New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Kay Massineo v. Merrill Lynch and James A. Conner Attorneys: For Claimant(s): William D. Berwick Esq. - Towson, MD George W. White, Esq. For RespondentCs): Jeffrey P. Btoom Esq. - Washington, DC Date Fiied: 03A)I/91 Case Summary: customer v. First Scheduled: IOAU^I Member Rrni & Registered Representative - unsuitable trades Product: OPT Decided: 2/3/

• !*\'r'-vi«i; ••• -•—"^ / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Westhoff v Bear Steams & Co. inc. Attorneys: For dakinntia): Judith Viadeck Esq. - New York, NY For Respondent(s): Rtohard J. Schaeffer Esq. - New York, NY Date Filed: 02/22/91 First Scheduled: 10/24/91 Decided: 04/22/92 Case Summary: Registered Representative (former emptoyee) against Member Rnn for alleged onpaki rebates fr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers v William Gray Attorneys: FflfClaimantW: C.W. Flynn Esq. - Dallas, TX For naapuiiUent(«); Wiiam L. Gray - Dallas, TX Date Filed: 03/13/91 Rrst Scheduled? Decided: 04/09/92 ///:z a/^/ Case Summary: Member Frm v. Registerad Repreaentative for alleged falure to repay promissory note after respondant left daimant's employ. Product:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Drexel Burnham Lamben, Inc. v Gary Baer Attorneys: For Claimant(s): RonaM Shindler Esq. - Miami, FL For Respondent(8): Gary Baer - Tamarac, FL Date Filed: 03/22/91 First Sctieduied: 12/11/91 Case Summary: Member Rrm V Registered Represenative for alleged failure to Product: Decided: repay promissory note after Market: 7/23/92 respondem left claima

c New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sam and David Strassman vs. PaineWo't Ix}., '.r: Attorneys: For Clainiant(s): Steven Kessler Esq. - Mckeesport, PA For Respondent(s): Paul Thomas Esq - Weehawken, NJ Date Filed: 01/15/91 First Sciieduled: O6/07/91 Decided: 10/14/92 Case Summary: customer against member firm for violation of 1933 Adt and 1934 /tet in purchase of preferred stock. Product:

/ New York Stock Exchiange In the Matter o£ Arbitration Between NYSE Case; Mehrdad Daneshgar v Merrill Lynch, Pierce Fenner ir Smith, and Allan bhenker, and Does 1-20, inclusive Attorneys; For ClaiaantCs): Conrad Goerl Esq. - Oakland, CA For RespondentCs); Robert i. Sulluold Esq. - San Francisco, CA Date Filed: 03/14/91 First Scheduled: 02/26/92 Decided; 02/27/92 Case SuBuary: Ci-AIMANT, A CUSTOMER, HAS ALLESED THAT IN CONNECTION UIT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04832 Leslie E. Boss and Marsha A. Boss, Individually, and as Co-Trustees of the Leslie E. Boss Revocable Trust; Leslie E. Boss IRA; Marsha A. Boss IRA; Leslie E. Boss, Trustee, Glue Products of Florida, Inc. Defined Benefit Plan u/a dtd 12/30/99; Michel R. Ranger and Claire J. Ranger, Individually and as Co-Trustees of Clair

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard PIstona v. Waterhouse Securitias. Inc. & Timothy O'Laary Attomeys: For ClainianlC^: Alan M. Lerner Esq. - R. Lauderdale, FL fet RasBandanllU: Jamea RIttlnger Esq. - New York, NY Date Filed: 09/14At First SctMduied: 04/oB/ge Decided: oAnwn Case Summary: customer v. Member Rmt and Registered Repraaenlallva for aileged falura to tranefer Keough account to respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Diana L. Thomson and Christopher Thomson vs. Oppenheimer & Co., Inc. and Don Zwiebel Attorneys: For Claiinant(s): A. Kyle Johnson Esq. - Seattle, WA FOr Respondent(s): John T. (McGuire Esq. - New York, NY Louis Peterson Esq. - Seattle, WA Date Filed: 02/09/91 First Scheduled: 08/21/91 Decided: 01/10/92 Case Summary: Customers vs. Member Firm and Registered Rep al

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: AtHce McGraw, et. al. vs. Shearson Lehman Hutton and Davkl Levin Attorneys: For Claimant(s): Steven J. Gard - Atlanta, GA For Respondent(8): Lonnie ZangriUo - West Palm Beach.. FL Date Filed: 03/28/91 First Scheduled: 03/30/92 Decided: 03/31/92 Case Summary: claimants assert unsuitability, churning, vnlatnns of NASD rules: Artele III. SI. 32. S18. S27. NYSE Rules 401