AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: USI Af«ARI V. SUSQUEHANNA INVESTMENT GROUP, JEFFREY DUBOWY & MAREK BAZNOB- DECIDED 3/26/92 DATE FILED: 9/26/91 FIRST SCHEDULED •k/O.n/^-3 CASE SUMMARY:* A member v. memhei- wmaTi ,^T«iT«o ^^,p.,.K„ ^>.„^^„•8n^ „y> ortlon trade in Columbia Gas fCG"^ CLAIMANT•S INITIALS SESSIONS: ^ RESPONDENT * s ^ THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM $3.750.00 PUN

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: FENCHTTRCH fiKr.TTRITTES - TlffC! . ^ V- MTfTHATBT. jgfMifT.ftW TtCn fiKt-TTRTTTES r Tlfff! ., , V. MT^ DATE FILED: 9/23/a3. FIRST SCHEDULED ?/»A/Q? DECIDED 3/ 2^^92 CASE SUMMARY; * Member v. mftmbpr arbi-hra-Hon . oi »< ...»>.«• aTT^^,.>= *•!..««- pygp^..s>i.^.-i. and—£pgmer member—1B—^T< «^«.f J..-.! «- < ^TI « T-«.p..yw«nw*- ^,^«-.» RESPONDENT'S THIRD PARTY'S

:ASE; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN Louis C. Anderson v. Dean Witter Reynolds, Inc. and Richard Dimare H )ATE FILED; fi/12/91 FIRST SCHEDULED 3/19/03 DECIDED ^//yrc- :ASE SUMMARY:* A customer v. member margin e«T1 rtispute ^nxrr>^«^Tl^y •T^T^.S Interoable Investors LP Class A Units. "LAIMANT'S INITIALS t-.-'^ SESSIONS: ^ ^w* Q RESPONDENT'S '.^' THIRD PARTY'S INITIALS CLAIM AND AW

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03375 W. Stewart Swain L.P. Herzog Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Robinson-Humphrey Company, Inc. Nature of the Dispute: Customers vs. Members, REPRESENTATION OF PARTIES For W. Stewart Swain ("Swain") and L.P. Herzog ("Herzog"), hereinafter

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: RODGER T. HAWTHORNE V. DEAN WITTER REYNOLDS, INC. DATE FILED: 1/n/.aO FIRST SCHEDULED 10/14/91 DECIDED 2/10/92 CASE SUMMARY:* Customer v. Member arbitration. Customer alleges that firm cancelled an open option order without his permission. CLAIMANT'S INITIALS RESPONDBNT•S THIRD PARTY'S INITIALS SESSIONS: n^^A^*r..r% p-..^.q ,^., ^-^^ "1'-w-ain'jB . CLAIM AND AWARD

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN BRYON GOLDEN V. / > ^ -z?^ JALAL *h . YASSAEB ^ > - ^P f C^SE: DATE FII.ED: Jan 25, 1991 FIRST SCHEDULED April 23, 1991 DECIDED Mar 2, 1992 CASE SUMMARY:* customer v. member claim. Claimant alleges loes from ^ options short sale. ; :LAIMANT'S INITIALS sE.. XONS: 1-4 # RESPONDENT•S 1/ . THIRD PARTY'S INITIALS =LAIM

CAsjii: AMERICAN STOCK EXCHANGS IN THE MATTER OF ARBITRATION BETWEEN MARXB S. HANCMAM V. SHBAE< SON T2HMAN SBCOHBRS INC. AND PHZUCP PPTCHFOK} C.st^-CfL"^ "^ >'C3> DATE FILED: 11/8/89 CASE SUMMARY: * A customsir v. FIRST SCHEDULED 10/28/91 DECIDED 1/31/92 etcbltration dlsputa involving mutual funds. Claimant aHeqes that the Dtllltles Inoana Fund, American capital Govarnroant Securities Fund, Eatton Vance Gavemmant securities Fund, First Investors

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATIOM BETWEEN 'rE: KENNETH GASPARD V. PRUDENTIAL-BACHE SECURITIES, INC., & GREGORY DUNNAWAY V. MORRTS R 7QE GASPARD A^ < ^ ^ ^>'09- DATE FILED: 9/11/90 FIRST SCHEDULED 1/1S/Q7 CASE SUMMARY:* A Customer v. MemhAr flr>>^^^rfl^^nn ri^Qp11^«. alleging unauthorized trading ^n ITTH nnrn1m^ DECIDED ' 1/15/92 •CI flimflnr. ,J fi RESPONDENT'S THIRD PARTY'S INITIALS CLAIMANT'S INITIALS

CASE: AMERICAN STOCK EXCHANGE IN THE' MATTER OF ARBITRATION BETWEEN MARIO & CELIA lACOBELLI V. MERRJCLL LYNCH, PIERCE, FENNER & SMITH, INC. S CHESTER ARNOLD, JOINTLY & SEVERALLY s ^^o^ ::3&^ Jf* DATE FILED: Mav 31. 1988 FIRST SCHEDULED 6/19y^0 DECIDED 1/6^2 CASE SUHMARY:• Customer v. member dispute. Claimants allege respondent broker mishandled transactions and Called to disclose total cost of transaction on a timely manner, clai

CASE: AHERICAU STOCK BXCKAHGB m TKZ m,TTER OF AUBZTBATIOR BSTWEEN MORIEI. SI6B8IIT ft CO. v. PAOI. ASD NARY PONMMmr it'^ti'X^ SATX FIX«D: CASE 7/14/88 FTSST SCHSDaZ.ED 2/16/89 DECIDED 11/28/90 V. Cuataaar optiona •fcraaaaotian dlspu'ba. Member £iriii Clainani: allagaa that Bsspondsat euatomsr(•) affscted optiona trades which •sultad in s debit balancs. fim olaimuxt is rsqusstlng attorney £sas. CSAZNMR'S XaZTXAI.8