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Nfw York .Sfnrk F.xrhangp Til Ihr MaiiKi- uf ArliiliHliiiii RHwtrn YSE. Caso: KWder, Peabody & Oo. Ineorporwad v. Gary E. HamllUA Attorneys; For Ctaiimnfa): wmam H. Phalpa Esq. - Los Angatoa. CA Por RaspandanHa): Qary E. Hamillon - Henderaon, CO Date RIed: 00/15/92 Rrst Scheduled: 04ixuaa DeckJed: '^/a^ifS Case Summary: Member Firm agaimt former RegiUBrad Rapressniaiive fbr balanee due on a pronrssory nota. Product: Market:

M^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers kw. v. Curtis A. HolMrta Attorneys: For Claimant(B): John S. Lutz Esq. - Denver, CO For RBapondent(«): David A. Zlsser Esq. - Denver, CO Date Filed: 09/10/92 First Scheduled: 02/03/93 DeckJed: 6/16/94 Case Summary: Member Firm v. Registered Representative - Ctabramt alleges non^yment of promiasory note, signed for a loan to purchase

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers, Inc. f/k/a Shearson Lehman Brothers Inc. v. Billy S. Davis, I Attorneys: Fbr Clainnnt(s): Louise B. Matte Esq. - Atlanta, GA For Respondent(s): Gerald B. Kline Esq. - Atlanta, GA Date Filed: 03/19/93 First Scheduled: 07/151^3 Decided: 01/21/94 Case Summary: claimant alleges Respondent breached his toan agreement. Product: Market: Claim Data

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest, Inc. v. Ted Rodosovich Attorneys: Fot Clalmant(s): William Freitais Esq - Hartford, CT Fbr Respondent(s): Ted Rodosovich - Poway, CA Date Filed: 01/07/92 First Scheduled: 05/O6/92 Decided: Case Summary: Member firm against former registered representative for breach of contract and balance due of promissory note. Product: Market: Claim Data Cl

} New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Arnokl M. Mass and Awfray Q. Mass v. Ernst ft Company Attorneys: ForClainMnKa): Wiliam E. Rattner, Esq. - Chicago, IL For RatpondaniM: Thomw P. Ward, Esq. - Chicago. IL Date Filed: 1:2/17/91 First Scheduled: 10/29/92 Deckied: |6-Z'?-4Z— Case Summary: Customer against member firm for failure to axacute and unauthorized trading in oonnecfon with order t

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Gmntal & Co. Incorporated v Better Benefits Corp. Attorneys: For Claknant(s): Joan Markay, Esq. • New York,. NY I—i"«»< < '«ni H^-T-r For Respondent(s): Monroe Gaultney - Wellington,, FL Date Filed: 04/06/90 First Scheduled: 05/24/91 Decided: 01/14/92. ^ wiTTgi r> Case Summary: Member Rrm V. Customer fbr debit balance in account resulting from trades In s

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wedbush Morgan Securities, Inc. vs. A.G. Edwards & Sons, Inc., Benjamin F. E.iward.' Ill and Gary Feldman Attorneys: For Claimant(s): James L. Robert Esq. ' Seattle, WA Fbr Respondent(s): Clay Grumke Esq. - St. Louis, MO Jeffrey J. Kalinowski Esq. - St. Louis, MO David H. Wilson Esq. - Portland, OR Date Filed: 11/18/91 First Scheduled; O8/06/92 Decided: 11/04

New York Stock Exctiange NYSE In the Matter of Arbitration Between 1 Case; Shearson Lehnan Brothers »Us); Louise Bailey Hatte Esq. - For Respondent(s);^^ ^ Tei Marcus isq. - A;,an;a, Ted Harcus Esq. - Atlanta, Date Filed; 11/06/31 |as$ Sumary: Clainant al Cla nant also alleges neg negligence caused the rult Clals Data Claia; $64,230.00 Punitive; $0.00 Atty Fees; tins Deposit; $600.00 V Steven J. Zier ' Atianta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Kiriakopoulos, Claimant v. E*TRADE Securities LLC, Respondent Case Number: 01-04911 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Harry Kiriakopoulos Campbell, California For Respondent: Joseph E. Floren, Esq. Steefel, Levitt & Weiss San Francisco, California CASE INFORMATION State