New York Stock Exchange in the Matter of Arbitration Between ^ " NYSE Case: Shearson Lehman Brothers Inc. v. Richard & Julie Fowler Attorneys: For Claimant(s): James S. Kenton Esq. - New York, NY For Respondent(s): Richard Fowler - Pendleton, OR Date Filed: 05/18/93 First Scheduled: 05/10/94 Decided: o&'io/94 Case Summary: Member Firm V. Customer - Claimant alleges that Respondents left a debit balance in their account after a ch

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edgar J. Billimek (Deceased) and Patrnia E. Billimek vs. Dean Witter Reynokfs, Inc., Craig Alford and Jane Doe Alford and Gary Andreini and Jane Doe Andreini Attorneys: For Clainiant(s): Osmond Burton Esq. - Tucson, AZ For Respondent(s): Timm A. VerDuin Esq. - San Francisco, CA Date Filed: 06/14/93 First Scheduled: 03/08/94 Decided: 09/21/94 Case Summary: Custome

New York Stock Exchange In the Matter of Arbitration Between NYSE Casa: MerriU Lynch P'rerce Fenner & Smith Inc. v. Nora A. Barnes, Richard Picard and Kkkier Peabody and Co. Incarporatsd Attorneys: For CUnianKs}: Christopher Coss Esq. . Peoli. PA For Re9ondent(s): Richard Kelly Esq. - New York. NY Charles MkJkilf Esq. - Richmond, VA Date Filed: oaras/ga First Scheduled: 07/29/93 Decided: 02/2S/94 Case Summary: Claimant alleges Re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CalvIn l. Patrick v. Shearson Lehman Brothers & William H. Greer, Jr. Attorneys: For Claiinant(s): Calvin Patrick - Birmingham, AL For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: omj/93 First Scheduled: Case Summary: customer v. Member Firm & Registered Representative - a particular stock and failed to make an appropriate recommendation to sell. Product

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles M. and Joan E. Boeggeman vs. Shearson Lehman Bros, and J. Peter Cummins Attorneys: For Ciainnnt(s): Charles M. Boeggeman - Newtown Square, PA For Reapondenl(s): James S. Goddard Esq. - New York, NY Date Filed: 06/11/93 First Scheduled: 09/07/93 Decided: 09/13/93 Case Summary: Customers vs. Member Firm and Registered Rep alleging failure to folkiw instructions

Vew York Stock Exctiange In the Matter of Arbitration Between NYSE Case: Eugene J. Sak. Sr. v Dean Witter Reynolds, Inc. Attorneys: For Claimant(s): Jeffrey M. Wilkens Esq. - Rochester. NY For Respondent(s): Elizabeth T. Hill Esq. - New York, NY Date Filed: 06/01/93 Case Summary: Customer v National Lease Income Fund, an First Scheduled: 01/05/94 Member Firm. Claimant alledges that Respondent made an equipment leasing partner

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph A. LIcata v George P. Koutouris Attorneys: For Clainnnt(s): Joseph A. LIcata - N. Syracuse, NY For Respondent(8): John M. Powers Esq. - New York, NY Date Filed: 05/20/93 First Scheduled: 01/04/94 Case Summary: Customer v Registered Representative. Claimant asserts his account Respondent's alleged failure to communicate with Claimant. Product: EQU w

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04705 Spencer Schlueter IRA Names of the Respondents Hearing Site: Tampa, FL First Southwest Company, Josephthal & Co., Inc., and Keith E. Gebler REPRESENTATION OF PARTIES For Spencer Schlueter IRA, hereinafter referred to as "Claimant": Anthony M. Abraham, Esq., Counselor-at- Law, New York, NY. For First Southwest Company ("FSC"): Don Campbell, Esq., G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mokador Stiftung and Markus Stauder, (Claimants) vs. Merrill Lynch Bank Austria, Merrill Lynch Bank & Trust Co., Merrill Lynch Group Inc., Merrill Lynch International Bank Limited, Merrill Lynch International Incorporated, Merrill Lynch International Private Banking Group, Merrill Lynch National Financial, and Merrill Lynch, Pierce, Fenner & Smith Inc., (Respondents) Case Number: 00-013

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Emll Aschhelm v H. Ronald Miller and Shearson Lehman Brothers, Inc. Attorneys: For daimanlis): Emll Aschhelm M.D. - West Palm Beach, FL For Respondent(s): John P. Bevllacqua Esq. - New York, NY Date Filed: 05/19/93 First Scheduled: 12/10/93 Decided: 03/25/94 Case Summary: Customer v Memt>er Rrm and Registered Representative for alleged mismanagement of an IRA account