AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN "ASE- BARRY & DONNA MARON V. PRUDENTIAL-BACHE SECURITIES & SCOTT SCHULMAN 3ATE FILED! 1/15/92 FIRST SCHEDULED 10/23/92 DECIDED 3/11/93 A customer v. member arbitration. Claimant alleges ;ASE SUMMARY:* churning, negligent conversion of securities and misrepresentation regarding his purchase of Krupp Government Income Trust securities and U.S. Treasury (zero) strips. CLAIMANT'S INITI

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN DAVID HUTTON V. MERRILL LYNCH, PIERCE, FENNER & SMITH & DOMINIC TOMARJQ >ATE FILED: 11/28/88 FIRST SCHEDULED 11/2/90 DECIDED 3/31S4/1/9 3 :ASE SUMMARY;* Customer v. member arbitration dispute involving a cash management account purchasing shares of uncovered Reebok International Limited stock options. claimant alleges mismanagement and wrongful conduct claims. CLAIMANT'S INITIALS S

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE: ZEKX X. OMAR & THE OMAR CORPORATION V. SHEARSON LEHMAN BROTHERS r^^ -r^. ^ ^2>-os- DATE FILED: 8/8/91 CASE SUMMARY: • Customer v. member arbitration involving unauthoriaed transactions and unsuitable investments, by purchasing securities and optiona on margin in light of claimant's investment.objectives. ^ A ^ rsx-in JUHA e.-lsti i€-< f a C^tftrtd^'-«y**"^ et^«

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN ASE: Most Wanted International Corp. v. PaxneWf,bbaT- TT,r.l-,rpf,,-a^cri r.a^ -^^ ^ ^^-Ol DATE FILED: 11/6/92 FIRST SCHEDULED l/2fi/Q'^ DECIDED .2/8/93 CASE SUMMARY:* A CUBtOmer v. member small elaim« «»-bi ^-l-:^^-^on rH ap»< -«. ^ r...r^l^S „ty Putnam US Government Fwnd, Claimant haa alleoed i-hat: T^aTnhoT- f-i ^T,. ^^«p„T.rt«r,i-• .. Investment Executive executed an

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN MUMTAZ HUSSAIN V. SHEARSON LEHMAN HUTTON, INC., & WAYNE HILL ^ '=^:>-l(^ DATE FILED; 10/17/91 FIRST SCHEDULED ^/'^^/^'i- DECIDED L /-i."^ f •'>' CASE SUMMARY:* A customer v. member arbitration Involving ASTA Research « Incorporated, Stocks. Gap (GPS), Apple Computer, and Yellow Freight - CLAIMANT'S INITIALS 1 m£- RESPONDENT'S I J^>i THIRD

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE: G-BAR LIMITED PARTNERSHIP V. ROBERT M. GORDON *i>-is- DATE FILED: 11/1/91 FIRST SCHEDULED ^/3/92 DECIDED 6/5/92 RBaGEB-IDE^&~17I793~ CASE SUMMARY:* Meiabeg v. Biembag amall alaima aarbltratlei* tnvelving a . limited partnarahin dlspu-te. CLAIMANT'S INITIALS SESSIONS: 1 «• 2 RESPONDENT * B THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CLAIM S.f.^-\-\A .A

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE : DONALD O'SHAUGHNESSY V. FAHNESTOCK & CO. INC., JEROME RICHARD & CHRIS CARROLL ^ 9P-- H DATE FILED! 9/6/91 FIRST SCHEDULED 6/5/92 DECIDED 6/S/92 CASE SUMMARY;* Claimant v. menJaer artaitration. Claimant alleges that broiker'age firm fadLled to sell Pepsloola stock and reqpest an investlga^tion. CLAIMANT'S INITIALS SESSIONS: 1*^ ;^ ' RESPONDENT'

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN CASE : JOHN T. WELLS. D.B.A. CANYON PARTWEHR & BRK.TAMTIV. r^iyMMABATO ^7 aOHN P. ARMATO ^ ^^- 1^^ DATE FILED: 12/10/91 FIRST SCHEDULED 4/6/92 DECIDED 5/14/92 CASE SUMMARY; - IndVStrV Claimant v. member claim- Lc^aa^T- i« ,.„-lr.g •!,.«»««. f^, back lease pavmants . CLAIMANT'S INITIALS RESPONDENT'S SESSIONS; Decision Baaed On The Plea< ;^-i ngq. THIRD PARTY'S INI

AMERICAN STOCK EXCHANGE IN THE HATTER OF ARBITRATION BETWEEN CASE : FENCHURCH SECURITIES. INC.. V- ROMALD SHIMKtIS DATE FILED: 11/4/91 FIRST SCHEDULED 3/26/92 DECIDED 4/30/92 CASE SUMMARY: * A Member v- membci- airV.< •-i-a-H fin Claimar.«- •anny,ag >..,-.aa>^h r^r «-....^ oromi, notes bv tha and^ a^ijn. / CLAIMANT'S INITIALS SESSIONS: 1-2 RESPONDENT .-—-< LV- THIRD PARTY'S INITIALS CLAIM AND AWARD DATA: CL

CASE: AMERICAN STOCK EXCHANGE XN THE MATTER OF ARBITRATION BETWEEN AMERICAN AGRI-BUSINESS OORFOgRATiaN V. BEAR, STEARNS & CO., INC. S STEVE ANTEBT r'jL^ -tji^ ^ < y>-/^ DATE FILED: 6/25/90 FIRST SCHEDULED A--yi x.9-> - o^y DECIDED i»/22/92 CASE SUMMARY: * r-lM-iiT».r.-l- ^ n o y a a 1-nnnar.h nf r..nin»f«.^«- m,r.A •i.-t-.s annnfiini- T-ogai"d-lTi^ PI atrnm-Thwin gtyy^lf '^e.Xute-^^ aiJUH CLAIMANT'S