AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN ASE: Most Wanted International Corp. v. PaxneWf,bbaT- TT,r.l-,rpf,,-a^cri r.a^ -^^ ^ ^^-Ol DATE FILED: 11/6/92 FIRST SCHEDULED l/2fi/Q'^ DECIDED .2/8/93 CASE SUMMARY:* A CUBtOmer v. member small elaim« «»-bi ^-l-:^^-^on rH ap»< -«. ^ r...r^l^S „ty Putnam US Government Fwnd, Claimant haa alleoed i-hat: T^aTnhoT- f-i ^T,. ^^«p„T.rt«r,i-• .. Investment Executive executed an

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN MUMTAZ HUSSAIN V. SHEARSON LEHMAN HUTTON, INC., & WAYNE HILL ^ '=^:>-l(^ DATE FILED; 10/17/91 FIRST SCHEDULED ^/'^^/^'i- DECIDED L /-i."^ f •'>' CASE SUMMARY:* A customer v. member arbitration Involving ASTA Research « Incorporated, Stocks. Gap (GPS), Apple Computer, and Yellow Freight - CLAIMANT'S INITIALS 1 m£- RESPONDENT'S I J^>i THIRD

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Reynard, Vicky Reynard, Robert Reynard, IRA Rollover, and Vicky Reynard, IRA Rollover, Claimants v. Morgan Stanley Dean Witter Inc. d/b/a Morgan Stanley, Respondent Case Number: 01-03376 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Robert Reynard, Vicky Reynard, Robert Reynard, IRA Rollover, and Vicky Reynard, IRA Rollover, hereinafter referred to as "Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hoang Huu Nguyen, Claimant v. Thomas F. White and Company, Inc. and Thach Lam, Respondents Case Number: 00-01204 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Hoang Huu Nguyen In Pro Per Irvine, California For Respondent Thomas F. White and Michael Bolgatz, Esq. Company, Inc.: Thomas F. White and Company, Inc. San Francisco,

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE: G-BAR LIMITED PARTNERSHIP V. ROBERT M. GORDON *i>-is- DATE FILED: 11/1/91 FIRST SCHEDULED ^/3/92 DECIDED 6/5/92 RBaGEB-IDE^&~17I793~ CASE SUMMARY:* Meiabeg v. Biembag amall alaima aarbltratlei* tnvelving a . limited partnarahin dlspu-te. CLAIMANT'S INITIALS SESSIONS: 1 «• 2 RESPONDENT * B THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM S.f.^-\-\A .A

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE : DONALD O'SHAUGHNESSY V. FAHNESTOCK & CO. INC., JEROME RICHARD & CHRIS CARROLL ^ 9P-- H DATE FILED! 9/6/91 FIRST SCHEDULED 6/5/92 DECIDED 6/S/92 CASE SUMMARY;* Claimant v. menJaer artaitration. Claimant alleges that broiker'age firm fadLled to sell Pepsloola stock and reqpest an investlga^tion. CLAIMANT'S INITIALS SESSIONS: 1*^ ;^ ' RESPONDENT'

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE : JOHN T. WELLS. D.B.A. CANYON PARTWEHR & BRK.TAMTIV. r^iyMMABATO ^7 aOHN P. ARMATO ^ ^^- 1^^ DATE FILED: 12/10/91 FIRST SCHEDULED 4/6/92 DECIDED 5/14/92 CASE SUMMARY; - IndVStrV Claimant v. member claim- Lc^aa^T- i« ,.„-lr.g •!,.«»««. f^, back lease pavmants . CLAIMANT'S INITIALS RESPONDENT'S SESSIONS; Decision Baaed On The Plea< ;^-i ngq. THIRD PARTY'S INI

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE : FENCHURCH SECURITIES. INC.. V- ROMALD SHIMKtIS DATE FILED: 11/4/91 FIRST SCHEDULED 3/26/92 DECIDED 4/30/92 CASE SUMMARY: * A Member v- membci- airV.< •-i-a-H fin Claimar.«- •anny,ag >..,-.aa>^h r^r «-....^ oromi, notes bv tha and^ a^ijn. / CLAIMANT'S INITIALS SESSIONS: 1-2 RESPONDENT .-—-< LV- THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CL

CASE: AMERICAN STOCK EXCHANGE XN THE MATTER OF ARBITRATION BETWEEN AMERICAN AGRI-BUSINESS OORFOgRATiaN V. BEAR, STEARNS & CO., INC. S STEVE ANTEBT r'jL^ -tji^ ^ < y>-/^ DATE FILED: 6/25/90 FIRST SCHEDULED A--yi x.9-> - o^y DECIDED i»/22/92 CASE SUMMARY: * r-lM-iiT».r.-l- ^ n o y a a 1-nnnar.h nf r..nin»f«.^«- m,r.A •i.-t-.s annnfiini- T-ogai"d-lTi^ PI atrnm-Thwin gtyy^lf '^e.Xute-^^ aiJUH CLAIMANT'S

CASE; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN LAWRENCE A MOOR & PRUDENTIAL-BACHE, INC. V. JAMES HAFFNER DATE FILED: m/in/on FIRST SCHEDULED 4/21/92 DECIDED 4/71/92 CASE SUMMARY; * Member v. Member a^rhiti-atlnn. r»< apii4-.. r^wv a 4-.-...^..a,.-n ^., recrardinq Intel Corp. opt-lr»«H ,»ff,.r>-t-.»d r^r. «-v,«. yir^^r- r^r 4-^^ Exchange. CLAIMANT'S INITIALS P'^SSIONS: 1&2 ^ RESPONDENT'S ^ THIRD