AMERICAN STOCK EXCHANGE IN THB MATTER OF ARBITRATION BETWEEN SE; DATE FILED: i^CASE SUMMARY: * MATTHEW BELKIN V. BERKELEY SECURITIES CORPORATION VNp BRIAN WALKER .3 1/2-^/94 FIRST SCHEDULED 4/6/95 DECIDED R /I R /q«^ rusi-nmer ..v m«»inir>«»T- arbitration. Claimant is alleging ^f^_v^.yj- fiTTTl ^^A v.r-f^lfg»T- fn\-\w^A «-< -> p«T-ri1riapa atiares of Grand TOVS StOCk and , n1*- rr--s*^° *^"' ^,,..4-..«««.^ Respondent member firm argues th

AMERICAN STOCK EXCHANGE IN THB HATTER OF ARBITRATION BETWEEN FREDERICK C. KOMPASS V. ^MITH BARNEY SHEARSON INCORPORATED AND JESSE BROMBERG Z ^g^- /C^ DATE FILED: 4/5/94 FIRST SCHEDULED 7/21/94 DECIDED 7/31/95 CASE SUMMARY:* Customer v. member claim. claimant alleges that firm put his IRA account into Shopco Regional- Malls LP and Jones Growth partners LP, •speculative limited partnerships." F 5A rgues that funds were

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN THOMAS P. QUINLAN V. OLDE DISCOUNT DATE FILED: 2/21/95 FIRST SCHEDULED 7/12/05 DECIDED 7/29/95 CASE SUMMARY:* Customer v. member claim;. Claimant alleges that firm did not execute his sell order for Ultrak stock. CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON THE PLEADINGS. THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: < IM $1,012 .00 PUNITIVE ATTY

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN iSE: HEI.T.. DAVIES AS EXECU-TOR FOR THE T^STATTJ! fiir Trnwawn W nn\rrjr.R aNir> THE ESTATE OF EDWARD W. DAVTK.q V- pRITDENTTAT. gKrTTWTrp TTCg nvir- DATE FILED: 11/11/94 FIRST SCHEDULED 5/15 &S/16 DECIDED 7/13/95 CASE SUMMARY:* Customer v. member arbitration. Claimant alleges his trust account was churned, overtraded and overleveraged in unsuitable securities by "brokerag

•>E: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATXON BETWEEN GORDON R. & STELLA UNWIN V. PRUDENTIAL SECURITIES, INC. Z' DATE FILED: 2/8/95 FIRST SCHEDULED 5/9/95 DECIDED 6/21/95 CASE SUMMARY:* Customer v. member arbitration. Claimant alleges unsuitability and misrepresentatibn in the sale of limited partnership Polaris Aircraft Income Fund IV. CLAIMANT'S INITIALS RESPONDENT'S _ SESSIONS: DECISION BASED ON THfe PLEADINGS.

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN ROBERT MATTINGLEY V. SMITH BARNEY, INC. DATE FILED! 1/27/95 FIRST SCHEDULED 5/9/95 DECIDED 6/21/95 CASE SUMMARY:* Customer v. member claim. Claimant alleges that firm did not inform him of a rights offering in U.S. CSellular Corp that stock and- breached its duty to him. Claimant was timely informed of ''elected not to exercise nor sell the the Firm offer:

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE; HOWARd 6 HELEN STAPLES V. PRUDENTIAL SECURITIES, TNC. DATE FILED: . 1/9/95 FIRST SCHEDULED 5/9/95 DECIDED CASE SUMMARY:* Customer v. member arbitration. Claimant alleges unsuitability and'misrepresentation in the sale o£ 6/21/9S limited partnelri ship Polaris Ai: rcraft Income Fund IV. • al • CLAIMANT'S INITIALS SESSIONS: RESPONDENT»S D

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE: GARY DEAR V. ISAAC OVADIAH r^.'.t.'T:^ ** ^s-- < o^ DATE FILED: 12/30/94 FIRST SCHEDULED d/zn/q-s DECIDED 5/22/95 CASE SUMMARY; * liBSaee V. iBRSor diapviti» - T.eg«f>f» ia aiiing for T-etm-n of leaB« deposit . ^_ X' CLAIMANT'S INITIALS b,P SESSIONS: ^I^SPONDENT• S J- '^ THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM $5 .000.00 PUNIT

AMERICAN STOCK EXCHANGE XN THE MATTER OF ARBITRATION BETWEEN CASE: RTCiRnTrrK T tirajrjnrag v. KHWAsgrM T.gHMaw Pif»r»rHERBf mC-• fc . I M H ^ rjjjr^gfp DATE FII.ED: 8/26/93 FIRST SCHEDULED 3/16/9.5 DECIDED 5/21/95 CASE SUMMARY:- niRrmpr V. TnraririRr rrlrn'm. maiiiinni- is alluring ima.H-Jir.>-< «irl *.„A^^V3. fajlyipe 1-n fmiow hia inat-nml-inna anrl iw nffalcirMt in< -ain»«< - fur, tnmr^jm. Tr«», p^mHr-J^rlfT"^ CLAIMANT'S

AMERICAN STOCK EXCHANGE IN THB MATTER OF ARBITRATION BETWEEN ^E. ALBERT E. SCHLESINGER V. MICHAEL LUBIN V.LUBIN 6 SCHLESINGER, INC. DATE FILED: 9/21/94 FIRST SCHEDULED^/9&10/95 DECIDED 4/10/95 CASE SUMMARY:* Member v. member claim. Claimant alleqes breach of a promissory note by Respondent. The Respondent denies the claim and counterclaims for breach of fiduciary obligation. CLAIMANT'S INITIALS SESSIONS: • |p^s • RESP