New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gail Evans (Trustee of Gary F. Evans Trust) v Bear Steams & Company Inc. Attorneys: For Clainiant(s): Davki E. Shellenberger Esq. - Boston, MA Fbr Respondenl(8): Gene K. Landy Esq. - Boston. MA Date Filed: 06/09/92 First Scheduled: 01/12/93 Decided: 1/21/93 Case Summary: customer egalnst member firm for alleged unsuitability. breach of contract, vnlattons of the Secu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael P. Belanger v Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Claiiiiant(a): Michael P. Belanger - Lincoln, MA Fbr Respondent(a): Arthur H. Sobel Esq. - New Yoric City. NY Date Filed: oem/sz First Scheduled: 12/15/82 Case Summary: Customer against member firm for alleged failure to execute a Product: EQU Decided: 1/14/93 seH order and breach of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder. Peabody & Co. Incorporated v. Gerard T. Weisbecker Attorneys: For Clalmant(s): William H. Phelps Esq. - Los Angeles, CA For Respondent(s): Davki R. Merrihugh Esq. - /Vgoura Hills, CA Date Filed: 06/17/92 First Scheduled: 04/26/93 Decided: "^fU^^hj Case Summary: Member firm against former registered representative for breach of promissory note - $450,000. Resp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Karel & Stasha Prochazka and 01-04743 Denver, Colorado Names of Respondents First Union Securities, Inc. Martin Hajek REPRESENTATION OF PARTIES Karel & Stasha Prochazka ("Claimants") were represented by Bradford J. Lam, Esq., of Hall & Evans, Denver, Colorado. First Union Securities, Inc. ("First Union") and Martin Hajek ("Hajek") were represent

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carol Quigley vs. Pnxiential Securities, Inc., Prudential Bache High YieM Fund, Inc., Ronakl G. Benzel and Jane Doe Benzal Attorneys: For ClainMni(s): Charles A Cleveland Esq. - Spokane. WA For Respondents): Christian N. OMham Esq. - Seattle, WA Date Filed: O6/12/92 First Scheduled: 11/19/92 Decided: 11/19/92 Case Summary: customer vs. Member Firm, Fund and Registere

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Isabel F. O'Donnell v Shearson Lehman//\merican Express, Inc. and Mike Hargis Attorneys: For Claimant(s): Cameron Campbell Esq. - La Jolla, CA Fbr Reepondent(s): Stephen Young Esq. - Long Beach, CA Date Filed: 05/22/92 First Scheduled: 01/O6/93 Decided: 05/12/93 Case Summary: Former registered representative against member firm and assistant branch manager for

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Hadley v. Robert W. Balrd & Co. Incorporated and Robert Slater Attorneys: For Ctaimanl(s): David P. Lowe Esq. - Milwaukee, WN For RatpondenKs): David J, Hase Esq. - Milwaukee, WN Date Filed: DS/11/92 First Scheduled: 10/10/92 Decided: tla(i< i Case Summary: customer against member firm and registered representativB for violation of state tMouriries law. breac

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Beate Kittle-Glass vs. Prudential Securities, f/k/a Prudential Bache Securities, I. Lee Finberg and Herbert Means Attorneys: For Claimants): C. Randolph Colemen Esq. - Jacksonville, FL For HeBponder«(8): Rk^rd L. IMartens Esq. - West Palm Beach. FL Date Filed: 06/08/92 First Scheduled: 12/15/92 Decided: 06/16/93 Case Summary: customer vs. Member Firm and Registered Reps alleging

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smith Barney Harris Upham & Co. v Therashina Grahame Attorneys: Fk>r Clainiant(s): Scott E. Kresch Esq. - New York. NY Fbr Respondent(s): Joseph Fleming Esq. - New York. NY Date Filed: 05/14/92 First Sciieduled: 12/15/92 Decided: 11/22/93 Case Summary: Claimant, a member firm, has alleged that respondent failed to repay money due on a promissory note. Respondent file

y "iew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Irandokht Lange Dodson and Thomas Dodson vs. Shearson Lehman Brothers Attorneys: For Clalmanl{t): Warren J. Krwust Esq. - St Petersburg, FL For Respondeni^s): Miles 0. Hart Esq. - SkMsmfleM Hifls. Ml Date Filed: 0&'28/02 First Sciieduled: io«3/o2 Decided: 03/19^3 Case Summary: Customers vs. Member Rrm aUeging unsuhabie investments ki optk>ns and churning. Clai