New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: shearson Lehman Brothers, Inc. -v- Francis Roger Jannette Attorneys: For Clainnnt(8): James T. Meyer Esq. - New York, NY For Respondent(s): Francis R. Jannette - Syosset, NY Date Fiied: 01/03/91 First Scheduled: 07/11/91 Decided: ot>/oi/92 Case Summary: claimant seeks balance on promissory note executed by customer in connection with det>lt incurred in account.

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Patrnja S. Fritzsche v Shearson Lehman Brothers, Inc. Attorneys: R>r Clajniartt(s): Hekii Fritzsche - New York, NY For Respondent(s): Kevin McCann Esq. - Hartford. CT Date Filed: 12/31/90 First Scheduled: 11/13/91 Oecided: *1/ai/92 Case Summary: customer against member firm for alleged failure to supervise and unsuitability. Product: P-SHIP Market: othe

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllllam and Virginia Albaugh v Interstate Securities Corp., and Katy Tahon Attorneys: For Claimant(s): Kathleen Molchan Esq. - R. Lauderdale, FL For Respondent(s): Lk)yd R. Schwed Esq. - Miami, FL Decided: 3/2< C/9'2. Date Filed: 12/11/90 First Scheduled: 03/24/92 Case Summary: customer v. Member Firm and Registered Representative for alleged fraud, churning and

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Gershon A. Stern v Oppenheimer & Co., Peter Garrett and Robert Hord Attorneys: For Claimant(s): Gershon A. Stem - Vineland, NJ Fbr Respondent(s): Eugene L Small Esq. - New York, NY Date Filed: 12/13/90 First Scheduled: 09/25/91 Decided: 01/21/01 Case Summary: Customer against Member Rrm and Registered Representatlva for alleged unauthorized trading involving Eu

New York Stock Exchange In the Matter of Arbitration Between J NYSE Case: Shearson Lehman Brothers, Inc. -v- Stephen Savage Attorneys: For ClaJniant(s): James T. Meyer Esq. - New York, NY For Respondent(s): Stephen Savage - R. Meyers, FL Date Fiied: 11/14/90 First Scheduled: 10/11/91 Decided: 10/05/92 Case Summary: Claimant seeks balance of promissory note from former employee. Product: OTHER Market: other Claim Data Clai

New York Stock Exchange In the Matter of Arbitration Bet-ween Case: Grurtet & Co.. inc. v David O'Connor AtlorneyB: For CtiiiTW«(i); OaVld Rappaport Esq. - New York. NY fat riaipcndaniW: David O'Connor - PIRtburuh, PA NYSE Date Filed: 01/04/91 First Scheduled: oemr/at Decided: aanam Case Summary: Member fbm agalntt former reoBtornci fopFDMntaiiva for talaiwa dto en a eromlMiry nela-^$4,000.00 Product: Mailtel: Oihar Claim Dat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: ShawsonLahmui HUtonHaldln0»lnavi. John A.Minoey Attorneys: F^CUMiiM: Lo(«M Baltoy Matt Esq. - Attenta. QA For RNpondflrtiM: Arthur P. Fbch Esq. - New York. HY Date RIed: ii/2S.'9o Rrst Scheduled: camw Decided: 8/4/92 Casa Summary: Member iu» for non-peymam o( ptomlMory noto for ittdebtednen mcurrod from purahatine SLH stook. for non-^ymeni of preminory note fltnd

New Yorl< Stock Exchange In the Matter o£ Arbitration Between NYSE lasei Sfflitn barnev Karris UPJIS." X io, v (iiosn Hnde''50f! rittonieys; For Claiiant(s>: Scott t. Krescr. [.=q. - Neu Vort, N" For Re3pondent(s): fiiden undersoil - i.05 iiitos, CS Date rileci; ii/OT.-'SJ Fust Schoauieo: 01/21/32 [iEciriea: 01/21/32 Case SunsBiary: (,iaiis3r,t, a iceiTiber hrn!, ha."! alleged ihat respondeni;, a fcraier enipioyee ."las railec! to repay

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Urraca Investment Corp and Cative Corporation v. Shearson Lehman Hutton and Alberto Alvarez and Alex Lacayo Attorneys: For Claimant(s): Dennis Nowak - Miami, FL For Respondent(s): Lonnie Zangrillo - W. Palm Beach, FL Date Fiied: 11/20/90 First Sctieduied: 10/O8/91 Decided: 4/I6/92 Ccise Summary: Customer v. Member firm and Registered Representatives for alleged fraud

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: smith Bamey Harris Upham v. David Siegel Attorneys: For Claimant(s): Scott Kresch Esq. - New YorK NY Fbr Respondent(s): David A. Coven Esq. - FL Lauderdale, FL DatS-Filed: 12A)4/90 First Scheduled: 09/13/91 Decided: 12/11/91 Case Summary: Member Rrm v. Registered Representative for alleged failure to repay promissory note after respondent left claimant's employ.