CASE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN FIRST ALBANY CORPORATION V. DR. DAVID BLISTBIN /C^sSfc -rC^t ^ ^ 3 - id DATE FILED: 12/28/92 FIRST SCHEDULED 6/24/93 DECIDED 6/24/93 CASE SUMMARY:*A member v. customer small claims arbitration dispute involving -g^ i^^^yh^" American-Telephone S"a;eleciJ.auli JUlV 40 calls- Amqen inc. < yf-^uly 50 call options. Claimant is alleging customer owes an o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CA«E:01-03378 H&R Block Financial Advisors, Inc., claimant vs. Christopher S. Saltzman, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondent appeared Pro Se, Park Ridge, IL. DATE FILED: June 26, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his account that he created when the check he made to

PAGE #1 AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ASE* '^^*^ SECURITIES A LIMITED PARTNEEtSHIP, SKJ, INC.; ERMIN GOOELSKX & STEPHEN WALLE31STEIN V. RICHARD CSSIMONEA. RICHARD DESIMGNB V. SUTTON If PARTNERS AND STEFH^i WALLENSlXiTN /^ad^ •:1Z:L'^ ^ 3 ' 0 ^ ATE FILED: 11/1/90 FIRST SCHEDULED 12/3 & 12/4/92 DECIDED 6/9/93 ASE SUMMARY: * A member v. member arbitration iTOvolviTie a Limited Partnership Agreement

PAGE 1 AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN LAUREN SLAFF V. PAINEWEBBER, INC., & ROBERT TEITELBAUM 6 LADENBURG, THALMANN V. DAVID SLAFP/THIRD PARTY-RESPONDENT ^s-oe? ATE FILED! 5/27/92 FIRST' SCHEDULED T 3/34/9? DECIDED 6/4/93 ASE SUMMARY:* Customer v mf>mher;nrn"ilT-rfH-l nn f^ia-imairn- aii..g«t.= «-v..».t- p.^gpori'i^-ant : brokerage fii-m and hT-r>lc«r-atfii=» -F-i^w. ^nA w^-^v^^ r^:,.y^j^A .~j^,„^l^y ^-^ )-..,

AMERICAN STOCK EXCHANGE XN THE MATTER OF ARBITRATION BETWEEN CASE: WILLiaiM & GLOSUA HIMFHREYS V. DEAN Wl'lTJSR BESOKILOS, INC. , & RQBESCT KOQP .oiSje. DATE FILED: 9/24/92 FIRST SCHEDULED 3/9/93 DECIDED . 5/14/93 CASE SUMMARY:* C^fft^TT^WT Vi nStiber arbjtrflltlnn. Claimanta alljm,. unaiii«-a».1^1A^tv. naaljgiants ana iii1aremnaagntal-< «« gTagarTfljJTiq rir^pion T^aalth Mgn-4-,p»,-,iB of amer< /^ y.< m^^|p^ Partnership. C^AI MANT'S INITIA

:ASf; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN aOB^ERT A. DUI5 V. MERRILL LYNCH, PTKRCE. FET«aK^ ^ ^MT^K . .K>^ DATE FILED: B/28/92 FIRST SCHEDULED 1/29/93 — DECIDED a/gfi/g-^ CASE SUMMARY:* Customer v. raembejr ar^i t r a t i o n . riaimani- ^-^^^^p^a >-».^K„.-„^^,,, ^< =>^ $10,000 logs on payou Steel and A ^ » ^ 4 .^ ^laaica o.^^,. RXSFONDBNT'S THIRD PARTY'S INITIALS •r

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN .SE: ERIC & STEPHEM PLflCE V. PAINEWEBBER, IMC. , S ROBEtCT SULLIVAN {\a£^ '•]::JL ^ ^s-os^ 3 ATE FILED: 10/26/92 FIRST SCHEDULED 3/10/93 DECIDED 3/15/93 C A S E S U M M A R Y ; * r-.igJ-r-mnaT- •»,. TtiBmbm- MT-h-8»-r-j»< -4fTir» r-1a< «g.w4- » n . biiVTriq ARf^O SfTOi-on b\7 h< a bmcViair. »e that he i< iag diiped Into C

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN "ASE- BARRY & DONNA MARON V. PRUDENTIAL-BACHE SECURITIES & SCOTT SCHULMAN 3ATE FILED! 1/15/92 FIRST SCHEDULED 10/23/92 DECIDED 3/11/93 A customer v. member arbitration. Claimant alleges ;ASE SUMMARY:* churning, negligent conversion of securities and misrepresentation regarding his purchase of Krupp Government Income Trust securities and U.S. Treasury (zero) strips. CLAIMANT'S INITI

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN DAVID HUTTON V. MERRILL LYNCH, PIERCE, FENNER & SMITH & DOMINIC TOMARJQ >ATE FILED: 11/28/88 FIRST SCHEDULED 11/2/90 DECIDED 3/31S4/1/9 3 :ASE SUMMARY;* Customer v. member arbitration dispute involving a cash management account purchasing shares of uncovered Reebok International Limited stock options. claimant alleges mismanagement and wrongful conduct claims. CLAIMANT'S INITIALS S

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE: ZEKX X. OMAR & THE OMAR CORPORATION V. SHEARSON LEHMAN BROTHERS r^^ -r^. ^ ^2>-os- DATE FILED: 8/8/91 CASE SUMMARY: • Customer v. member arbitration involving unauthoriaed transactions and unsuitable investments, by purchasing securities and optiona on margin in light of claimant's investment.objectives. ^ A ^ rsx-in JUHA e.-lsti i€-< f a C^tftrtd^'-«y**"^ et^«