New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Demelrns Tsangadas v, Shearson Lehman Hutton Inc. Attorneys: ForCMnMni(i): John Lygins Esq. - Oatroit. Mi {}enieirioB Tsandagos - Larisa 41221, GR hor Ha«pondent(^): WalMr PisxczMoiMkki EM). - BloanitMd IMI&, Ml Dale Filed: or/os/so First Sctieduled: oe/tr/ss Decided: ie/oa«o Case Summary: Calmam allagas Respondem made unauthorized and unsuitatilD trades in daima

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers, Inc. v. Billy W. Williams Attorneys: For ClalnttnUs): Reich O. Chandler Esq. - Houston, TX Fbr Respondents): Billy W. Williams - Miami, FL Date Filed: 12/19/90 First Sctieduled: 09/25/92 Case Sunfimary: Member Firm against registered representative for collection of a Product: PROMISSORY NOTE promissory Decided: note. Mar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04627 Lawrence D. and Janet B. Linkert, claimants vs. Eugene R. Adams, Jr., respondent. ATTORNEYS: Claimants appeared pro se, Eagan, MN. For Respondent appeared Jenneane Jansen, Esq., of the firm Meagher & Geer, P.L.L.P., Minneapolis, MN. DATE FILED: August 29, 2001 CASE SUMMARY: Claimants alleged that due to respondent's lack of disclosure and the suitability of the investment

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Hutton, Inc. vs. Kevin White Attorneys: For Claimants): Mary Newton Esq. - Houston, TX Fbr Respondenl(8): Kevin White - Houston, TX Decided: 51/3/93 Date Filed: 08/14/90 First Sctieduled: 12/I6/92 Case Summary: Member Rrm against former registered representative alleging failure to pay promissory note. Product: PROMISSORY NOTE Market: Ciai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grumal & Company vs. Laurence Zimmerman Attorneys: For Claimants): ramberly Unger Esq. - New York. NY For Reapondeni(s): Laurence Zimmerman - Chatham, NJ Date Filed: 09/10/90 Case Summary: Member Finn vs. First Sctieduled: 05/21/91 Decided: 07/09/93 Fonner Registered Rep for breach of contract and breach of promissory note terms Product: Market: Claim

iVew York Stock Exchange In the Matter of Arbitration Between NYSE Case: John & Patricia Cogley vs. Gary Douvia, Jane Douvia, Painewebber, Inc. and Shearson Lehman Bros. Attorneys: For Claimam(8): Carl J. Oreskovich Esq. - Spokane, WA For Respondem(s): Thomas M. Mierswa Esq. - Weehawken, NJ Thomas C. Sand Esq. - Portland, OR Date Filed: 10/16/90 First Sctieduled: O8/21/91 Decided: 12/10/93 Case Summary: Customers vs. Member Firm and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Hutton vs. Gilla Altman and Samlh Nasr vs. Alan Weiner and Alex Steinitoler Attorneys: For Claimam(8): Mark J. Alonso Esq. New York, NY For Respondem(s): David M. Levy Esq. - New York, NY Samih Nasr - Woodmere, NY For Srd Party: Mark J. Alonso Esq. New York, NY Date Filed: io/23/90 First Scheduled: 11/20/91 Decided: 04/20/93 Case S

N-^w York Stock Exchange 1.. the Matter of Arbitration Between NYSE Case: Angel Rafael Diaz and Mitagros Rivera v Itidder Peabody A Co., Inc. and GuHlonno Camacho Attorneys: Por daimants): Haroki D. Vicante Esq. - BaMnch, PR Far Reep0ndeni(«): Thomas Oubba Esq. - New York. NY Date Filed: io«2/90 First Scheduled: 11/21/91 Decided: os/io«3 Case Summary: Oalmam has alleged that Respondems engaged in unsuiubta and unauthorized trading in Kur

y w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co. Inc. v Robert Weiss Attorneys: For Ctaimam(s): Richard C. Ebeling, Esq. For Respondem(s): Stephen E. Grande, III Esq. - Sudbury, MA - New York, NY Date Filed: os/i5/90 First Scheduled: 07/18/91 Decided: 4/22/93 Case Summary: Member Firm against Registered Represemattve for balance of promissory note from former emptoyee. Respondem Aled ' cou

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Diane James v Prudemial Bache Securities Inc. and Jerry Gettinger Attorneys: For ClaimanKs): Bruce Wayne Esq. - San Dtago, CA Fbr RespondenKs): James Hughes Esq. - San Frandsco, CA Date Filed: 12/24/90 First Scheduled: 09/20/91 Decided: 10/16/93 Case Summary: Former registered representative against member firm and supervisory personnel for sexual harassmem and discrimin