Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. William Adams, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Perisho (Respondents) Case Number: 01-04076 Hearing Site: Boston. Massachusetts REPRESENTATION OF PARTIES Claimant, Dr. William Adams, hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Giordano, Champa & Powers, LLP, Boston, MA. Respondents, Merrill Lynch, Pierce, Fenner & Sm

^ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Las Olas Resorts, Inc. v. Dean Witter Reynokls Inc. Attorneys: For Claimants): Thomas W. Matey. PresMent- Cocoa Beach, FL For Respondent(s): Allison B. Doneghey Esq. - Sarasote, FL Date Filed: 07^1/1998 First Scheduled: 12/17/1998 Decided: 12/17/1998 Case Summary: Customer claimant alleges misrepresentetton regarding purchase of bank preferred stocks. Produ

:New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporatedv. Bonnie Motyka Attorneys: For Clabnant(s): Alan S. Brodherson Eaq. - New Yoik, NY For Respondenlts): Howani A. Tescher Esq. - Fort Lauderdale, FL Date Filed: 07/17/1998 First Scheduled: 01/14/1999 Decided: 07/26/1999 Case Summary: Member fkm daknant aleges breach of Emptoyment Agreementand non-paymentof Promissory Note. Produc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vincent LIbretH v Bear Steams and Wateriiouse Securities Attorneys: For Claimantis): Vincent LlbreW - Brooklyn, NY For Re8ponclent(s): Janis Campanella Esq. - New York, NY Steven A. Horowitz Esq. - New York, NY Date Filed: 06/23/1998 First Scheduled: 10/28/1998 Decided: 10/28/1998 Case Summary: Ciahnant, a customer, has alleged that respondensdelayed ki tansferrk

TVew York Stock Exchange In the Matter of Arbitration Between NYSE Case: James A and Iris C. Beckham v Edwani 0. Jones & Co. and Jerry Manner Attorneys: For Clahnanlls): James A Beckham - Dickson, TN For Respondant(s): Jerry D. Hannar - Bon Agua, TN Larry R. Sobd Esq. - St Louis. MO Date Filed: 06/19/1998 First Scheduled: 11/24/1998 Decided: 11/27/1998 Case Summary: Claimants, pubVc customers, allege mlsreprasenlatton against Respond

Vew York Stock Exchange In the Matter of Arbitration Between y- NYSE Case: CJ. Glanetti v. Smith Barney Inc. Attomeys: For Cteimant(s): CJ. Gianettr - Greenwich, CT For Respondent(s): Marion Chan Esq. - New York, NY Date Filed; 6/8/1998 First Scheduled: 12/10/1998 Decided: 12/10/1998 Case Summary: Registered representative claimant alleges breach of contracL Product: OTHER Maricet: Claim Data Claim: $i,oco,ooo.oo

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Lshmm Brolhera Inc. v. Sean Sulvan Attorneys: For CMmmlla): -niomas E. Hommel Eaq. - New York. NY For RMpondmt(s): SeanSuWvan- Lynnfield, MA Date FUed: 060471998 First Scheduled: lOflOHMe Oecided: 10/22/1998 Case Summary: lyiambar Finn Oaimant aleges breach of SelltonwntAgraainenldatad November 12J99e and saelnenlv or Consent Award pursuentte ths terms of that Senlement Agre

New York Stock Exchange In the Matter of Arbitration Between ^V^ NYSE Case: Jeffrey S. Coleman v. Chartes Schwab & Co. and Rtoh Sanford attorneys: For Clabnanlts): Jeffrey S. Colsfflan - Mendon. MA For Reepondeirt(s): Gregory M. Scanlon Eaq. • San Francisco. CA Date Filed: WKo/yaaa First Scheduled: 09/10/1998 Decided: 10/22/1998 Case Summaiy: Customer cteimant alteges mlsmanagementof account and improper mversal of transadkms. Pr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles E. Kohlhasev. Smith Bamey and Christopher L. Walker Attorneys: For Claimant(s): Charles E. Kohlhase - Pasadena. CA For Respondent(s): Ann Parry Esq. - New Yori< . NY Date Filed: 05/26/1998 First Scheduled: 07/29/1998 Decided: 09/15/1998 Case Summary: Claimant, a public customer, alleges misrepresentation and manipulation with respect to the purchase of shares

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stella Peck v. Charies Schwab & Company Inc. Attomeys: For Claimant(s): George Peck - Van Nuys. CA For Respondent(s): Richard A. Karoly Esq. - San Francisco, CA Gregory Scanlon Esq. - San Francisco. CA Date Fiied: 05/21/1998 First Scheduied: 10/29/1998 Decided: 11/19/1998 Case Summary: Claimant, a public customer, alleges misrepresentetion with respect to shares