New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carpannar's Health & Welfare Fund v Merrill Lynch Pierce Fenner A Smith, Inc. Attorneys: For Clabmnt(^): Merle L Sihierstain Esq. - SL Louis. MO Fat Respondenlfa): Francis C. Musseknan Esq. - New York, NY Date Filed: oama/sz First Scheduled: 03/i$/93 Decided: 03/I6/93 Case Summary: claimant, a customer, hes alleged tiiat respondent made misrepresentattons regarding t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrill Lynch Pierce Fenner & Smith Inc. v. Fredertok J. Mastroni Attorneys: For CUmartHs): Dantol T. Fitch Esq. - Philadelphia. PA For neipondont(s); Frederick J. Mestroni - Richboro. PA Date Filed: 08/10/92 Case Summary: Member Firm V. Customer- First Scheduled: 05/26/93 - Claimant altoges nonpayment of debit balance in Product: OTHER Decided: 05/26/93

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Doris L CiriHo, Administratrix of the Estate of Lawrence P. Cirilto v. Legg Mason Wood Walker Incorporated v. Mtohael Seder Attorneys: FarClalnianl(s): Rtohard C. Angino Esq. - Harrisburg, PA Fbr Respondenl(s): Andrew J. Bowden Esq. - Baltiniora, MD For 3rd Party: Thomas D. CaUwell Esq. - Harrisburg, PA Date Filed: O8/10/92 First Scheduled: 07/22/93 Decided: 07/2

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., Inc. v Robert Stephen Shea Attorneys: For ClaJmant(s): Emilia DeMeo Esq. - New York, NY For Respondent(s); Robert S. Shea - Newton. MA Date Filed: 08/10/92 First Scheduled: 02/16/93 Decided: 2/16/93 Case Summary: Member Firm against Registered Representative for unpaid balance on promissory note and for alleged damages owed for breach of employment

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Bros., Inc.. f/k/a Shearson Lehmen Hutton vs. Sandy J. Masselll. Jr. Attorneys: For Clainiant(8): James T. Meyer Esq. - New York, NY Fbr Respondents): Sandy J. Masselli Jr. - Long Branch, NJ Date Filed: 08/12/92 First Scheduled: 12/28/92 Case Summary: Member Rrm seeks belance due on e Promissory Note from former emptoyee Product: Decided: 05/2

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph F. Mastrangelo vs. Olde Discount Corp. Attorneys: For ClainMuit(s): Joseph F. Mastrangelo - Haworth, NJ Fbr Re8pondent(s); Lisa Flldes Esq. - Detroit. Ml Date Filed: 08/12/92 First Scheduled: 12/03/92 Decided: 01/14/93 Case Summary: customer vs. Member Firm alleging he gave a 'good til cancel order' to sell his positton in Wellman. Inc. stock at $30,375

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Annette Mercantini and Valerie Dellavalto vs. McLaughlin Piven Vogel Securities. Inc. Attorneys: For ClaJnfmnt(s); John E. Lawlor Esq. - Garden City. NY Fbr Respondent(s); George W. Clarke Esq. - Huntington, NY Date Filed: 07/30/92 First Scheduled: 10/01/93 Decided: 12/02/93 Case Summary: Customer vs. Member Firm and Registered Rep alleging misrepresentations, omissi

L/ New York Stock Exchange il the Matter of Arbitration Between NYSE Case: Agatlia Stanton and Lee Stanton v Ronald Williams and First of Michigan Corporation Attorneys: For Clannant(8): Lee M. Stanton - Escondidto. CA Fbr Respondeni(s): Jeffrey D. Ptopa Esq. - Detroit. Ml Date Filed: 07/24/92 First Scheduled: 01/05/93 Decided: 05/10/93 Case Summary: customer against member firm for unsuitat>le recommendation and purchase of G T. Eur

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Paired Enterprises. Ltd. v. National Financial Services Corporation; First Westchester v. Nattonal Financial Sennces Corporetnn Attorneys: For Claimant(s); Barry S. Augenbraun Esq - New York. NY Fbr Respondent(8): Charles D. Donohue Esq. - New York. NY Date Filed: 07/22/92 First Scheduled: 3)(l. ?3 Decided: ?ih3 Case Summary: customer against member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria E. Wilhelm, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Claudio Tarchi, Respondents Case Number: 01-04763 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Daniel J. Bergeson, Esq. Bergeson Eliopoulos, LLP San Jose, California For Respondents: Peter Brown Dolan, Esq. The Dolan Law Firm Los Angeles, California CA