AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN Cfi,sSl: ROBERT AINBINDER AND ROBERT AINBINDER 6 CO. V. JEFFREY GRAVITCH V. ROBERT AINBINDER AND ROBERT AINBINDER & CO. 4 ^Q^ 1^ OATE FILED: Sept. 29, 1989 piRST scHEDrni.B!n ^ug. 28, 1990 nEcingn August 2d, 19? CASE SUMMARY:* Member v. Member employer/employee dispute. Claimant alleges non-payiTtent of his/its share of commission funds. CLAIMANT'S INITIALS SESSIONS: \7 RES

AMERICAN STOCK EXCHAMGS IN THE MATTER OF ARBITRATION BETWEEN C.^SE : PEEPRAH GRAHAM V. SHEARSON lEMCVN HUTgON INC. ^0-n 3ATE FILED: Nov. 27, 1989 FIRST SCHEDULED Aug. 16, 1990 DECIDED Amy. 21. 1990 "^.SE SUMMARY:* Custoner v. ttentier small alaima dlt^Hjte. Claiinant alleges mishandling of her account & unauthorized trading. :i.AIMANT'S INITIALS ^Na^ :--SSIONS: ftJ RESPONDENT'S n^ THIRD PARTY'S INITIALS "-.MM AND AWARD DATA: :LAI

:ASE AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN FLORENCE FEINSTEIN v. SHEARSON LEHMAN HUTTON INC. ^ ^ 0 - 1 ^ DATE FILED: Qap< -- 12, 1989 FIRST SCHEDULED Julv 24, 1990 DECIDED July 24, 199t CASE SUMMARY:* r-n«t--Qmer v. member dispute. Claimant alleqes Respondent's "mp1"y'='*' -i-^^iipt^ f«if»*. ai-atementa and incorrect information which caused Tn"ni^y f^aTTiarjan LD—hsLT—ancO-unt. . , • , . r.LAIMANT'S INITIAL

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CUSTOMER V. MEMBER "•NSE EVELYN B. ADAMS V. PAINEWEBBER, INC. & CHRISTOPHER HODGES ^^0-lft? DATE FILED: J!larcil_i*_Laa9 FIRST SCHEDULED Feb 8, 1990 DECIDED July 18, 1990 ., «,«T,« • Claimant alleges fraud, unsuitability, negligence". B.pd and attorney contract. fees. ' Claimant request punitive damages • J "LAIMANT ' -SESSIONS: S IMTTTALS -wt2_-< RESPONDENT

-^SB: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ARCHIE C. WHITE, III, V. SHEARSON LEHMAN HJTTON & ROBERT GOLD OATE FILED: Oct 12, 1988 piRST SCHEDULED May 19, 1990 DECIDED June 20, 19 9 CASE SUMMARY;* Customer v. Member small claim margin account dispute. ^ Claimant alleges Respondent broker misrepresented the risks associated with margin trading which resulted in a debt balance. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-03370 Maxine E. Roe, Trustee U/A/D 7/22/83 Name of Respondent/Third Party Claimant Hearing Site: Tampa., Florida Charles Schwab & Company, Inc. Name of Respondent/Third Party Respondent Tangri Investment Strategist, Inc. REPRESENTATION OF PARTIES For Maxine E. Roe Trust, Trustee U/A/D dated 7/22/83, hereinafter referred to as "Claimant": Robert Dyer, Esq.,

•_,r*SE AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CHARLES DAI LEY V. SHEARSON LEHMAN HUTTON S. PETEP SPOTO %'l4 DATE FILED: May 8, 1989 FIRST SCHEDULED March 7, 1989 DECIDED June 20. 199C CASE SUMMARY:* Customer v. Member small claims dispute. Claimant alleges Respondent broker execesslvely traded account, breached ^ fiduciary duty, negligence, mismanagement of account, made unsuitable investments and breach of contract. Furth

CJASE; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN WILLIAM T. RICCI V. SHEARSON LEHMAN HUTTON, INC. AND EDWIN HUNTER,III DATE FILED: Nov 17, 1988 FIRST SCHEDULED June 11, 19 90 DECIDED June 11, 1990 CASE SUMMARY:* Customer v. member small claims dispute. Claimant alleges that broker failed to follow his instructions to execute an order to sell. CLAIMANT'S INITIALS SESSIONS: ^&2 vjfc RESPONDENT'S ^ ^ THIRD PAR

ASE: AMERICAN STOCK EXCi .GE IN THE MATTER OF ARBITRATION BETWEEN HYUNG IN CHOI V. KIDDER, PEABODY & COMPANY & ANDRE CITA ^CIO'17^ ATE PILED: 11/28/88 FIRST SCHEDULED 2/26/90 DECIDED 6/1/90 ASE SUMMARY: • ^ r^< p^rwc^3C v^ ipaniber diaoube. Claimant alleqes mawiber firm em[plpyee eaBoeodo nls autlnrlty, disregarded claimant's authorization and Instructions, and excessively traded custoner's account. Further, Claimant alleges Responden

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN -SE: Mayer Beasenberq v. Muriel Siebert 4-^0-lA \TE FILED: 11/21/89 FIRST SCHEDULED 5/25/90 DECIDED 5/25/90 -.SE SUMMARY: * Claimant alleges inproper execution of his options order. ..AIMANT'S INITIALS ASSIGNS: SX RESPONDENT'S i^l THIRD PARTY'S INITIALS .AIM AND AWARD DATA: •t„ $4,150.00 JNITIVE N/A -my FEES ^^^ =: POSIT :>STS _ $100.00