CASE: AMXRICAN STOCK EXCEANGI IN TR MATTER OF ARBmUTION BETWIIN aOGBR B8ASWELL V. A.G. KDWARSS, INC., 6 JIM MOTS Page 1 DATE FILED: 3/3/95 FIRST SCHEDULED: 8/21 i 22/95 DECIDED: CASE STJMMARYi Cu'tomer v. m«Bber IRA aoaoiint^ipute. Claiaant ailagaa allat diaaatiafaction with invstaent pTform«nc9« Raapondent recneat diamijisal at elaiat. CLAIMANT'S DOTIALS:.. SESSIONS: •l*^ RBSPONDINT'S: THIRD PARTY'S INITIALS: CLAIM AND AWARD DAT

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRA'nON BETWEEN CASE- MITCHELL LEVINE « RALLY SECURITIES V. SUSAN BENDER DATE PILED: 7/12/96 FIRST SCHEDULED: 11/5/96 DECIDED: 11/5/96 CASE SUMMARY: Former meinber v. member claim. Claimant is seeking to recover past commission payments. Respondent denies the claim. fii\^L CLAIMANT'S INITIALS: /yfg l^ RESPONDENT'S: ^/IfP THIRD PARTY'S INITIALS:. SESSIONS: r'S:_^JfD_ CLAIM AND A'WARD DATA: CLAIM: $

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: GEORGE APOSHIAN V. KIDDER, PEABODY & CO. INC. BATE FILED: 11/1/95 FIRST SCHEDULED: 8/26/96 DECIDED: 10/14/96 CASE SUMMARY: customer v. member claim regarding Polaris 5 limited Partnership. CLAIMANT'S INITIALS: RESPONDENT'S: SESSIONS: Decision based on the pleadings. THIRD PARTY'S INITIALS: CLAIIVl AND AWARD DATA: CLAIM: $7>000-O0 PUNITIVE: /* . . Y

:ASE : AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN EMERY K. BRIDGE, TRUSTEE OF EMERY K. BRIDGE TRUST V. KIDDER, PEABODY & CO., INC., ROBERT C. HECHT & JOHN DOE ^^(jp-id >ATE FILED: 12/27/95 FIRST SCHEDULED Q/l/^S DECIDED 8/21/96 :ASE SUMMARY:* A customer v. member limited partnership dispute involving Polaris Aircraft Income Fund. V. Respondent seeks dismissal of claim. • :i.A IMANT'S INITIALS RESPONDENT'

CAoE; AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN NEIL DAVXES AS TaCECUlXDR FOR OSIB ESTATE OF EXXKIARD W. DAVIES AND IHE ESTATE OF EDWARD W. DAVIES V. RAUSCHER, PIEE«CE, REENES, INC. V. MARK PLATT *^(fi'-03 DATE FILED; 11/11/94 FIRST SCHEDULED ^/-2-0 /»^ DECIDED t/'-'ii^ /fiM!/x*e»^'c/.wiw W CASE SUMMARY:* Custoner v. Menftier arbitration claimant alleges his trust fund account/\ - - • - - wa

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ^Sj.= . L. WILLIAM ALTER, JR. , V. AEGIS PARTNERS SPECIALIST JOINT ACCOUNT, ISRAEL A. ENGLANDER, ENGLANDER CAPITAL CORPORATION, MARTIN WEINBURG & DENNIS POSTER DATE FILED: 12/13/95 FIRST SCHEDULED 5/22 &5/23/96 DECIDED May 23, 1996 CASE SUMMARY:" Member v. member c^laim>'i Claimants argue that Respopdents breached the terms and conditions of an August lO, 1990 arbitration award. Respon

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN 'DEBRA KYLE & PAUL ARTHUR SMITH V. PRUDENTIAL SECURITIES, INC. ^ ^U - iD^ 3ATE FILED; 5/5/95 FIRST SCHEDULED 10/27/95 DECIDED 4/15/96 JASE SUMMARY:" A customer v. member dispute involving Polaris Aircraft Income fund IV and Eagle Insured Limited Partnership I. Claimant alleges unsuitability and misrepresentation in the sale of these securities through oral represent

CASE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ANNE FLEISCHMANN V. JOSEPH CURRERI r-.^^ -Oi **- '?< - /^ 9/28/95 DATE FILED: CASE SUMMARY:* Lessor v. 12/14/95 FIRST SCHEDULED j-'^i J--* i ^=> DECIDED 12/15/95 lessee dispute. Lessor is suing Lessee for failing to pay seat rental fees. Lessee acknowledge! monies are owed. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON THE PLEADIN

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN C ^SE • DANNY LEE EMERSON V. SMITH BARNEY, INC. , & ALDO DALLA-VECCHIA DATE FILED: 7/14/95 FIRST SCHEDULED 11/10/95 DECIDED 12/11/95 CASE SUMMARY:* Customer v. member claim. Claimant alleges firm failed to provide him with information on BELMAC and Depreny stock. Respondent denied the claim. • A CLAIMANT'S INITIALS RESPONDENT'S THIRD PARTY'S INITIALS SESSION

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ,ASE: ROBERT E. MAGUIRE V. KIDDER PEABODY & CO, INC. & PAINEWEBBER INC. 4:^^U-OLP DATE FILED: S./.1.5/»S FIRST SCHEDULED T i /i ^/Q«^ DECIDED 4/15/96 CASE SUMMARY: * An employee/emplpv^r dispi^te involving claimant's eligibility to participate in the Deferred Incentive Bonus Plan ("DPB Plan") and firm(s) refusal to transfer General Electric stock options. Respondent (s) defends that cl