vSE: AMERICAN STOCK EXCHANGE > IN THE MATTER OF ARBITRATION BETWEEN FIRST OPTIONS OF CHICAGO V. LAWRENCE ROTH & SHASTA SECURITIES il^^O'JL^ \TE FILED: 11/27/89 PIRST SCHEDULED NOT SCHEDULED DECIDED 11/19/90 ASE SUMMARY;* Claimant alleges breach of promissory note and breach of an options market maker agreement. :LAIMANT'S INITIALS RESPONDENT'S SESSIONS: Hearing waived by Claimant. THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM $6,303

t J CASE: AMERICAN STOCK EXCHANOE IN THE MATTER OF ARBITRATION BETWEEN FOSSETT .CORPORATION. V. ERIC ROSS ii^ o '^^0';ii /^y(y^ DECIDED Nov 15, 199 DATE FILED: March 13, 1990 pxRST SCHEDULEDNov 15, 1990 CASE SUMMARV;* Member v. Member dispute. Claimant alleges Respondent owes an account deficit. CLAIMANT'S INITIALS SESSIONS: RESPONDENT'S c i ^ THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM S253

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: JAFPER QAMAR V. SHEARSON LEHMAN HUTTON, INC. , DAVID DAVIS & JOHNATHAN BROOKS ^(^O'Xlfi DATE FILED: March 20. 1990FIRST SCHEDULED NOT SCHEDULDclJJ DECIDED Nov 5, 19 90 CASE SUMMARY:* Customer v. Member small claims dispute. Claimant alleges unauthorized sales of options in his account. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: Hearing waived by Claimant. THIRD PARTY'S INITIA

AMERICAN STOCK EXCHANGE • IN THE MATTER OF ARBITRATION BEO-WEEN CASE- HEIGHTS PAP.TMSRB I .AND HSIGHTS PARTNERS, II V. K.B. ASSOCIATES AND KEVIN BLACKBURN ^ ^D'Jl6' DATE FILED! 8/23/90 FIRST SCHEDULED 10/19/90 DECIDED 10/19/90 CASE SUMMARY:* Member v. member claim. Claimant alleges that Respondent has failed to pay a debit balance for brokerage services. -.- - CLAIMANT ' S INITIALS: SESSIONS: a RESPONDENT'S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred and Zhila Rabban, Claimants v. Salomon Smith Barney Inc. and AH Afshar, Respondents Case Number: 01-03374 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Steve Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondents: Sean J. Coughlin, Esq. Salomon Smith Barney New York, New York CASE INFORMATION

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN \ ASE; PIRST OPTIONS OF CHICAGO V. MICHAEL DILELLA, DOUGLAS VAIT HORN & D&M INVESTMEN>t5 )ATE FILED: 4/2/90 FIRST SCHEDULED 10/10/90 DECIDED ^°/l°/9° :ASE SUMMARY:* Member v. member claim. Claimant alleges breach of •the firm's options market marker agreement by the Respondents and breach of two promissory notes. CLAII4ANT'S INITIALS ^JTC* SESSIONS; RESPONDE

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ASE: FTRgT nPTIONB OF CHICAGO V. THOMAS GITTO & REVCON PARTNERS DECIDED ATE FILED: 11/27/89 FIRST SgHPDULED10/9/90 ASE SUMMARY:* Member v. member claim. claimant alleges breach of a promissory note by Respondent god breach of azi options market maker agreement. 10/9/90 :LAIMANT'S INITIALS ^K?I^ RESPONDENT'S 3'" ".IONS: : THIRD PARTY'S INITIALS :LAIM AND AWAR

AMERICAN STOCK EXCHANGE • IN THE MATTER OF ARBITRATION BETWEEN f.^SE: JACK & NINA BUTTERFIELD V. KIDDER, PEABODY & CO. AND JOHN CHENAILLE ^0-^9^ DATE FILED; 2/18/88 FIRST SCHEDULED 6/28/90 DECIDED 10/1/90 CASE SUMMARY: * f7T aimant alleges unauthorized options trading and/or churning "f t-Hgj-r- r!u-.»l-ntner- account. •. |/Q[-A RESPONDENT'S^S< /2^_!l THIRD PARTY'S INITIALS N/A- CLAIMANT'S INITIALS SESSIONS: 1 & 2 CLAIM AND AW

CASE AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ROBERT AINBINDER & CO. V. SILVERMAN & DEVINE ASSOCIATES, HOWARD SILVERMAN & RICHARD DEVINE DATE FILED: 9/27/89 FIRST SCHEDULED 5/11/90 DECIDED 9/25/9Q Claimant seeks unsecured debits CASE SUMMARY:* Member v. member dispute. and indemnification from Respondents. Respondents have asserteda counterclaim for frivolous litigation and have requested attorney fees. DL?SI>

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN C'ilA'^I.ES P- RF-nO V. SHEARSON SCKi LF.HMM3 HI HtlTTQN. IMC- AND DAMIF.L CHCWLEV ^T? i-:^.T=; FILED: June 5. 1989 FIRST SCHEDULED Sept. 13. 1990 DECIDED •:.-.SE SUI'S'lARY: * Customer v. Member dispute. Claimant alleqes unauthorized -rLintsactions. inisrepresentatiQn, breach of contract, unsuitable InvestmentB. excessiVB •--.;tUncj and margining of account without his approval. Attorney