New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ollve Ellna as Consanmtor for Marie Thompson v. Dean Wktar Reynokls, Inc. S Gregory D. TramnwH Attorneys: For Ctotofiam(s): Anttiony L Homo Esq. - Albuquerque, NM For Re8pondeni(s): John G. Baugh Esq. - Albuquerque, NM Date Filed: 11/12/91 First Scheduled: 02/04/92 Decided: ii/s/92 Casa Summary: ctoimant alleges misrepresentation, negligence, breach of fiduciary duty

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: Bruce Bierman vs. Prudemtol Bache Securities, Inc. Attorneys: For Clalntant(8): Douglas V. Ailing Esq. - Tacoma, WA For Respondent(s): Gilbert R. Serota Esq. - San Francisco, CA Date Fiied: lo/os/oo First Scheduled: 12/12/91 Decided: 06/17/92 Case Summary: Former Registered Representative vs. Member Rrm, claimam altoges breach of Empioymem agreemem Product: OTHER

New York Stock Exchange 1 the Matter of Arbitration Between NYSE Case: Jaffery Boyd Lucas vi. Shearaan Lehman HuBon, bw. Attorneys: Fior Clalmar«M: JaMray B Lucas - HousfaMt, TX rw na^xMKiei^s). Ralph P. Schiavo. Esq. - New YorK. NV Date Filed: ii/oa«i Casa Summary: ctoknant alagas 1 Rrst Scheduled: osi\uai Decided: osnw9i 1 breach of comract whtoh daprhmd him or his oontrseied standard commiMton Product: Market: Claim Da

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: John L Thompson, et. al v Morgan Keegan and Co. Attorneys: For ClaHnant(s): Steven J. Gard Esq. - Atianta, GA Fbr Respondent(s): Peter Anderson Esq. ~ Atianta, GA Date Filed: 08/21/90 First Scheduled: 05/08/91 Decided: 01/06/92 Case Summary: ctoimants assert fraud and negligence during the course of trading stock for daimants' accounts. Product: EQU Mad(et

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-04893 Legg Mason Wood Walker, Inc. Name of Respondent Hearing Site: Tampa, Florida Scott M. Balotin REPRESENTATION OF PARTIES For Legg Mason Wood Walker, Inc., ("Claimant"): Jason Gaarder, Associate General Counsel, Legg Mason Wood Walker, Inc., Baltimore, Maryland. Scott Balotin ("Respondent") appeared pro se. CASE INFORMATION Statement of Claim filed

New York Stock Exchange An the Matter of Arbitration Between NYSE Case: Phillip Douglas v Kkkier Peabody, Frank Hyson, and Peter Karavitis Attorneys; For Ctaknant(8): Ted PoreU Esq. - New York, NY Fbr Respondent(s): George C. Cabell Esq. -Dfew York, NY Date Filed: 07/oa/90 First Scheduled: 04/24/91 Decided: 01/29/92 Case Summary: daimam asserts unsultabto b-ades, churning, unautiiorized trades and failure to supervise during tiie course

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerald I. Gilbert vs. Merrill Lynch Pierce Fenner & Smitfi, Inc. Attorneys: Fbr Ctoimant(s): Gerald I. Gilbert - Trenton, NJ For Respondent(s): Christopher D. Cavuoti Esq. - New York, NY Date Filed: 111/05/91 First Scheduled: 03/27/92 Case Summary: Customer vs. Member Rrm seeking the replacement of missing Respondem. Claimam also alleges negligence. Pro

New York Stock Exchange / NYSE In the Matter of Arbitration Between Case: Somud a Hii(^ V. Prudartial SeourHes hMorpontied Attorneys: FarClBhiwflt(4: Somud Q. Hughes - DaMgran. VA Pof Respondem^: V. KachMl Arias EKf. - Boa Raton. FL Date Filed: i i/05«i Rrst Schadulad: 11/12/92 Dedded: una/02 Case Summary: Cudoinar V. Iillemfaer Firm - daR«« alaoBB inuitnrind rti^^ rine (9) bng dolar Max ftjur contracts. a and purchase of Product: IN

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jamei Roy MUdleton v. Butcher ^ Sinoar. James Chaplin, Theodore F, Kruk & Edwina Vaudain Attorneys: For Cbuniiiil(4: Jamas R. Mkldtolon . UnfieW. PA JblM M. Ivttt Esq. - nichfnond, VA Date Filed: IOAM/OI First Scheduled: 05/21/82 Oecided: 05/21/92 Case Summary; Customer v. Member Firm & Registared Reprasantativa - customer altoges mismanagsmont of account and poor invest

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Herbert Wessoly v Advest, Inc., and Lenny Rtoh Attorneys: For Clabnant(s): Joseph Ostrowsky Esq. - Brooklyn, NY Fbr Respondenl(s): WHItom C. Freitag Esq. - Hartford, CT Lenny Rich - Scarsdato, NY Date RIed: 10/29/91 First Scheduled: 02/26/92 Decided: 03/19/92 Case Summary: customer against Member Finn and Registered Representative for altoged unautinrized ttading