y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorottiy E. LaBeUe vs. Oean WMsr ReynoMs, Inc. and Douglas S. CampbeU Attorneys: For Clainiam(s): Dorottiy E. LaBelto - Fort Lauderdato, FL F=br Respondents): /\nnemarto P. McAvoy - New York, NY Date Filed: O2A)7/95 , First Scheduled: 8/15/95 Decided: 8/15/95 Case Summary: Claimam altoges unsuitabto invesbnents to tax-free bonds and unsuttabto opening of Ac

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Russell M. Wllhelm, Jr. v. A.G. Edwards & Sons Inc. Attorneys: For Clainiant(s): Russell M. Wilhelm Jr. - Dryden. NY For Respondem(s): Norman S. Buckvar Esq. - St. Louis, MO Date Filed: 01/20/95 First Scheduled: 07/05/95 Decided: 07/12/95 Case Summary: Claimam alleges that t>roker mismanaged his IRA accoum and recommended a posHton of 500 shares of Chevron Scores on

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Willlam H. Shippey v. Smitti Bamey Shearson, Inc. Attorneys: For Clatonam(8): Willtom H. Shippey' - Van Nuys, CA l=or Respondent(s): Madelyn A. Levy Esq. - New York, NY Date Filed: 01/30/95 First Scheduled: Decided: 7 ) ,7 / njr- Case Summary: customer against member firm for misrepresentatton and fraud in connection with purchase of Spectravisnn Notes/Bond. Product: BON

New York Stock Exchange In the Matter of Arbitration Between J NYSE Case: Robert J. Perry and Frances D. Perry v. MerriH Lynch Ptorce Fenner & Smith incorporated Attorneys: For ClalnHUil(s): Robert J. Perry - Manasquan. NJ Fbr Respondents): Robert E. GoMberg Esq. - New York, NY Date Filed: 01/30/95 First Scheduled: 07/12/95 Oecided: il7 hy Case Summary: customer against member firm for recommending unsuitabto slocks. Product

^ NU* y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert W. Hawthorne v Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Clainnnl(B): Robert W. Hawthorne - Chtoago, IL For Re8pondem(s): Jonathan A. Schorr Esq. - Naw York, NY Date Filed: 01/17/95 First Scheduled: Decided: \o\zi[^ Case Summary: Customer (commodity trader) against member firm for unsuitabto investments in high risk mutual

/. ^'' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George R. Grant v. Smith Barney, Frank Zarb and Barry Goldstein Attorneys: For Ctoimam(s): George R. Gram - Sunnyvale, CA For Respondem(s): /\nn Parry Esq. - New York, NY Date Filed: 01/23/95 First Scheduled: Case Summary: Claimam, a public customer, alleges respondents, investmems, were negligem and faitod to manage his accoum properly. Product: E

New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Fenner Financtol, Inc. vs. Pershing Divisnn of D.L.J. Attorneys: l=or Clainianfs): James H. Fenner - Burlington. CT For Respondant(s): David J. CampbeU Esq. - Jersey CHy. NJ Date Filed: 01/25/95 First Scheduled: 11/15/95 Decided: 11/15/95 Case Summary: Non Member vs. Division of Member Firm alleging Respondem failed lo release Ctoimam's clearing accoum deposit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf Claimants Mike Werkema and Julie A. Werkema and f Respondents Warren R. Fritz, Ziadl. AlKhamis Raymond James Financial Services, and Raymond James Advisory Services Case Number: 01-04595 .aring Site: Southfield, Michigan N ATT IRK OF DTSPT TTH Customers v. Associated Persons and Members RFPRRSF.NTATTON OF PARTTRS Claimants Mike Werkema and J

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Michael J. Pfeifer, (Claimant) vs. Chris Risko, (Respondent) Case Number: 00-01303 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael J. Pfeifer, hereinafter referred to as "Claimant", appeared pro se. Respondent, Chris Risko, hereinafter referred to as "Respondent", appeared pro se. CASE INFORMATION Statement of Claim filed on or about: February

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Alton Matte vs. MerriU Lynch Pierce Fenner & Smith, Inc. and John F. Dzimlnski Attorneys: For ClaJnriam(s): James A. Matte - Williamviito, NY For ltespondem(s): Christopher D. Cavuoti Esq. - New York, NY Date Filed: 01/19/95 First Scheduled: O8/I6/95 Decided: 08/16/95 Case Summary: Customer vs. Member Firm and Registered Rep alleging failure to follow instructi