New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Clark Melvin Securities Corporatkxi v. Mabon Securities Corporation Attorneys: For ClaimanUs): Laurel A. Grafiam Esq. - Minn, MN For Reapondanl(8): Frances L OiSavino Esq. • New York, NY Date Filed: 03/22/93 Case Summary: of tfie agreed upon Member fimn v. structure. member fimi. First Scheduled: 11/11/93 Decided: 02/10/94 Claimant a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul E. Zachrich (Claimant) vs. Bolanis Planning Group, Inc. and Royal Alliance Associates, Inc. (Respondents) Case Number:01-04629 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Paul E. Zachrich hereinafter referred to as "Claimant": Thomas W. Heintschel, Esq., Frederickson & Heintschel Co., L.P.A., Toledo, OH. Respondents, Bolanis Financial Planning Group, In

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John J. and Lenore J. Dofan vs. Prudential Bache Securities, Inc., J. Richter Post and Howard L. Banninger Attorneys: i. For ClaJn)am(s): Steven Dranoff Esq. - Philadelphia, PA For Respondent(8): Robin B. Shore Esq. - Philadelphia, PA Date Filed: 04/02/93 First Sctieduled: 01/20/94 Decided: 01/20/94 Case Summary: Customer vs. Member Firm and Registered Rep. Cla

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John H. Gutfreund vs. Salomon, Inc. and Salomon Brothers, Inc. Attorneys: For Claimam(s): John G. Koeltl Esq. - New York. NY Aaron R. Marcu Esq. - New York, NY For Respondem(s): Francis P Barron Esq - New York, NY Date Filed: 03/25/93 First Sctieduled: 10/11/93 Decided: 05/13/94 Case Suminary: Former CEO/Allied Member vs. Member Firm seeking to recover compensati

New York Stock Exchange jn the Matter of Arbitratioii Between NYSE Case: aartawa Lynn Garrard v Thomas R. Iraland Attorneys: FdrCtahmifi): Uonol Z aianBy Eaq. - Bevuriy 1 ^ CA VHtorlo E Proco Esq. - Eait LanHng, Ml Por Haapandanl(i): Ttrnnas B. Ireland - East Laming, Ml Date Filed: oaw/99 First Scheduled: 1202/94 Oecided: OS/23/94 Case Summary: Cinimart altoges Ro^nndembroachad his fiduciary duv.wae noguoam in ttw handling of

v^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Co. Incorporated v. Robert DoBartolo Attorneys: For Claimam(s): Richard Janvey Esq. - New York, NY Fbr Respondem(s): Robert DeBartolo - Algonquin, IL Date Filed 02/22/93 First Scheduled: 01/10/94 Case Summary: Member Firm alleges Registered Representative defaulted in repayment of a with the firm. Firm also claims liquidated damages as provided for in

c^ / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Brian J. Callahan v Prudemial Securities, Inc. Attorneys: For Ciaimam(s): Joseph Connolly Esq. - Santa Monica, CA For Respondem(s): Janet M. Simmons Esq. - Long Beach, CA Date Filed: 02/09/93 First Sctieduled: 02/15/94 Oecided: ^z.^- hn Case Summary: Registered representative against member firm for payment of legal fees incurred in connection wi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gertrude S. Edwards & James S. Edwards v. Stifel Nicolaus & Company Incorporated, Alan Phares & Ernest McCollum v. William L. Nichols Attorneys: For Claimam(s): J. Michael Riehn Esq. - Wichita, KS Angela L. Rud Esq. - Wichita. KS For Respondem(s): Reggie C. Giffin Esq. - Kansas City, MO Christopher 0. Schneider Esq. - Kansas City. MO For Srd Party: William L. Nichols

c^ HYSE For ClsisssfcCsi: litalfciv. I RMjnnttvtrtnaT. Pan. - Qf Plai»» ^hsrSS.. WI For SssiSBdssKs]^: narmia \t Pnan Fan - nB4nr«ni4" MT ns4.ii vk\»A- mniLKn Cixa^- CcKw4i.Ia>4' nO/IC/Q') Dscidsd: 02/0S.!'S4 C^ss Sussarv.: Clsiaa&t slissss. ussuitsbility. is i!!!!.ssJssi!£s.. Claissst sllssss. fraud, css.'.9rsisn !!Bsii""!!cs brs""h of fiducisTM dLjt". 3cd visi5.ticss. of SICCi »'if! Bscuritiss. lyw, Cl2iss3s.t furlisr sllssss. ists&tisrjd is.f

New York Stocit Exchange In the Matter of Arbitration Between NYSE Case: Sarah Livingston Davis v Merrill Lynch, Pierce, Fenner & Smith and Jeffrey M. Davis Attorneys: For Claimam(s): Jon L. Edwards Esq. - Walnut Creek, CA Fbr Respondents): V. James Mann Esq. - New York, NY v. James Mann Esq. - New York, NY Date Filed: 12/10/92 First Sctieduled: 06/17/93 Oecided: Case Summary: claimant, a customer, has alleged that there was an unaut