New York Stock Exchange ^h the Matter of Arbitration Between NYSE Case: First of Michigan v Kerry Chahil Attorneys: For CtaJmant(s): Jeffrey D. Plopa Esq. - Detroit, Ml For Re8pondent(s): Kerry Chahil - Dearborn Heights, Ml Date Filed: 07/05/91 First Scheduled: 03/24/92 Decided: 03/24/92 Case Summary: Member Firm against customer for alleged non-payment of note. Product: Market: Claim Data Claim: $8,183.88 Punitive: $

r ( " • New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arthur Gieringer vs. Shearson Lehman Brothers Inc. Attorneys: For Claimant(s): Arthur R Gieringer - Milwaukee, Wl For Respondent(s): ^li ih Date Filed: 07/02/gi First Scheduled: 05/19/92 Decided: 3- Case Summary: Customer v Member Firm for alleged misrepresentation regarding Investment for claimant's account in Polly Peck International

y New York Stock Exchange a the Matter of Arbitration Between NYSE Case: Prudential Secwittoe Inc. v. Marcia Sins and Owen Steinberg Attorneys: For CtaimamM: Jack Stain Esq. - R. Lauderdato, FL Debbie Stone Esq. - New York, NY For Re6pendeni(t): Owen Steinborg - Ft. Lauderdato, PL Date Filed: 05/31/91 First Scheduled: 04/07/92 Decided: 09/17/92 Case Summary: Member Firm V. Customer for payment ol a debit batonce altogedly due on

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Epplar Gtoerm a Turner v Lee Allen Chaskin Attorneys: For ClaimBnl(s): SUwenDaran Esq. - Dallas, TX For Roipondefit(e): Lee A. Chaston - San Antonio. TX Date Filed: o«/o4/8i First Scheduled: 04/08/92 Decided: ^ J^/^'2- Case Summary: Member Firm v Former Emptoyea for payment of the outstanding batonce altogedly due on a promissoy note issued by claimant to respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Keeling Lasslter v Merrill Lynch and /\nthony Heyman Attorneys: For Ctoimant(s): Charles K. Lasslter - New York, NY For Respondent(s): Ralph M. Cursio Esq. - Mineola, NY Date Filed: 06/11/91 First Scheduled: 12/17/91 Decided: 05/07/92 Case Summary: Customer against Member Firm and Registered Representative for alleged breach of fiduciary duty and unsultabto t

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: county Natwest Securities Corp. USA v Jesup, Josephthal & Co., Inc. a/k/a Securities Settlement Corporation, John J. Gebtiia, John M. Getibia, Neuberger & Berman and Gordon Capital Corp of Toronto Attorneys: For Claimant(s): Leonard Steinman Esq. - New York, NY Fbr Respondent(s): James Kaufman Esq. - New York, NY John Madden, Jr. Esq. - New York, NY Thomas Rigilano Esq.

c 1 ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dr. Halm H. Kretsch w Merril lynch, Pierce, Fenner & Smith, Inc. i and Bank One, Columbus, N.A. Attomeys: For Claimam(s): Howard G. Slavit Esq. - Washington, DC Fot Respondent's): Daniel Dolan Esq. • New Yark, NY Date Fiied: 06/25/91 First Scheduled: y/^y/r2. Decided: /A^/^ Case Summary: Customer v. Member Firm and Non-Member Firm, alleging

New York Stock Exchange in the Matter of Arbitration Between NYSE- Case: Lawrence & Ann Marie DeRose v Prudential-Bache Securities Inc. Attorneys: For Clainwnt(s): Lawrence Schechterman Esq. - Boca Raton, FL Fbr Respondent(s): Patrtoto A. Roy Esq. - New York, NY Date Filed: 06/18/91 First Scheduled: 02/11/92 Decided: 06/04/92 Case Summary: customers v Memtwr Firm for alleged misrepresentation and negligence In recommending that customers

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04856 First Union Securities Financial Network, Inc., claimant vs. Max Rosado, respondent. ATTORNEYS: For Claimant appeared Gregory S. Tendrich, Esq., in-house counsel, Boca Raton, FL. Respondent did not respond to the Statement of Claim, DATE FILED: September 17, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the balance due and owing under his promissory note

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Hercaia Romero v. Prudential-Bacha Securitios, Inc., Shearson Lehman Hutton Inc. & Mtohael R. Comrave Attorneys: Fbr CUmutHa): Edward Faekanttial Esq. - Norristown, PA For Respondwil(i}: Marc Durant Esq. - PhKaelphia, PA Frands X. Manning Esq. - Philadelphia, PA Date Filed: 07/01/91 First Scheduled: 01/22/92 Deckled: oa/25«2 Case Summary: Customer v. Member