New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jeremy Goki vs. Morgan Stantoy & Company Attorneys: Fbr Clainiant(s): Laura S. Schnell Esq. - New York, NY For Re8pondenl(s): Carol S. Bernheim Esq. - New York, NY Date Fiied: 03/16/90 First Sciieduled: 08/08/90 Decided: 03/27/92 Case Summary: claimant asserts breach of Employment Agreement Product: TRAINING AGREEM Market: NYSE Claim Data Ciaim: $1,25

New York Stock Exchange n the Matter of Arbitration Between y NYSE Case: Justin McCarthy vs. Dean Witter Reynokis Attorneys: For Ctainiiant(8): Paul T. Shoemaker Esq. - New York, NY For Re8pondent(s): RonaM M. Green Esq. - New York, NY Date Filed: 01/19/90 First Sciieduled: 09/24/90 Decided: 04/15/92 Case Summary: Registered Rep vs. IMember Finn to recover his 1988 incentive compensation allegedly due and owing from Respondent. As a

New York Stock Exchange in the Matter of Arbitration Between / NYSE Case: Vincent P. Murray vs. UBS Securities Inc. Attorneys: ForCUmaUffi: Mtohael Burrows Esq. - New York, NY Fbr niipondBnt(t): Paul C. Kurland Esq. - New York, NY Date RIed: 09/27/90 First Sciieduled: 03/26/91 Decided: 06/09/92 Case Summary: Registered Rep (ex-emptoyee) vs. Member Finn aHegtog breach of emptoyment contrect, breech of bonus Art. 6 of the New Yorit

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Diamantlno & Rose Assuncao v Shearson Lehman Hutton, Inc., Jon Vargo, Skiney D. Krasner and Andrew Rudolph and Shearson Lehman Hutton. Inc. v Jon Vargo Attorneys: For Claimant(s): Benjamin P. Mtohei Esq. - Morristown, NJ Fbr Respondent(s}: Casey Baum Esq. - New York, NY Herbert Jacobi Esq. - New York, NY Date Filed: O6/10/90 First Scheduled: 12/06/90 Decide

New York Stock Exchange In the Matter of Arbitration Between NYSE/ Case: Zwda CorporUm, Zig Zig CorporMion & Right Inveitmenit CarporaHon v ShaarBon Lehman Hutton and FrmciteD Parran v ktoidowBod Inil. Corp. Attorneys: ForCWmMtW: Vtotor Diaz Esq . Mtomi, PL Barnard S. Mandlar - Miami, PL For HatpondBnl(a): Richard Manene Esq-W. Palm Beaeh.R 33402, FL Fbr 3rd Party: Ittae Mikienberg - Mlrnii. PL Data Filed: omoM First Scheduled: 0

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04813 William and Viola Vaughan, claimants vs. Scottrade, Inc., respondent. ATTORNEYS: Claimants appeared pro se, Ashland, VA. For Respondent appeared Christopher Meitz of the firm's compliance department, St. Louis, MO. DATE FILED: 01-04813 CASE SUMMARY: Claimant alleged that respondent failed to execute the sale of 2000 shares ofEltecInc., (ELTK). Claim Data Award Data

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: J.C. Bradford & Co. v Lawrence York Attorneys: For Claimant(s): James Davis Esq. - Nashville, TN For Respondent(s): Ronald Newcomer, Esq. - Lexington, KY Date Fiied: 10/10/90 First Scheduled: 07/O8/92 Decided: \xlih'^ Case Summary: Member Firm V Registered Representative for alleged failure to repay promissory note after respondent toft ctolmant's emptoy. Respond

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton v. Jack Mereditti Attomeys: For Claimani(s): Debra Jenks - W. Palm Beach, FL For Respondents): Mtohael R. Casey Esq. - R. Lauderdato, FL Date Filed: 07/31/90 First Scheduled: 12/11/91 Decided: / ^ . / / j ^ / ^ / Case Summary: Member Rrm V. Registered Representative for failure to pay promissory note afte

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: lOdder Peabody & Co. v Robert Davis Attorneys: For Clain»nl(s): Rtohard Kelly Esq. - New York, NY For Respondent(s): Jannn Word OtorU Esq. - R. Worth, TX Date Filed: 04/18/90 First Scheduled: 04/18/91 Decided: ^/7/T^ Case Summary: Member Firm V. Registered Representative for balance on promissory note altogedto be due after Respondent left claimant's e:, o (M

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Zink v. Merrill Lynch and Peter Childs Attorneys: Fbr Claimant(s): Robert Zink - Tulsa, OK For Respondenl(s): John Athens - Tulsa, OK Date F-iied: 09/30/90 Rrst Scheduled: 11/ig/go Decided: 11/20/91 Case Summary: customer v. member Firm and Registered Representative for alleged fraud and misrepresentatton in connectton with the sale of WPPSS bonds and Sout