SMALL CLAIM DISPUTE CASE: IN THE MATTER OF ARBITRATION BETWEEN MARK IMBROGNO V. SHEARSON LEHMAN HUTTON INC. and BUDDY METH 3ATE FILED: 3/1-t/Hq FIRST SCHEDULED Sent. 25. 1989 PKrTPien gepfc. 25. 1989 ::ASE SUMMARY : * customer v. Member dispi^te. ClSilmant allesrea member fiym mishandled his account. CLAIMANT'S INITIALS #1 SESSIONS: ^ T RESPONDENT'S Respondent (firm) £i^(A^ THTRO PARTY'S INITIALS :LAIM AND AWARD D

AMERICAN STOCK EXt. oE IN THE MATTER OF ARBITRAT. i4 BETWEEN "SE: GRUNT AT. R CO. , TtKiaRPflRATRn v. .Tosppp SCHWARTZ ^-g^- lo ^TE FILED: -TAM- gil^ TQq? FIRST SCHEDULED DEC. 9. 198 H DECIDED SEPT 12. 1989 \SE SUMMARY: * Memher .v. fiiai-QTn«.r- optionw tr-ansaction dispute., Meiqber firm Lajmant alleges that Respondent customer effected options trades on margin T-i r!h »-Qs\ilted in debit balance. Member firm Claimant is requesting attorney feet '

tSE; AMERICAN.STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN VIVIAN ANN CABDIA V. UURENCE POIA!PCHB^( ^^^-0^ Jan 5, 1989 OECIDED Auguat 25, 19B9 ATE FILED: June 24, 1989 FIRST SCHEDULED ASE SUMMARY!* BfcnajBc v. Member dispute. Claimant aXlegae tace««3h of limitad artnerahip agreement and request attorney fees. LAIMANT'S INITIALS SSSION: ^ •X RESPONDENT'S THIRD PARTY'S INITIALS N/A ;.,AXM AND AWARD DATA: .IM $16,250.

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN BRENDA BERGMAN V. JOSEPTHAL S. CO. < «t-^^-0^ KILED: SUMMARY:* 7/11/88 FIRST SCHEDULED 7/19/89 DECIDED 8/17/89 .SE SUMMARY:* naimant allaoes failure to follow her InstTVptlona to -•._ L1 shares of stock. Claim Includes request of $50,000 in punitive •S:z:r.acjGs against the firm for knowingly giving false advise to the claimant. .-.TMANT'S INITIALS Q. S S

IN THL M.--:. E'-? GF Ar ."< CH.6.Ni1Ji .j.^ M BETWEEN :ASE: JAMES CHAMBERS V. A.G. EDWARDS & SONS, INC ^^- 0^7 3ATE FILED: 3/17/89 :ASE SUMMARY:« FIRST SCHEDULED DECIDED RESPONDENT'S THIRD PARTY'S INITIALS CLAIMANT'S INITIALS SESSIONS: Arbitration based on the pleadings submitted to sole arbitrator. CLAIM AND AWARD DATA: CLAIM 1,192.99 PUNITIVE ATTY FEES DEPOSIT N/A N/A 15. 00 COSTS CC/Srd

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ASB: David Capo v. E-F. Hutton •1^4^-OG? SLTE FILED: 2/1/SB FIRST SCHEDULED 7/27/89 DECIDED 7/27/d9 ^SE SUMMARY:* Dispute involves XMI puts. Claimant alleges October 20, 1987 -an^acT T.cir\ should have been executed att u liUUfeaas^ag^ag- l«M< 7 Qif-dJA. , r . r t c»t\, yvtfi < K^ g U I -lAIMANT'S INITIALS .E;SSIONS: LZ. ^ RESPONDENT'S ^ THIRD

AMERICAN STOCK EXC £ IN THE MATTER OF ARBITRAL J-Ui.^ BETWEEN c;iSE: Livio and Noemi Giachin v. L. F. Rothschild & Co. , incorporated and Vincent Novak ^< Z^-   o ^ DATE FILED: Dec. 9, 1988 FIRST SCHEDULED July 12, 1989 DECIDED July 12. 1989 CASE SUMMARY:* Convertible bond dispute involving NRM Energy. Claiiiianca allege fraud by the broker, unsuitability, misrepresentation and failure by the firm to diligently supervise the firm's brokers in

AMERICA IN THE MATTER O. 3CK EXCHANGE RBITRATION BETWEEN "SE: JOHN ARMATO V. ROBERT AINBINDER & ROBERT AINBINDER & CO. S PATRICK LYNCH ^59-/5-^ DATE FILED: Aug 5, 1988 FIRST SCHEDULED July 12, 1969 DECIDED CASE SUMMARY:* Member v. member employment -trading dispute. Claimant requeBiia an accounting and money damages. CLAIMANT'S INITIALS SESSIONS: JjtJyL. RESPONDENT'6 1&2 THIRD PARTY'S INITIALS CLAIM AND AWARD DATA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Virginia Saale Intervivos Trust of 1982, As Amended, by and through its Co-Trustees, Sarah Harris and Peter Saale, Claimant v. Salomon Smith Barney, Inc., Kenneth Fujita and Arthur Kieval, Respondents Case Number: 01-03365 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: S. Gary Varga, Esq. Monterey, California For Respondents: Philip A. Mc

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ^, CASE: JEROME M. ALBERT V. SHEARSON LEHMAN HUTTON INC. AND TDM CARL ^4^'03> DATE FILED: i?/9fl/aa FIRST SCHEDULED J^qe 14.1^83 DECIDED June 14, 19B CASE SUMMARY ; * l^lTf^y •P'l"'^ rH apn-t-p wVier-B. f»1 a-i i^ian-f- allngna tin Bui t-whi 1 i fy ^ T.i HTr^anaggmf»nt-- of his account and failure to propeylv follow customer's instructions. :LAIMANT•S INITIALS -zit THIR