New York Stock Exchange tL in the Matter of Arbitration Between NYSE Case: Lehman Brothers. Inc. v Jeftrey Stone Attorneys: For Claimant(s): Craig J. Donahue Esq. - Dallas, TX For Respondent(s): John E. Dees, Jr. Esq. - Dallas, TX Date Filed: 09/07/93 First Sctieduled: 05/10/94 Decided: 01/16/95 Case Summary: Claimant alleges Respondent failed to repay a promissory note upon his terminatiom of employment with Claimant. Respondent cla

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: V Cowen & Co. & A.G. Edwards & Sons, Inc. Attorneys: For Clalmant(s): Jan D. Ginsberg Esq. - Cleveland, OH Robert E. Sweeney Esq. - Cleveland, OH For Respondent(s): Norman S. Buckvar Esq. - St. Louis, MO Stephen G. Sneeringer Esq. - St. Louis, MO Date Filed: 06/09/93 First Sctieduled: 01/18/94 Decided: Decenter 8, 1995 Case Summary: Claimants, public cust

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: William W. Strong v Dunlevy & Co., Inc., Robert D.W. Landon, Executor of the Estate of Jerome P. Dunlevy and Paul Gorman v. Channing T. Lushbough Attorneys: For Claimant(s): Leonard J. Colamarino Esq. - New York, NY For Ftespondent(s): Robert Cohen Esq. - New York, NY For Srd Party: Alan Serrins Esq. - New York, NY Date Filed: 10/26/92 First Sctieduled: 08/24/93

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arun Kumard Shrivastava v Merrill Lynch, Pierce, Fenner & Smith, Incorporated and O. Ray Vass Attorneys: .- For Claimant(8): Peter Wang Esq. - New York, NY For Respondent(s): Mtohael E. OIney Esq. - New York, NY Date Filed: 09/20/92 First Sclieduled: 05/20/93 Decided: 03/10/95 Case Summary: claimant, a public customer, alleges respondents engaged in unauthorized trad

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Southcoast Capital, Corp., Stephen Neal and John J. Myers v Energy Factors, Inc., and Energy Factors, Inc., v. Southcoast Capital Corp., Stephen Neal and John J. Myers Attorneys: For Claimanl(s): George C. Freeman III, Esq - New Orleans, LA For Respondent(s): - New York, NY Alfred U. Pavlis Esq. - Westport, CT Date Filed: 09/14/92 First Sctieduled: 05/12/93 Decid

..^.-.j!i|i^|l '>w York Stock Exchange M. n the Matter of Arbitration Between NYSE Case: Carl W. Castle v Retoh & Co. and Frank Putnam v Jay Reich, Norman Mann, Louis Raich, Arthur A. Warner and Carl Reich Attorneys: For Clainiant(s): R. Alexander Sharpe, III Esq. - New York, NY Fbr Respondent(s): Frank Putnam - Hicksville, NY For Srd Party: Dan Brecher Esq. - New Yorit, NY Date Filed: 09/14/92 First Sctieduled: 03/2S«3 Decid

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam D. Easterbrook v Kidder Peabody Attorneys: For Clainianl(s): Frederick J. Geonetta Esq. - San Francisco, CA For Respondent(s): Michelle Ballard Miller Esq. - Oakland, CA Date Filed: 07/23/92 First Sctieduled: 01/18/94 Decided: 1/16/95 Case Summary: claimant, a former employee, has alleged that he was wrongfully terminated, that respondents breached their cont

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04510 Richard D. Sanders and Ella B. Sanders, claimants vs. Carl B. Dickson, Jr. and Elwood G. Glass, III, respondents. ATTORNEYS: Claimants appeared pro se, Ashland, VA. For Respondents appeared Ricardo J. Nunez, of the firm LeClair Ryan, Richmond, VA. DATE FILED: August 23, 2001 CASE SUMMARY: Claimants alleged that respondents removed money from their accounts and refused to

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Wllllam B. and Dallla M. Morey v PaineWebber, Inc., Lister Rivera, Jesus Rivera and Rafael 'Cachucho' Rivera Attorneys: For Claimant(s): Harold D. Vicente Esq. - Hato Rey, PR For Respondent(s): Guillermo J. Botnnis Esq. - San Juan, PR Rafael Rivera - Hato Rey, PR Date Filed: 04/13/92 First Sctieduled: 07/27/94 Decided: 09/26/95 Case Summary: claimant, custo

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Idalia Borges Borges, Catherine N. Cruz, Manuel Escobar, Thomas Garrity, Cesar Montilla and Pedro J. Serralles v Kidder Peabody & Company, Kklder Peatxxiy & Company Emptoyee ftotirement Penston Plans, the Administrators and/or Trustees of the Plan Attorneys: For Claimant(s): Jane Becker Whitaker Esq. - Old San Juan, PR Harold D. Vicente Esq. - Hato Rey, PR For Respondent(s