^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alfred J. Miraglia and Kathleen A. Miragiia v Mary G. Dunlap, and Smith Bamay, Harris Upham & Co. Inc. Attorneys: For ClaJmant(a): David E. Shellenberger Esq. - Boston, MA For ReepondantCs): Sheila A. Chenfln Esq. - New York, NY Bryan G. Killian Esq. - Boston, MA Date Filed: 01/16/92 Rrst Scheduled: 07/07/92 Oecided: : 05/24/93 Case Summary: Customer against

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dr. Robert Gitaon v Shewson Lehmen Hutton Attorneys: Robert Gibson - Ponca City. OK For Ro8ponoertf(8f: Bartiara L Wokz Eaq. - Tulsa. OK Data Filed: 11/21/81 First Scheduled: oemtaz Oacided: ot/ta/ss Casa Summary: Customer V Member Firm for aHeaBd unauttwraed Icwalmui*^ in aquae* and account churning. Itapondart i»tniiir.^Mfni for an unpaid balance in Ihe account.

New York Stock Exchange in the Matter of Arbitration Between y NYSE Cose: Gr«g R. Stuart v Gruntal & Co., Im. Attorneys: For ClBimanl(s): Sttvwi E. Murra Esq. - Maymard, MA For Ruf«ndent(s): Eric S. Hutner Esq. - Now York, NY Date Filed: 12/26/91 FIrat Scheduled: O8/12/&2 Decided: 3/11/93 Case Summaty: Registered Representative against Member Frm fbr alleged breach of ccntract, wrongful termination, Intentlonel Inflictions of emo

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Alberto Dana, Jaime Dana and Marcos Dana, as agents for Bretterville Corp., Salvador Roffe, Alfredo Roffe, Eldon Chomer, Bella Chomer, Jacobo Cohen, Jaime Cohen and Sarah Cohen v Prudential Bache Securities, Fred Behrens, Claudia Solorzano and Marlcela Blandon Attorneys: For Clainiant(8): Andrew C. Hall Esq. - Miami, FL Fbr Re8pondeiit(s): Sara Soto Esq. - Miami, FL Date Filed

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Rodger Nick Allen, Individually, as Settlor of the Nick and Jo Carol Allen Irrevocable Tmst dated 11/13/2001 and as Trustee of the Rodger N. Allen Revocable Tmst dated 12/22/95. and Russell A. Fracassa, as Tmstee of the Nick and Jo Carol Allen Irrevocable Tmst dated 11/13/2001 and Case Number: 04-05563 IHearing Site: Kansas City, Missouri Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ADP Clearing & Outsourcing Services, Inc., f/k/a Fleet Securities, Inc. (Claimant) vs. Commerce Capital Markets, Inc. (Respondent) vs. Yankee Financial Group, Inc., Zeus Securities, Inc., Richard Kresge, and Steven Schlesinger (Third-Party Respondents) Case Number: 04-06606 Hearinq Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Member. Third-Party Claim: M

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Eleanor Philipson v. Josephthal & Company Attorneys: For ClainKuit(s): Eleanor Philipson - Great Neck, NY For Respondent(s): Donakl V. Hanson - Staten Island, NY Date Filed: 12/21/93 First Scheduled: 03/i8«4 Decided: ^ - J ^ - ^ V* Case Summary: claimant, a put>lto customer, alleges respondent, a member firm, sold claimant's bond investment and purchased a limited partnershi

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Jack and Lorraine Shenwood, Jack Shenwood and Linda Bergelson, Trustees of the Sherwood/Bergelson Trust v. Fidelity Brokerage Servtoes Inc. Attorneys: For Claimant(s): Jack Sherwood - Glen Rock, NJ For Respondent(s): /\nne Marie Gillette Esq. - Boston, MA Date Filed: 12/20/93 First Scheduled: 03/25/94 Decided: 3-^s-9^ Case Summary: Claimants, publn customers, allege

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barbara C. Steed v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Clalmant(s): Barbara C. Steed - Martinez, GA For Respondent(s): Daniel A. Gardella Esq. - New York, NY Date Filed: 12/14/93 First Scheduled: 07/15/94 Decided: 07/15/94 Case Summary: claimant requests a declaration that she can keep a stock dividend received after she sold her stock but whic

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Lehman Brothers, Inc. v Harold Walsh Attorneys: For Claimant(s): Kevin B. Leblang Esq. - New York, NY For Respondent(s): Haroto Walsh - Key West, FL Date Filed: 12/01/93 First Scheduled: 08/08/94 Decided: 08/08/94 Case Summary: Claimant, a member firm, has alleged that respondent breached his agreement by failing to repay balance of promissory note. Product: Market: Clai