:ASE: AMERICAN STOCK EXCHANGE IN THE MATTER OP ARBITRATION BBTWKBN WTfTHARn K. MARY .TAME APPgrpBAriM V. KIDDER. PEABODY & CO. , IN ^ ^^"IQ- »ATE FILED: ^/5/95 PIRSTSCHEDUUCD: 12/15-17/97 DECIDED: 12/18/97 -ASESUMMARY: Customer v. Member limited partnership dispute involving Polaris Aircraft Income Fund VI, V and Preferred Units of El Paso Refinery I< P. Reapondent member firm asserts that, claim be denied In its entirety. 'LAIMANT'S INITIALS:

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ASE: MITgHEI.L LEVINE 6 RALLY SECURITIES V. D. KINCADE. COHEN, COHN, PUFFY t McCOWAN. INC.. T.CS. WALES & MARK IV TRADING ^f ^ ' ^ " O ^ •ATE PILED: 7/12/96 FIRST SCHEDUl^ED: 10/3/97 DECIDED: 12/18/97 :AS£ SUMMARY: Fomner member v. member claim. Claimant is seeking to recover past commission payment. Respondents denies the allegations and request that claim be d

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN "t^^p. Virginia F e r r a r i v. Karen Allison & Bullseye S e c u r i t i e s >ATE FILED: 3/14/96 FIRST SCHEDUL.ED: 8/19/97 DECIDED; 8/24/97 ,. cir cijiynviARY- ^ member- v. meinber small claims special t r a n s f e r agreement dispute between former Approved Person, OPM and OPM organiz

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETVVEEN CASE: PHILLIP E. HAMDIM V. KINDER, PEABODY i CO., INC. DATE FILED: 11/30/95 FIRST SCHEDULED: 7/29/96 DECIDED: 8/12/97 CASE SUMMARY . Customer v. M smber small claim limited partnership dispute involving Polaris Aircraft Income Fund V and Fund VI. Respondent has defended that the limited partnerships were suitable, and claims should be barred. CLAIMANT'S INITIALS: RESPONDENT'S

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASfe: ROBERT P. WITTENSTETiyi V. PAINEWEBBER • INC.. & TKRT KAROLF. DATE FILED: 2/20/96 FIRST SCHEDULED: 9/6/9e DECIDED: 5/6/97 CASE SUMMARY: Employee v. employer dispute. Claimant a former registered r-epresentatlve with PaineWebber, alleges damages due to PaineWebber' s alleged violations of "Its benefit plans which fnr-nt^^ Y>im ^ n n*.11 hj_a '**-nr'1r ny^*-^ n^nti pviaina

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN •E: BARRY BLANK V- RAS SECURITIES CORPORATION S ROBERT A. SCHNEIDER DATE FILED; 2/26/95 FIRST SCHEDULED: 4/16/96 DECIDED: 4/22/97 CASE SUMMARYiMaitoer- v. mEartaer v. MftSD maitoer firm claim. Clalmemti alleges toroach of =mpj.ay. ment agroanon-fc, and failure to pay bonus. Respondent alleges exaunterclaim for- Lndemnlficatlon and tKlrd—partv claim against NASD firm for •fcortxous Inteyferenoe with

AMERICAN. STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN , ., HLiBfca^rr & ESTHER HESS V. KIDDER, PEABODY & oo., INC. & susA^4 M. BEXIRA * ^ wS - _ _ ^ ^^'0.2> •ATE FILED: 3/20/95 FIRST SCHEDULED: DECIDED; 2/25/97 ASE SUMAfARY: Customer v. member claim. claimant allege unsuitability resale o£ Polaris Aircraft Inoome Fund VI limited partnerBhj^,p ^ Respondent denies the claim. LAIMANT'S INITIALS: RESPONDENT'S: THIRD PARTY'S I

AMERICAN iSTOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN :IASE: JOSEPH ALLEN-TRUSTEE, ALLEN TRUST #3. KAYWOOD, INC., V. SMITH BARNEY ^ ^:?-- O ' ^ DATE FILED: 10/18/95 FIRST SCHEDULED: \l'2.n i^n DECIDED: 1/29/97 CASE SUMMARY: Custower v. iwewtoer claijw. Claimant alleges breatdi tst contract, breach of fldlcuarv duty and nBcillqence relating to rArmnp Castle Funding Ine. 9.5% dtie 1988 and C2u»lco Picture Bonds. Firm denies

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN 7AS£: ROBBRT & BETTY PLATT V. KIDDER, PEABODY & CO. INC. ^ fl"0\ DATE FILED: IO/1I/95 FIRST SCHEDULED: 12/2 & 12/3 DECIDED: 1/6/97 CASE SUnffMARY; Customer v. Member limited partnership dispute Involving Wingatf Insured Partners and Polaris Aircraft Income Fund V. customer alleges fraudulent, intentional and negligent conduct. Respondent objects to all claims. CLAIMANT'

"VSE: AMERICAN STOCK EXCHANGE IN THE NfATTER OF ARBITRATION BETWEEN MITCHELL LEVINE S. RALLY SECURITIES, INC. V. M. GREELEY ft B6C PARTNERS 11/4/96 DECIDED: 11/20/96 DATEFIL.ED: 7/12/96 FIRST SCHEDULJCD: CASE SUMMARY: Former meinber v. meinber claim. Claimant, la Bectki-ng fco recover oaat cowtmlaalon paymenta. Respondent alleges Clalman-t •i>-^l^».««.i^ 4-hom f-rnm payment. ^ ^ / a - / ^ •CLAIMANT'S INITIALS; JwS