AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ^SE: CHRIS SCUMAS V. PRUDENTIAL SECURITIES, INC. /l^i* rcj. **- fs-/^ DATE FILED: 2/21/95 FIRST SCHEDULED 9/1/95 DECIDED 9/2S/9«^ CASE SUMMARY:* Cws^jomer V. memhftr claim. maiTnan-t-. anarj..^ .^»^a..4 4-«v%< m-y ^^A miarepreBantatJ-on In ••ha «j« 1 g. nf 'Pn^:nr^^ a ^ v.-.^. «'*- Tr^^nm^ T?„nH iy.ji. .ja. limj-ted pnri-nftrBblp. CLAIMANT'S INITIALS RESPONDENT * 8

~ SE : AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWFT^N BEAR^ STEARNS & CO., INC, V. THOMAS MAOLI da^s^ < ^ ^ ^< g^/^ DATE FILED: 4/21/93 FIRST SCHEDULED 9/21/93 DECIDED 9/11/95 CASE SUMMARY:* Member v. Customer claim. Claimant is suing for a debit balanoai in the customer's acount. The Respondent has a coiint«r-.^l«< Tn for defamatiori of character and unaytthpriaed trafle.B., CLAIMANT'S INITIALS SESSI

AMERICAN STOCK EXCHANGE, INC. IN THE MATTER OF ARBITRATION BETWEEN DONALD & BARBARA J. DUKES, CLAIMANTS, -and- SHEARSON LEHMAN BROTHERS, MARILYN CARTER-LARSON and SMITH BARNEY, INC., RESPONDENTS. DECISION OF ARBITRATION PANEL The Arbitration Panel, comprised of Mary Fay, George A. Abbott and John C. Burke, Chair, unanimously finds in favor of the Respondents and against the Claimants. The Arbitration Hearing was held on Augus

AMERICAN STOCK EXCHANGE IN THB MATTER OF ARBITRATION BETWEEN SE; DATE FILED: i^CASE SUMMARY: * MATTHEW BELKIN V. BERKELEY SECURITIES CORPORATION VNp BRIAN WALKER .3 1/2-^/94 FIRST SCHEDULED 4/6/95 DECIDED R /I R /q«^ rusi-nmer ..v m«»inir>«»T- arbitration. Claimant is alleging ^f^_v^.yj- fiTTTl ^^A v.r-f^lfg»T- fn\-\w^A «-< -> p«T-ri1riapa atiares of Grand TOVS StOCk and , n1*- rr--s*^° *^"' ^,,..4-..«««.^ Respondent member firm argues th

AMERICAN STOCK EXCHANGE IN THB HATTER OF ARBITRATION BETWEEN FREDERICK C. KOMPASS V. ^MITH BARNEY SHEARSON INCORPORATED AND JESSE BROMBERG Z ^g^- /C^ DATE FILED: 4/5/94 FIRST SCHEDULED 7/21/94 DECIDED 7/31/95 CASE SUMMARY:* Customer v. member claim. claimant alleges that firm put his IRA account into Shopco Regional- Malls LP and Jones Growth partners LP, •speculative limited partnerships." F 5A rgues that funds were

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN THOMAS P. QUINLAN V. OLDE DISCOUNT DATE FILED: 2/21/95 FIRST SCHEDULED 7/12/05 DECIDED 7/29/95 CASE SUMMARY:* Customer v. member claim;. Claimant alleges that firm did not execute his sell order for Ultrak stock. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON THE PLEADINGS. THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: < IM $1,012 .00 PUNITIVE ATTY

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN iSE: HEI.T.. DAVIES AS EXECU-TOR FOR THE T^STATTJ! fiir Trnwawn W nn\rrjr.R aNir> THE ESTATE OF EDWARD W. DAVTK.q V- pRITDENTTAT. gKrTTWTrp TTCg nvir- DATE FILED: 11/11/94 FIRST SCHEDULED 5/15 &S/16 DECIDED 7/13/95 CASE SUMMARY:* Customer v. member arbitration. Claimant alleges his trust account was churned, overtraded and overleveraged in unsuitable securities by "brokerag

•>E: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATXON BETWEEN GORDON R. & STELLA UNWIN V. PRUDENTIAL SECURITIES, INC. Z' DATE FILED: 2/8/95 FIRST SCHEDULED 5/9/95 DECIDED 6/21/95 CASE SUMMARY:* Customer v. member arbitration. Claimant alleges unsuitability and misrepresentatibn in the sale of limited partnership Polaris Aircraft Income Fund IV. CLAIMANT'S INITIALS RESPONDENT'S _ SESSIONS: DECISION BASED ON THfe PLEADINGS.

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ROBERT MATTINGLEY V. SMITH BARNEY, INC. DATE FILED! 1/27/95 FIRST SCHEDULED 5/9/95 DECIDED 6/21/95 CASE SUMMARY:* Customer v. member claim. Claimant alleges that firm did not inform him of a rights offering in U.S. CSellular Corp that stock and- breached its duty to him. Claimant was timely informed of ''elected not to exercise nor sell the the Firm offer:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard T. Gillis (Claimant) v. Gruntal & Co., L.L.C. and Peter Siamas (Respondents) Case Number: 01-03386 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Howard T. Gillis ("Gillis") hereinafter referred to as "Claimant": Thomas P. WiJlcutts, Esq., Thomas P. Willcutts & Associates, Hartford, CT.