^°w York Stock Exchange .1 the Matter of Arbitration Between y NYSE Case: Gerard Lynch vs. Alex Brown & Sons Attorneys: For Claimant(s): Andrew S. O'Connor Esq. - New York, NY For Respondent(8): Rtohard J. Hafets Esq. - Baltimore, MD Date Filed: O8/12/91 First Scheduled: 01/23/92 Decided: O6/04/92 Case Summary: claimant has alleged that he was terminated from the respondent solely on the basis of age. Product: Market: Cla

New York Stock Exchange In the Matter of Arbitration Between NYSE- Case: veronica M. Rudzinski v Shearson Lehman Brothers, Inc. and John G. Tomlinson Attorneys: For Claknant(8): Cattierine L. West Esq. - Farmington Hilb, Ml Fbr Respondent(s): Gary Saretsky Esq - Bloomfiekl Hills, Ml Date Filed: O8/22/91 First Scheduled: 04/08/92 Decided: 06/30/92 Case Summary: claimant altoges unauttiorized trading, misrepresentaton and omissions, fraud,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fred A. Dietrich v. Josephthal & Co. Inc., John J. Gebbia & Chartos A. Zabatta Attorneys: For Ctolniant(s): Fred Dietrich - Colorado Springs, CO For Re«pondent(B): Thomas A. Rigilano Esq. - New York. NY Date Filed: 08/30/91 First Scheduled: os/05/92 Decided: 05/05/82 Case Summary: Registered Representative v. Member Firm - Qaimant alleges respondent breached an emplo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04872 David A. Jones Name of the Respondent SunTrust Equitable Securities Corporation, n/k/a SunTrust Robinson Humphrey Capital Markets Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant David A. Jones ("Claimant"): Salvador M. Hernandez, Esquire, and Steven A. Riley, Esquire, of Bowen, Riley, Warnock & Jacobson, PL

A New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Herben Nevyas v. Bear Stearns & Co. Inc. & Dominick K. Ntoototti Attorneys: For Clatoiant(s): Deanne M. Wilson Esq. - Roseland, NJ For Respondent(s): Noah Nunberg Esq. - New York. NY Date Filed: oa/is/oi First Scheduled: 02/13/92 Decided: 3 ^^^\ \ \ ^ l ^ Case Summary: customer v. Member Rrm & Registered Representative - ctotoiant alleges re

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Daniel Whjtis vs. Smitti Bamey, Harris, Upham & Co., Inc. and Willtom C. Shackelford Attorneys: For Ctamiant(s): Erma J. Carey Esq. - Houston. TX Fbr Respondenl(t): Eugene V. Clark. Esq. - New Yoric. NY Wniiam Shackelford . New York,, NY Date Filed: O6/27/91 First Sctieduied: 06/24/92 Decided: 07/22/92 Case Summary: ClaimanL a former emptoyee and regist

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Shearson Lehman Hutton vs. Charles A. Cash Attorneys: For Ctabnant(s): Mary B. Newton - Houston, TX Fbr Respondent(s): Chartos Cash - Memphis, TN Date Filed: os/oo/si First Scheduled: 05/21/02 Decided: 06/23/92 Case Summary: claimant alleges Respondent, fbrmer emptoyee, faitod to fulfill obllgattons regarding a promissory note. Product: PROMISSORY NOTE Market: Cl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Penr C. Ovtalina V Lmwence O-Donnel Maroa a Co. V Chartaa Scmmb a OB., Ine, Attorneys: FerCWmertC^: PriaraOvtattoe-MnB,ME For fWtpOt^OKm^l Hector a Dowd Esq. - New Yoifc, NY AndfOii Z. Sctiwstftz c9q. — BcwKni MA Data Filed: 06/19S1 ^ta _ — ^ ^ . ^m^ ^m^ ^ • ^j ^K • te KB Hrst Sctieduied: 0605/02 Decided: osffisraz Case summary. Curiom

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheerson Lehmen Brottiers Inc. v Arthur Coffin Attorneys: For Ctoinianid): Christopher P. Uttern Esq. - Boston, MA For FtoipondentW' Artiiur Coffin - Framingham, MA Date Filed: oa/23/ei First Scheduled: 03/12/92 Decided: 10/21/92 Case Summary: Member Firm against Registered Representative for altoged repayment of payrol advances made to fbrmer emptoyee. Responden

New YorJ< Stoclc Exchange In the Matter of Arbitration Between NYSE Case: llarian Pinkett v. Dean Uitter Reynolds Attorneys: For Claiiant< s}: Marian Pinkett - Modesto, CA For RespondentCs); Uendy R. Robinson Esq. - San Francisco, CA Date Filed; 07/12/91 First Scheduled; 07/09/92 Decided; 07/09/92 Case Sumnary: Claimant a customer has alleged that respondent engaged in an unsuitable purchase of the Dean Uitter High Yield Fund Prod