tXCAM STOCK EXCKAMOE ZM THE MATTER OF ASBZTRATXOH BETWEEN CASE: DUNN NEWFUMD I. LTP. ittiP PC»W MEWFOND tl, IgP. V. MCMHHAN * CCMPJWY V. POMW CCMMOOITIES, INC. DATE FILED: CASE SUMMARYt FIRST BCKEDULED 12/6/89 DECIDED */i^/9* r. Mewbar djLspwfts. progeaaie«>al anaqas \o have a slfle ClaHaants, •uboapainatea lendwr ami OB»-«**^-f^r with a Jaroksr/dsalar tor lAguiaitV whl^i WB not aaheraJ teo. CLAIMANT'S ZHZTXALS- _ SESSIONS: 2

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATXON BETWEEN iSE: HOWARD LASHER & THE LASHER GROUP, INC., V. NICHOLAS LIVERANI ^TE PILED: ^SE SUMMARY:< 8/3/93 FIRST SCHEDULED 11/29/93 DECIDED 2/23/94 A MEMBER V. MEMBER EMPLOYER/EMPLOYEE DISPUTE INVOLVING THE UNAUTHORIZED PURCHASE OF FRUIT O'F THE LOOM SHARES. CLAIMANT FURTHER ALLEQES TRANSFER FEE AND OTHER DEBTS ARE OUTSTANDING. :LAIMANT'S INITIALS »E IONS: • "• 1 ^ RESPONDEN

':ASE : AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN MICHAEL DENNIS GARDNER V. RAS SECURITIES CORPORATION, ROBERT GOSS & EDWARD BORELLI il DATE FILED: 9/20/93 ^3-"   ^ ^ FIRST SCHEDULED 11/3/93 DECIDED 12/10/93 CASE SUMMARY:* Customer v. member claim. Claimant alleges that broker breachc CLAIMANT'S INITIALS RESPONDENT'S SESSIONS: DECISION BASED ON PLEADINGS. their agreement to enter a Airlines

CASE: AMERICAN &TOCK EXCHANcis IN THB HATTER OF ARBITRATION BETWEEN LESLIE E. ELLISSON V. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC, ARETI KITSIOS n.a^ < ^ ^ ^3' tn DATE FILED: 8/4/93 FIRST SCHEDULED 11/3/93 DECIDED 12/10/93 CASE SUMMARY:* Customer v. member claim. Claimant alleges broker forced him to sell IBM and CWE options and that he lost money as a result CLAIMANT'S INITIALS RBSPONDBNT'8 SESSIONS: DECISION BASED ON

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE : VICTOR & JANE HAENTZE V. SHEARSON LEHMAN BROTHERS & PAUL D. BLASBTTI a^i^ ^z^ ^ ^3' ^o DATE FILED: 9/10/92 FIRST SCHEDULED 2/19/93 DECIDED 12/ln/QT ^.r.,=. .^..»»..>».. Customer v. member arbitration. Claimant alleges fraud, breach CASE SUMMARY S • ^ __ of contract, failure to supervise, unauthorized tradincr by the firm and broker. The firm argues that claimant authorized all

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN C,\ S K : .FI RST OPTIONS OF CH ICAGO, INC. V. GARY ROTH TLa^-t^fC JE3^r-IfL DATE FILED: 4/6/93 FIRST SCHEDULED 8/13/93 DECIDED 12/2/93 CASE f.lJMMAR:f:* A Tnemti«r v. momber Market Maker Aqreemen-t and Subordinated each Borrowincf by Individual Member Agreement dispu'te . Claimant 'is alleging -bhcit- r-cspondGnt incurred a net deTicit. In its Market. Maker's account,. •.S /^^l^

CASE: AMERICAN STOCK EXCHANGE IN THB HATTER OF ARBITRATIOM BETWEEN HEATHER & BRUCE LEVIN V. REYNOLDS, KENDRICK, STRATTON, INC., & ROBERT R. MACGREGOR da^-U, ^ ^ 3 - /< r PATE FILED: 8/6/93 FIRST SCHEDULED 11/11/93 DECIDED 12/2/93 CASE SUMMARYt" Customer v. member claim. Claimant alleges that broker placed them in speculative stocks such as 27 5 shares of International Murax Technolo'gies Corp. ("MXX") stocks and MX

AMERICAN STOCK EXCHANGE • IN THE MATTER OF ARBITRATION BETWEEN CASE: VICTOR KUNSTEZ.Y V. JOSEPHIKKL LYOCK ROSS INC. AND H. MCLAIN SMITH C.^< ^ -Cd. **- ^3- l':h' DATE FILED: 5/6/93 FIRST SCHEDULED in/an/O'^ DECIDED 11/9/93 CASE SUMMARY:* A custoner v. mt-wiber arbitra< -ifTT^ < ^4gpm-«. < Tivr>l.t7inr| < -v.o vT^lr•^l"^-v>^^i y«»^ =».-I.B. of 14 covered c a l l s of TV.lf.fnnaa A^. vtt.c»^r^ i^«n,jrf^«'^ CLAIMANT'S

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN SUSQUEHANNA INVESTMENT GROUP V. ANDREW WEISS JATE FILED: 4/28/93 FIRST SCHEDULED 9/23/93 DECIDED "ASE SUMMARY;* A TriCTmbov -a. w%«..ml-....r girm 1 T r-T a ^ m o eaa4- Tnapf. A _ ^ 10/18/93 CLAIMANT'S INITIALS SESSIONS: #1 RESPONDENT > S THIRD PARTY'S INITIALS .AIM AND AWARD DATA: CLAIM $4,350.00 -,>- PUNITIVE Requested ATTY FEES N/A DEPOSIT $3O

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN i.,ASE : SAMUEL J- ^OTH V. OPPENHEIMER & CO., INC. & S. WEBER n.A^ ^x::^L ^^3-/g- DATE FILED: 9/8/92 FIRST SCHEDULED 2/26/93 DECIDED 9/^0/93 CASE SUMMARY: * f-la-imant allegea unguitabilitv. negligence and fraud bv Responder broker & firm In Eastern Airlines stock, and bonds; TWA bonds. Transco Exploration Partners stock; Harcourt Bruce. Texas Air and First World Cheese stocks.