New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Irene Donakl v Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jorge Arias Attorneys: For Ctoiniant(s): Irene Donald - New York, NY For Respondent(s): Elizabeth G. Armstrong Esq. - New York, NY Date Filed: 08/21/91 First Scheduled: 02/13/92 Decided: 10/29/92 Case Summary: Customer against Member Firm and non-member for alleged misrepresentation regarding Franklin U.S

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: DavM Wolf v. Prudentiel-Baelw Securities Inc. Attorneys: F^daklMN^): David WM - WilkHS-Barre, PA rOr nsspomeiits}- DmM A Bums Esq. - NoM York, NY Date Filed: ofl/21/91 Firet Scheduled: 02/20/92 Deckled: oa/so/u Case Summary: customer v. Member Firm - Customer aleges respondent fated to transfar stock to Wher'a name to Ms name foNowu^ ttw da«h of Ms fettwr. Product: Eou M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert C. Adelman v Donaldson Lufkin & Jenrette Securities. Corp. and Laura Berger Attorneys: For ClaJmant(s): Evan L. Gordon Esq. - New York, NY For Respondent(s): Brian F. Amery Esq. - New York, NY Joel S. Forman Esq. - New York, NY Date Filed: 07/05/91 Case Summary: ctoimant, is also alleged that the account First Scheduled: 02/O6/92 a customer has alleged

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Wev Rovitoh Tnolee, United Dtosd Ino^ DoitaBd BansfK Penstan Ptan V. £ Jnepti West a SfflUi Barney Harrb U Attorneys: PorCtakimnif^ Ze'ev RevlGh - AtoKBndria. VA For nsepondenlM: Paul K. BarenlioKz Esq. - New York, NY DateFllad:o7/22«i First Soheduled:azAG«2 Deckled: oaowM Case Summaiy: Customer V. Msmhar Fhn a RegistBrBd Represenlatiiw - Chtei« dtoges nondsctosira of JUB to pur

Award NASD In the Matter of the Arbitration Between: Elaine L. Olson, Claimant v. Daniel S. Pikula and National Financial Services, LLC, Respondents Case Number: 01-04867 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant Elaine L. Olson ("Olson") appeared pro se. Respondent Daniel S. Pikula ("Pikula") appeared pro se. For Respondent National Financial Services, LLC ("NFS"): Michael G. Shannon, Esq., Phillips, Lytle, Hitchcock,

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard A. Henderson and Rebecca A. Henderson vs. Legg Mason Wood Walker, Van Ardan, Davkl L Farrington, Barry G. Neiburger Attorneys: For Ciaimant(s): Rtohard & Rebecca A. Henderson - Xenia, OH Fbr Respondent(s): Van Ardan - Oriando, FL C. Gregory Kallmyer Esq. - Baltimore, MD Date Filed: 08/12/91 First Scheduled: 09/25/92 Decided: 09/25/92 Case Summary: Ctoim

New York Stock Exchange NYSE In the Matter of Arbitration Between Ceise: Harry Bates & Delphine Bates v. Prudential-Bache Securities, Inc., Brad Kerr & L Spitove Attorneys: For ClaiRwnt(8): Nancy Kanter Esq. - EHdns Park, PA Fbr RespondenlfB): Brad Kerr - New Yorit, NY Kevin McKay Esq. - New York, NY L Spitove-New York, NY Date Filed: 07/30/91 First Scheduled: iji(p/^9^ Decided: ,//^tf^ Case Summary: Customer v. Member Rrm and Regist

New York Stock Exchange !n the Matter of Arbitration Between Case: Virginia M. Proctor v Advest, Inc. and Diego DelVayo NYSE / Attorneys: For Ctoinwnt(s): Robert Mullen Esq - New York, NY Fbr Respondent(s): Cynthia A Feigin Esq - New York, NY Date Filed: 06/26/91 Case Summary: Customer First Scheduled: i2/09/9i Decided: 04/22/92 against member firm and registered representative for unauttiorized margto trading. Product: EQU

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Selma Ann 'Sally' Bolhower v Oppenheimer & Co.. Inc. Attorneys: For Ctaimiant(s): Selma Ann Bolhower - New York. NY For Reepondent(^: John T. McGuire - New Yoric, NY Date Filed: 08/12/91 First Scheduled: 01/14/92 Decided: 01/20/92 Case Summary: customer agatost Member Rrm for alleged i Claimant seeks to return the annuities to exchange for $130,000.00. i and

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas B. Pileggi v. Legg Mason Wood Walker Inc. Attorneys: For Clatoiant(8): Jerome R. Balka Esq. - Philadelpfiia. PA Fbr Respondent(s): Dana N. Pescosolkio Esq. - Baltimore. MO Date Filed: O8/12/91 First Scheduled: 02/20/92 Decided: 2/26/92 Case Summary: Customer v. Member Firm - Claimant altoges ttiat respondent's failure to execute order resulted in auttior