/28/95 DECIDED CASE SUMMARY:* A member v. member dispute. Claimant alleges failure of ewcout broker and clearing agent to record a sale transaction of $50,0 S&P 500 Depository Receipts ("SPDR") which lead to an unsettled short

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: CAROL WOODESON V. DEAN WITTER REYNOLDS (\a^ rr^ ^ ^sr^ / DATE FILED: 4/21,/fl' FIRST' SCHEDULED W/^n/Q«i DECIDED 10/25/95 CASE SUMMARY : * < -nB«-r^mar- IF wittmltnT- i^nrtimnr^^ < «-< .=.» .q j np.^*-^ . l-i.iB«-r.in»T- ..T1«fy«.B *--haf-. in«»Tnh.°n' firm and brolcer faj-led to follow h±B I n s t r u c t i o n s t

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lisa Almy and Lisa Almy, IRA, Claimants v. American Investment Services, Inc. and Stuart Chamberlin, Respondents Case Number: 01-03398 Hearing Site: Boca Raton. Florida REPRESENTATION OF PARTIES For Lisa Almy and Lisa Almy, IRA, hereinafter referred to as "Claimants": Adam S. Doner, Esq., Gordon & Doner P.A., Palm Beach Gardens, Florida. For American Investment Servi

SE: AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN AUDREY D. WALLACE V. KIDDER PEABODY & CO., INC. ^ ^S^Jf^ DATE FILED: 3/8/95 FIRST SCHEDULED 7/27/95 DECIDED 9/27/95 CASE SUMMARY:* Customer v. member claim. Claimant alleges unsuitability and misrepresentation in the sale of Polaris Aircraft Income Fund VI, a limited .partnership. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: • DECISION BASED ON THE PLEADINGS.