New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mark H. Wholey, M.D., M. Stephen Heilman, M.D., DonaM E. Zakman and Phillip J.Rouce v GoMman Sachs & Company and Bryan G. Rogers and Charles D. Kurtzman Attorneys: For Clalnunl(s): David E. Robbins Esq. - New York, NY For Re8poiidenl(8): William R. Norfolk Esq. - New York, NY Date Filed: 1Q/D6/92 First Scheduled: O8/3Q/93 Decided: 07/06/94 Case Summary: claimants

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company, Inc. vs. Felix Safer Attorneys: For Claflmnl(s): Emilia M. DeMeo Esq. - New York, NY Fbr Respondent(s): Darren Lampert Esq. - New York, NY Date Filed: 09/17/92 First Sctieduled: 02/10/93 Decided: 04/O6/94 Case Summary: Member firm vs. Registered Representative for alleged breach of loan agreement(s) and failure to correct debit balances in Regi

Sew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Clark Nobll V Shearson Lehman Brothers Attorneys: For Clainiant(s): Jim Scutti Esq. - Boca Raton, FL For Respondent(s): Ralph P. Schiavo Esq. - New York, NY Date Filed: 09/02/92 First Sctieduled: 09/22/93 Decided: 01/28/94 Case Summary: Claimant alleges that the member firm Incorrectly reported on Form U-5 that his employment was terminated for failure to d

New York Stock Exchange In the Matter of Arbitration Between NfYSE Case: Kidder, Peabody & Co. Incorporated v Steven P. Ryan Attorneys: For ClainiiBnt(8): Richard Kelley Esq. - New York, NY Fbr Respondent(s): Michael Kalmus Esq. - New York, NY Date Filed: 09/09/92 First Scheduled: 05/11/93 Decided: 04/15/94 Case Summary: Member Firm alleges failure to repay promissory note after respondent left the firm's employ. Respondent counter-claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheanon Lehman Brothers Inc. v. Mara Cartes Attorneys: For CiBDnanl(s): Thomas P. Ftt^gerakt Esq. - Chksago. IL For Respenclertfs): Ruttenn G. Nnd, Esq. - New York. NY Dale Filed: 07/aa«e First Scheduled: 03/26/93 Decided: Case Stxnmary: MEMBER RRM AGAINST FORMER REGISTERED REPRESENTATIVE FOR BREACH OF PROMISSOW NOTE $118,762.00, Claim: SI 1B.7S2.00 P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04561 Gloria H. Godfrey, Claimant vs. Jonathan Schiff and PaineWebber Inc., Respondents. ATTORNEYS: Claimant, Gloria H. Godfrey, ("Claimant") appeared Pro Se., Aliso Viejo, CA. Respondents, Jonathan Schiff and PaineWebber, Inc. (collectively "Respondents") appeared through their in-house counsel, Sandra Grannum, Esq., Weehawken, NJ. DATE FILED: August 27, 2001 CASE SUMMARY: Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Affinity Financial Services, LLC ("Claimant") vs. Linsco/Private Ledger Corp. and Scott Fisher ("Respondents") vs. Ronald Portnoi ("Third-Party Respondent") Case Number: 00-01302 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Affinity Financial Services ("Affinity"), hereinafter referred to as "Claimant": William A. Despo, Esq., St. John & Wayne, L.L.C., Newark, NJ.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rauscher Pierce Refsnes, Inc. v. Lloyd Cooper Flatt Attorneys: For Claimant(s): Bruce W. Collins Esq. - Dallas, TX Stewart Peck - New Orleans, LA For Respondenl(8): Kyle Schonekas Esq. - New Orleans, LA Date Filed: O8/04/92 First Scheduled: 06/17/93 Decided: 12/01/94 Case Summary: claimant seeks compensation for a debit balance in Respondent's account after it li

New York Stock Exchange In the Matter of Arbitration Between NYSE yBSe: Richard F. Benzer v Shearson Lehman Brothers, Inc. Attorneys: For Clain»nt(s): William J. Hawkins Esq. - Houston, TX James Leahy Esq. - Houston, TX Fbr Respondents): /\ndrew R. Harvin Esq. - Houston, TX Date Filed: 07/i6«2 First Scheduled: 05/05/93 Decided: 4|AU^ Case Summary: Claimant, a registered representative and former employee, alleges respondent, a me

'ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Mollison v Shearson Lehman Brothers, inc. Attorneys: For Cleinnnt(a): Robert 9. Dilk)n Esq. - Houston. TX For Respondenlts); Wiliam E. Junell. Jr. Esq. - Houston, TX Joseph H. ReynoMs Esq. - Houston, TX Date Filed: O6/29/92 First Scheduled: 03/29/93 Decided: < a-H'^^ Case Summary: Claimant alleges that raspondont executed unauthorized uades, misrapresantod