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

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

CASE ; AMERICAN STOCK EXCHANGE IN THE rilATTER OF ARBITRATION BETWEEN ' TETER AND NEVIA BENCICH V. I.. F. ROTHSCHILD & COMPANY, INC. AND VINCJiNT NOVAK ^f^-02^ D/.TE FILED: gi»pt. 26.198B FIRST SCHEDULED May 31.1989 DECIDED Mny "^1 ,. 1 qB9 CASE SUMMARY: * Customer v. Member dlsput.e Involving stocks. Claimant ts_.a 1 leglnq unsuitability and failure to supgyvisa gn the pai;t: of tihg firm. Thcro_ were no punitive damages or attorney fee requeata in

AMERICAN STOCK EXCKANGS IN THE MATT&R OF ARBITRATION BETWEEN 2: n a . MWAT. T. IGH V. JOSEPH KAUE^AM . L, BAIGH V- ATS FILED: 12/1B/B7 FIRST 6CHEDUX.BD 5/31/89 DBCZOaO /^ ^ /? *f ASB SUMMARY:* CuatcMoar v. Mambar dlBPUte-- Cuatomer alleq»g gpaoiatllsc ±nmgop«rlv execuf d hla order. ^*-*^*n.' -TT H- IAIMAHT*S INZTIAIiS BSSIOMS: RESPONDBNT•8 tvt THIRD PARTY'S INITIALS XM AND AWARD DATA: LAIM