New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John C. Belluardo v Shearson Lehman Brotfiers Inc. Attorneys: For Clainiant(s): John C. Belluardo - Leominister. MA For Respondent(s): John Bevllacqua - *Tew York, NY Date Filed: 05/12/92 First Scheduled: 10/22/92 Decided: 2/17/93 Case Summary: customer against member firm for alleged unsuitability and mismanagement. Product: EQU Market: NYSE Claim Data

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mr. & Mrs. Mario G. Suvillaga & Mr. & Mrs. Pedro S. Mendoza v. Dean Witter Reynokls. Inc. & Davkl E. Jetonek Attomeys: For Claimanfa): Guy W. Harrison Esq. - Miami. FL For Reapondenl(a): George D. Sullivan Esq. - New Yortc. NY Date Filed: 04/20/92 Rrst Scheduled: 07/15/92 Deckled: 12/17/93 Case Summary: Claimants alleges misrepresentatkxi regarding unsuitable investment in m

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Deane Rudofker v. Tucker Anthony, Inc. Attorneys: For Ciainiant(8): Joseph S. Elmaleh Esq. - Philadelphia, PA Jacqueline G. Smyers Esq. - Philadelphia, PA Fbr Respondent(s): Patrnk J. Rowley Esq. - New York, NY Date Filed: 05/04/92 First Scheduled: 01/21/93 Case Summary: claimant alleges breach of employment agreement, failure to resulted in mental and emti

'iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Angek> J. and Marie Mazzarella vs. AG. Edwards and Sons and Jeffrey Thiele Attorneys: For Clainiant(s): Fredernk C. Kramer Esq. - Marco Island, FL For Reepondent(s): Mkshael 0. Gates Esq. - St. Louis. MO Date Filed: 04/24/92 First Scheduled: 10/13/92 Decided: O6/21/93 Case Summary: Customers vs. Member Firm end Registered Rep alleging misrepresentatnns and omissnns

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David S. Charlaff (Claimant) v. First Union Securities, Inc. (Respondent) and First Union Securities, Inc. (Claimant) v. David S. Charlaff (Respondent) Case Number: 01-04739 (consolidated w/ 01-05691) Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member -and Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, David S. Charlaff ("Charl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Bros. w. Edenrd Plunaciier Attorneys: For Clainianl(a): James T. Utoyer Esq. - New York. NY For Respondents): Edward Plumacher - Bay Shore, NY Date Filed: os/04/92 First Scheduled: 11/23/02 Decided: 11/23/92 Case Summary: Member Firm vs. Customer/Registered Rep alleging forgery, misrepresentatnns, breach of contract and breech of fiduciary duty. C

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andrew Kane v Gruntal & Co., and Irving Freiberg Attorneys: For Claimant(s): Thomas A. Blumenthal Esq. - Ridgefleld Park. NJ For Re8pondent(s): David R Rappaport Esq. - New York, NY Date Filed: 04/27/92 First Sciieduled: 01/29/93 Decided: 04/20/93 Case Summary: customer v Member Firm and Registered Rep. alleging the Registered Rep. purchased 300 shares of Xoma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald A. and Betty Smith vs. Shearson Lehman Bros. Attorneys: For Ciainiant(s): Donald A. Smith. Jr. Esq. - Tampa. FL For Respondent(s): Ann Parry Esq. - New York. NY Date Filed: 05/04/92 First Scheduled: 10/21/92 Decided: 10/21/92 Case Summary: customer vs. Member Firm for alleged failure to execute a sell order. Product: EQU Market: NYSE Claim Data

y New York Stock Exchange In the Matter of Arbitratioa Between Caae: • OD. Inc. V. fMSR Hungttar NYSE AtKimays: Vinaent J. Hert Eaq. - Chkago, IL Por RaipandMtM: J. Waam HelMd &q. - GfiOBgD, IL Date Filed: 04/ts/9e First Sohadviad: UManm Dacided: oa/22/83 Caae Gummaiy: Membv imn acaow < on"v rsgMered nvnaamm m efdaimaflorClelniBnt far«81,M0.O0. Claim Data Claim: $21,000.00 Punitive: «o.oo Any Feea: IOJOO De

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andrew M. Smukler v. Shearson Lehman Brothers Inc. Attorneys: For Clainwnl(s): Martin J. Sobol Esq. - Philadelphia. PA Fbr ReBpondeni(s): Davkl C. Frenceski Esq. - Philadelphia. PA Date Filed: 04/20/92 First Scheduled: 11/04/02 Decided: 7/14/93 Case Summary: Claimant alleges wrongful breach of agreement in that his discharge was not stated as 'voluntary resignaiwn*.