y i New York Stock Exchange In the Matter of Arbitration Between NYSE Case: C.R. Joshi, M.D. v. Oppenheimer & Co., Inc., Eduard Godfrey, Hichael Parness, and Nark Biderman Attorneys; For ClaiBant(s}: C. R. Joshi, M.D. - SSini Ualley, CA For RespondBnt(s>: Eugene L. Small Esq. - New York, NY Date filed; Case Summar claimant's i 03/25/92 y: Customer nwestment in First Scheduled; 02/2^/93 V Member firm and registered rep

< ^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: MGW Manufacturing Corp. vs. Shearson Lehman Bros.. Inc.. and Judy Lane Attorneys: l=6r Claimant(8): John E. Lawlor Esq. - Garden City. NY For Respondent(8): Paul R. Williams Esq. - Garden City, NY Date Filed: 03/16/92 First Scheduled: 07/27/92 Decided: 06/14/93 Case Summary: Customer vs. Member Firm and Registered Reps for alleged unsuitability. misrepresentations,

New York Stock Exchange In the Matter of Arbitration Between NYSE y ^?se: Richard A. Eggleston and Mildred C. Eggleston v Many J. Artieri, Shearson Lehman Brothers and Advest, Inc. Attorneys: For ClaimMl(a): Richard A. Eggleston & - Tonawanda. NY For Raipondanl(s): Daniel B. Bennan Esq. - Syracuse, rilY Wmiam C. Freitag Esq. - Hartford. CT Cory J. Hogan Esq. - Amherst, NY Date Filed: 03/24/92 First Scheduled: 10/13/02 Decided: 11

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David S. Harris v Sutro, Inc. and Rodger Hargear Attorneys: For CtoknartUfi): Walter W. Moore Esq. - San Francisco, CA For Respondent's): /Vbe Lampert Esq. - San Francisco. CA Date Filed: 03/12/92 First Scheduled: Decided: 3{(l^3' Case Summary: Claimant, a customer, has alleged that respondents engaged in an unsuitable trade by purchasing residential resdurce mortgag

New York Stock Exdiange In the Matter of Arbitration Between NYSE Casa: Stuanon Lalman Bradwre, Inc. v. Alaa 8«aiu AttomsyB: ForCWnwilM! Fdf RaapondanttA: AliK Saenz - VMura, CA Date Filad: 09/11/02 Casa Summary: MMnbarFlrmagi wUti Slwanon^ amployMa. First Scheduled: «a»»3 Decided: ^ 0 3 ^ 13 iJnatfcHwiarfegiiMradwpriaKtMlwterlifaadiofcoiarKaawiunlawftilr Product: Market: Claim Data Claim: $23.ooox)0 Punitive: $O.

y New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case; George Kaceuicz v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Uilliam B. Linas Attorney's: For Claiaant< s>: Nona Uilliams Esq. - Los Angeles, CA For tteapandBntCs): Dennis Pape, Esq. - New York, NY Date Filed: 03/10/92 First Scheduled: 02/24/93 Decided: 02/25/93 Case Suimnary: Claimant alleges his losses uere caused by the negligence and breach of f

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Betty N. Jenkins, Claimant v. WMA Securities, Inc., James Allan Kenas, and John F. Tenold, Respondents Case Number: 01-04726 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Arian Colachis, Esq. Mark Roth, Esq. Golbeck Roth & Colachis PLLC Seattle, Washington For Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Bernard M. Tyrka Case No. 00-01324 Names of Respondents Prudential Securities, Inc. Richard Clark Miller Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For the Estate of Bernard M. Tyrka, hereinafter referred to as "Claimant": Patrick A. Davis, Esq., Clearwater, FL. For Prudential Securities, Inc. ("Prudential") and Richard Clar

Mow Wr>^^ ^"** r»r-»ir Rychianfffi In the Matter o£ Arbitration Between _c NYSE Csis'. Reir.y Sc^neiaar i Rsi::y Sd^nsider, Inc. v Oppea^aiasr 4 Co., Inc. S Robert Ssssa For Cl5i< 9nt(s): ?ar RsapondeRtCs); Hafa C4 IQH- m^lO^Q? non-irfwF*' nfi./9n/QQ •^>UWW WUHKKUI 7 • VUWVWMIWI u^u & • li^ w ••WftiWWI • * • IM UIN4 • ^WQ * W tf t« I W«J l4Wp I WvfWI I WW V A V W < WI U A *W^WW LiflDwwlt Wl WW • I V< Sw W f Wl Wawl I Wl wU W^ Wl 1 •'"RCHOHTltH^inn

4e> /ork Stock Exchange n the Matter of Arbitration Between NYSE )ase: Maryjane A. Cartmell v Shearson Lehman Brothers. Inc. attorneys: or Claiinanl(s): red A Acuff, Jr. Esq. - Memphis. TN or Respondent(8): itephen H. Biller Esq. - Memphis. TN )ate Filed: 02/20/92 First Sctieduied: 03/16/93 Decided: 05/04/93 )ase Summary: customer v Member Rrm alleging respondent made false end misleading representations concerning investments in High Yi