____________________________________________________________________________________ National Association of Securities Dealers 9509 Key West Avenue Rockville, MD 20850 (800) 289-9999 October 12, 2005 NASD BROKERCHECK RESPONSE TO REQUEST FOR INFORMATION The Board of Governors of the National Association of Securities Dealers, Inc. (NASD) has adopted a public disclosure policy which permits certain types of disciplinary information on NASD member firms and their associated persons to be available to the general public. Section 15A(i) of the Securities Exchange Act of 1934, as amended, requires registered securities associations to respond to inquiries regarding disciplinary actions involving its members and their associated persons. NASD believes that the general public should have access to information which will help them in their determination whether to conduct or continue to conduct business with an NASD member or any of the member's associated persons. In that regard, enclosed please find the information that you have requested. A list of the terms and conditions of NASD BrokerCheck is as follows: NASD BrokerCheck Terms and Conditions 1. NASD collects, compiles, organizes, indexes, digitally converts and maintains regulatory information from registered persons, member firms, government agencies and other sources and maintains information in the proprietary Central Registration Depository ("CRD(r)") database and system. NASD releases such information through NASD BrokerCheck, which provides information from CRD system to the investing public. Your access to NASD BrokerCheck information provided through NASD's CRD database and system does not transfer any rights in CRD, NASD BrokerCheck or related technologies to you. 2. Your use of NASD BrokerCheck information is conditioned upon your acceptance, without modification, of all terms and conditions of this Agreement. Any information accessed, requested or provided through NASD BrokerCheck must be accessed, requested and used in accordance with the terms and conditions specified in this Agreement. NASD reserves any rights not expressly granted under these terms and conditions. Additionally, NASD reserves the right, at its sole discretion, to modify the terms and conditions for use of NASD BrokerCheck information at any time by changing this Agreement, and any changes are effective immediately. Such changes will be posted on the NASD BrokerCheck web site. 3. CRD and NASD BrokerCheck are proprietary databases and employ proprietary software, but NASD makes no exclusive proprietary claim to the information in the NASD BrokerCheck system that is not created by NASD. You are neither restricted nor prohibited by NASD from obtaining a copy of any original filing or information from a non-NASD source. 4. The information provided through NASD BrokerCheck shall be used ONLY for your own personal or professional use, and in accordance with all other terms and conditions of this Agreement: a. to assist you, your clients or your organization in determining whether to conduct or continue to conduct securities or commodities business with NASD member firms or their associated persons; b. to assist you, your clients or your organization in judicial proceedings or arbitration proceedings relating to securities or commodities transactions; or c. for non-commercial purposes consistent with the promotion of just and equitable principles of trade and the protection of investors and the public interest. 5. The information provided to you through NASD BrokerCheck is provided to you ONLY for your own personal or professional use. All other uses are prohibited. You agree that you will not duplicate, download, publish, publicly display, modify or otherwise distribute the information retrieved from NASD BrokerCheck for any purpose other than as expressly permitted by this Agreement. In no event may you offer to others any information retrieved from NASD BrokerCheck for commercial purposes, or as part of a subscription service or similar arrangement. You agree that you will not use the information retrieved from NASD BrokerCheck to develop or create a database of information to be sold, licensed or made otherwise commercially available. You agree that you will not use any process to monitor or copy NASD BrokerCheck information in bulk, or to make voluminous, excessive or repetitive requests for information. You further agree that you will not use any device, software or routine to bypass any software or hardware that prohibits volume requests for information, you will not interfere with or attempt to interfere with the proper working of NASD BrokerCheck, and you will not take any action that imposes an unreasonable or disproportionately large load on NASD BrokerCheck or NASD. 6. All requests for permission to access or use NASD BrokerCheck for uses other than those described in Paragraphs 4 or 5 of this Agreement must be made in writing to NASD clearly stating the purpose and manner in which NASD BrokerCheck is proposed to be used. Requests may be submitted to NASD, NASD BrokerCheck, 9509 Key West Avenue, Rockville, Maryland, 20850. NASD, in its sole discretion, may approve or reject any request that is inconsistent with the terms and conditions of use of NASD BrokerCheck. 7. Provision of information by NASD pursuant to NASD BrokerCheck does not constitute a waiver of any of NASD's rights, privileges, or immunities with respect to the furnishing of disciplinary or registration information. 8. NASD does not charge for this service, which is offered pursuant to NASD's responsibilities as a self-regulatory organization, and, in particular, pursuant to Section 15A(i) of the Securities Exchange Act of 1934. In the provision of this service, NASD makes no warranties of any kind, and disclaims liability to any person for any actions taken or omitted in good faith with respect to this NASD BrokerCheck. NASD is not responsible for and cannot verify information from sources other than NASD, and does not warrant or guarantee the accuracy or completeness of the information requested. Neither NASD nor any affiliate or supplier shall be liable for any cause of action in contract, tort, or otherwise, for more than the incremental telecommunications cost incurred to connect to the service. Notwithstanding the above, neither NASD nor any affiliate or supplier shall be liable for any loss of income, trading loss, or consequential, incidental, or indirect damages, regardless of whether NASD has been informed of the possibility of such damages. 9. Member firms, registered persons, government agencies, and other sources file disclosure information with NASD. Consistent with its responsibilities as a self-regulatory organization, NASD performs a regulatory review of the disclosure information filed before it makes the information available through NASD BrokerCheck. Most disclosure information is available through NASD BrokerCheck within two business days of being filed. In certain limited circumstances, disclosure information may not be available through NASD BrokerCheck within the usual timeframe, but will be made available as soon as practicable. 10. Consistent with policies and procedures approved by the Securities and Exchange Commission (SEC), NASD will disclose information on individuals and brokerage firms, through NASD BrokerCheck, for two years after the termination of the individual's or brokerage firm's NASD registration. Disclosure information reported to NASD after an individual or brokerage firm has terminated may not have been reviewed by the brokerage firm or individual; in addition, brokerage firms and individuals who are no longer registered are not required to independently report such information. 11. NASD BrokerCheck includes only information provided to CRD. In substantially all cases, the information provided through NASD BrokerCheck represents the verbatim record as it was reported to NASD. However, in certain limited circumstances, NASD combined information about a single event that was reported by different sources (e.g., a record reporting information on an event that was submitted by a brokerage firm may contain information reported on the same event that was submitted by a regulator). This condition occurred when the data in the Legacy CRD system was converted (i.e., reformatted and transferred) to Web CRD, the Internet-based Central Registration Depository. This condition affects a small percentage of records reported to NASD prior to August 1999. These converted records contain information that was reported to NASD in accordance with appropriate reporting protocols applicable to the source filers (e.g., brokerage firms and regulators); however, because of the combination of information from different reporting sources, a record disclosed through NASD BrokerCheck may not reflect the actual filing submitted to NASD. 12. The "Individual Broker comments," "Brokerage Firm comments" and "Regulator comments" appear verbatim as they were provided to CRD via Forms U-4, U-5, and U-6. These comments were not written by NASD and have not been edited by NASD in any way. NASD reserves the right to redact customer names, confidential customer information, or offensive or potentially defamatory language from an NASD BrokerCheck Report consistent with policies and procedures approved by the SEC. TC 02.1 General Information About this Report This report has been generated because you have requested information about an NASD Member Firm through NASD BrokerCheck. The information contained within this report has been provided by NASD brokerage firm and securities regulators as part of the securities industry's registration and licensing process. An NASD BrokerCheck report for a Brokerage Firm consists of: 1) a Report Summary; 2) General Administrative Information, which includes the Types of Business the Brokerage Firm is engaged in, the Brokerage Firm's Legal Status, and the Brokerage Firm's Approved Registrations. The report also includes the Brokerage Firm's Disclosure Event information, if any. NASD BrokerCheck discloses the following information on brokerage firms: * the brokerage firm's name, CRD number, SEC identification number, "applicant name" or legal name, NASD district office which oversees the brokerage firm, and the brokerage firm's main and mailing addresses * the types of business in which the brokerage firm is currently engaged * details of the brokerage firm's legal status (i.e, corporation, partnership, etc.), state or country and date of formation, and its fiscal year end * all approved registrations * disclosure matters involving certain criminal charges and convictions, regulatory actions, civil judicial actions, and certain financial actions (e.g., bankruptcies, unsatisfied judgment/liens.) When evaluating this report, please keep in mind that a number of items may involve pending actions or allegations that may be contested and have not been resolved or proven. The items may, in the end, be withdrawn or dismissed, or resolved in favor of the brokerage firm, or concluded through a negotiated settlement with no admission or conclusion of wrongdoing. Also remember that the information in this report is not the only resource you should consult. It is recommended that you learn as much as possible about the brokerage firm from other sources. Ask for references. Ask family members or friends who already have established investment business relationships. Get in touch with local consumer and investors groups. Should you have any questions concerning information contained within this report, call (800) 289-9999 - a toll-free NASD BrokerCheck hot-line operated by NASD - or visit NASD Web Site at www.nasd.com. When calling or visiting the NASD Web Site, the information you will need includes the brokerage firm's name or CRD number. For definition of terms contained within this report or answers to Frequently Asked Questions, visit the Glossary or FAQs sections of NASD BrokerCheck at www.nasd.com. NASD BrokerCheck Report Printing Instructions The report contained below can be printed as is. However, unless the following steps are taken, the report may not print with the headers aligned or the text may run off the page. For the following report to be printed correctly, the following formatting steps must be completed: 1) Copy the text of the report into a text editor. 2) Delete these instructions down to and including the first dashed line. 3) Set the Font for the entire report to Courier, 8 point. 4) Set the left and right margins to 0. 5) Set the top and bottom margins to 0. Because every printer allows a different number of lines per page, the margins may have to be adjusted differently to get the headers to line up at the top of each page. The document is formatted to print 90 lines per page at the specified font. 6) Print the report. -------------------------------------------------------------------------------- NASD BrokerCheck October 12, 2005 Page 1 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 ******************************************************************************** REPORT SUMMARY ******************************************************************************** ************************************************************ Administrative Information: ************************************************************ Admin Information: Information that is required to be reported to NASD by brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). The administrative information contained in this report includes: (a) types of business the brokerage firm is engaged in; (b) legal status (e.g., corporation, partnership, sole proprietorship, limited liability company, etc.), state/country of formation unless legal status is sole proprietorship, date of formation, and month in which the brokerage firm's fiscal year ends; and (c) all approved registrations with the SEC, NASD and state securities commissions. Types of Business: 5 Legal Status: 1 Registrations: 54 ************************************************************ Disclosure Events: Yes ************************************************************ Disclosure Event: Information that is required to be reported to NASD by individual brokers via Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). Some disclosure events may have multiple reporting sources. For example, some information required to be reported by an individual broker via Form U-4 may also be reported on the individual broker's record by a brokerage firm via Form U-5 (Uniform Termination Notice for Securities Industry Registration) and/or by a regulator via Form U-6 (Uniform Disciplinary Action Reporting Form). If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the individual broker's NASD BrokerCheck report. Similarly, some information required to be reported by a brokerage firm via Form BD may also be reported on the brokerage firm's record via Form U-6. If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the brokerage firm's NASD BrokerCheck report. Criminal Actions: 0 Regulatory Actions: 0 Civil Judicial Actions: 0 Arbitrations: 51 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 NASD BrokerCheck October 12, 2005 Page 2 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 ******************************************************************************** ADDRESS/GENERAL INFORMATION ******************************************************************************** This section provides the brokerage firm's name, CRD number, SEC number, Applicant Name on Form BD, NASD District where the brokerage firm is located, and the brokerage firm's main and mailing addresses. Applicant Name on Form BD: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. SEC Number: 8-035097 Prior Business Names: INSTITUTIONAL COMPANY, INC. Business Phone Number: 617-563-7000 Main Office Address Located in NASD District: 11-Boston 82 DEVONSHIRE STREET BOSTON, MA 02109 Mailing Address 200 LIBERTY STREET MAIL ZONE NY4A NEW YORK, NY 10281 ******************************************************************************** TYPES OF BUSINESS ******************************************************************************** This section lists the type(s) of business that the brokerage firm is currently engaged in as reported on the Form BD. Investment advisory services Mutual fund retailer Mutual fund underwriter or sponsor Private placements of securities FIDELITY EMPLOYER SERVICES COMPANY(FESCO),A DIVISION OF FIDELITY INVESTMENTS INSTITUTIONAL SERVICES CO.,INC.(FIISC) OFFERS BUNDLED PAYROLL PROCESSING, HEALTH AND WELFARE, DEFINED BENEFIT AND DEFINED CONTRIBUTION PLAN PRODUCTS AND SERVICES. FIDELITY SYSTEMS COMPANY, ANOTHER DIVISION OF FIISC, PROVIDES COMPUTER SYSTEMS AND DATA PROCESSING SERVICES, DEVELOPS COMPUTER SOFTWARE AND MANAGES VOICE AND DATA COMMUNICATIONS NETWORKS FOR THE FIDELITY FUNDS AND AFFILIATED COMPANIES OF FMR CORP. ******************************************************************************** LEGAL STATUS ******************************************************************************** This section details the brokerage firm's legal status (i.e, corporation, limited partnership, etc.), state or country where formed, date of formation, and the month the brokerage firm's fiscal year ends. Legal Status: CORPORATION State/Country of Formation: MA, USA Date of Formation: 10/31/1985 Fiscal Year End: DEC ******************************************************************************** REGISTRATIONS ******************************************************************************** This section provides the jurisdictions in which the brokerage firm is registered or licensed to do business, the category of each registration, and the date on which the registration was granted. Jurisdiction/SRO Category Status As Of Date AK Broker Dealer Approved 11/19/1986 AL Broker Dealer Approved 12/01/1986 AR Broker Dealer Limited 07/09/1987 AZ Broker Dealer Approved 11/10/1986 CA Broker Dealer Approved 08/28/1986 CO Broker Dealer Approved 11/21/1986 CT Broker Dealer Approved 12/18/1986 DC Broker Dealer Approved 09/24/1986 DE Broker Dealer Approved 08/22/1986 FL Broker Dealer Approved 01/08/1987 GA Broker Dealer Approved 08/04/1986 HI Broker Dealer Approved 02/03/1987 IA Broker Dealer Approved 12/05/1986 ID Broker Dealer Approved 12/02/1986 IL Broker Dealer Approved 01/02/1987 IN Broker Dealer Approved 11/18/1986 KS Broker Dealer Approved 12/02/1986 NASD BrokerCheck October 12, 2005 Page 3 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 REGISTRATIONS(cont.) Jurisdiction/SRO Category Status As Of Date KY Broker Dealer Approved 10/20/1986 LA Broker Dealer Approved 10/24/1986 MA Broker Dealer Approved 06/29/1986 MD Broker Dealer Approved 11/04/1986 ME Broker Dealer Approved 12/12/1986 MI Broker Dealer Approved 12/11/1986 MN Broker Dealer Approved 11/24/1986 MO Broker Dealer Approved 12/05/1986 MS Broker Dealer Approved 11/18/1986 MT Broker Dealer Approved 10/22/1986 NASD Broker Dealer Approved 07/21/1986 NC Broker Dealer Approved 10/22/1986 ND Broker Dealer Approved 11/24/1986 NE Broker Dealer Limited 07/08/1987 NH Broker Dealer Approved 10/23/1986 NJ Broker Dealer Approved 07/02/1987 NM Broker Dealer Approved 12/17/1986 NV Broker Dealer Approved 10/21/1986 NY Broker Dealer Approved 09/02/1986 OH Broker Dealer Approved 04/12/1987 OK Broker Dealer Approved 12/05/1986 OR Broker Dealer Approved 12/09/1986 PA Broker Dealer Approved 08/05/1986 PR Broker Dealer Approved 08/27/1987 RI Broker Dealer Approved 11/18/1986 SC Broker Dealer Approved 12/02/1986 SD Broker Dealer Approved 11/13/1986 SEC Broker Dealer Approved 12/27/1985 TN Broker Dealer Approved 01/01/1987 TX Broker Dealer Limited 02/06/1987 UT Broker Dealer Approved 01/09/1987 VA Broker Dealer Approved 11/21/1986 VT Broker Dealer Approved 11/20/1986 WA Broker Dealer Approved 08/12/1997 WI Broker Dealer Approved 06/05/1987 WV Broker Dealer Approved 11/24/1986 WY Broker Dealer Approved 11/21/1986 NASD BrokerCheck October 12, 2005 Page 4 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 ******************************************************************************** BROKERAGE FIRM ARBITRATIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains summary information regarding arbitration awards rendered in a forum administered by NASD that involve securities or commodities disputes between NASD member firms and public customers. Some of the fields in this section of the report may be blank if the information was not provided to CRD. Unlike the arbitration information required to be reported by individual brokers via Form U-4, brokerage firm arbitration information is not required to be reported on Form BD and is therefore disclosed through NASD BrokerCheck via a slightly different mechanism. Summary information regarding NASD arbitration awards involving securities and commodity disputes between public customers and NASD member firms is updated and disclosed on brokerage firm NASD BrokerCheck reports generally within 10-15 days after the arbitration award is signed and served to all parties. The full text of arbitration awards issued by arbitrators at NASD and at other forums is available online as a cooperative arrangement between NASD Dispute Resolution and the Securities Arbitration Commentator (SAC) at www.nasdadr.com. The awards are generally available within one month after the arbitration award is signed and served to all parties. To access the arbitration award information it is suggested that you first view the summary information available via NASD BrokerCheck, and then use the case number included in NASD BrokerCheck report to access the full text of the award at www.nasdadr.com. ** OCCURRENCE COUNTS ** 51 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Type of Event: Type of disclosure event (e.g., arbitration) that details pertain to. * Update: An indication (i.e., yes or no) as to whether the information is an update to earlier information reported about the arbitration proceeding. * Arbitration Forum: Forum that administered the arbitration proceeding. * Case Served Date: Date case was served on respondent(s). * Case Number: Case number assigned to the arbitration proceeding. * Allegations: Allegations made by the customer(s) which lead to the arbitration proceeding. * Type of Securities: Type of securities allegations relate to. * Relief Asked: Alleged dollar amount of compensatory damages sought by the customer(s). * Disposition: Disposition of the arbitration proceeding. * Disposition Date: Date of disposition. * Relief Awarded: Details related to the relief awarded to the parties involved in the arbitration proceeding. ******************************************************************************** *** BROKERAGE FIRM ARBITRATION (1 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/23/2003 Case Number: 03-08487 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,971.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $2,078.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 12, 2005 Page 5 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,276.18; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL *** BROKERAGE FIRM ARBITRATION (2 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/24/2003 Case Number: 03-07682 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/22/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 *** BROKERAGE FIRM ARBITRATION (3 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2000 Case Number: 99-05708 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/01/2001 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50 NASD BrokerCheck October 12, 2005 Page 6 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) *** BROKERAGE FIRM ARBITRATION (4 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/1999 Case Number: 99-02674 Allegations: EXECUTIONS-FAILURE TO EXECUTE; EXECUTIONS-EXECUTION PRICE; EXECUTIONS-INCORRECT QUANTITY Type of Securities: COMMON STOCK;COMMON STOCK;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $152,550.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL *** BROKERAGE FIRM ARBITRATION (5 of 51) *** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/2000 Case Number: 99-05236 Allegations: ACCOUNT RELATED-COLLECTION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,420.62 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $80.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,055.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/27/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,420.60 SEVERALLY ; INTEREST, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $75.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $80.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/27/2000 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,420.60; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $80.00 *** BROKERAGE FIRM ARBITRATION (6 of 51) *** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 12, 2005 Page 7 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 12/02/1999 Case Number: 99-04579 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS *** BROKERAGE FIRM ARBITRATION (7 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/1998 Case Number: 98-03026 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,582.87 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $84,169.86 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/09/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL *** BROKERAGE FIRM ARBITRATION (8 of 51) *** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/1997 Case Number: 97-02899 Allegations: MISREPRESENTATION Type of Securities: ANNUITIES Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL *** BROKERAGE FIRM ARBITRATION (9 of 51) *** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/22/1995 Case Number: 95-03914 Allegations: ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 12, 2005 Page 8 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (10 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/1995 Case Number: 95-03437 Allegations: MISREPRESENTATION; OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,505.05 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 03/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (11 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/10/1995 Case Number: 95-01923 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,783.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (12 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/18/1995 Case Number: 95-01669 Allegations: BRCH OF FIDUCIARY DT; UNAUTHORIZED TRADING; OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,036.50; NASD BrokerCheck October 12, 2005 Page 9 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $0.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (13 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/28/1995 Case Number: 95-00778 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (14 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/1995 Case Number: 95-00418 Allegations: UNAUTHORIZED TRADING; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (15 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/07/1995 Case Number: 95-00340 Allegations: ACCOUNT RELATED-ERRORS-CHARGES NASD BrokerCheck October 12, 2005 Page 10 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,003.00 Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,384.50 ** BROKERAGE FIRM ARBITRATION (16 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1995 Case Number: 94-05429 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK; MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $4,429.76 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) ** BROKERAGE FIRM ARBITRATION (17 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/02/1995 Case Number: 94-05176 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT Disposition: AWARD AGAINST PARTY Disposition Date: 11/27/1995 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT ** BROKERAGE FIRM ARBITRATION (18 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1994 Case Number: 94-04841 Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: MUNICIPAL BONDS NASD BrokerCheck October 12, 2005 Page 11 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,955.98; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51.62; OTHER COSTS, ASKED AMOUNT $0.00; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $283.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) ** BROKERAGE FIRM ARBITRATION (19 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1994 Case Number: 94-04219 Allegations: OMISSION OF FACTS Type of Securities: COMMON STOCK; MUNICIPAL BOND FUNDS; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,182.44; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 ** BROKERAGE FIRM ARBITRATION (20 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/1994 Case Number: 94-02855 Allegations: SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,709.12; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $150.00 ** BROKERAGE FIRM ARBITRATION (21 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 12, 2005 Page 12 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/21/1994 Case Number: 94-02629 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700.00; OTHER COSTS, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $350.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $15.00 ** BROKERAGE FIRM ARBITRATION (22 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1994 Case Number: 94-02486 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $772.72 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 04/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (23 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1994 Case Number: 94-02153 Allegations: OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,005.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,343.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (24 of 51) ** Type of Event: ARBITRATION NASD BrokerCheck October 12, 2005 Page 13 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1994 Case Number: 94-01246 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (25 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/27/1994 Case Number: 94-01239 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,150.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,525.00; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (26 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/1994 Case Number: 94-00546 Allegations: UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,638.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/25/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (27 of 51) ** Type of Event: ARBITRATION NASD BrokerCheck October 12, 2005 Page 14 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 02/03/1994 Case Number: 94-00372 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,090.05; INTEREST, ASKED AMOUNT $0.00; OTHER COSTS, ASKED AMOUNT $0.00; ATTORNEY'S FEES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: Not Provided Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $21,246.58; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,549.59; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (28 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1994 Case Number: 94-00243 Allegations: MISREPRESENTATION; SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,842.04 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 04/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (29 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1994 Case Number: 93-05068 Allegations: EXECUTIONS-LIMIT V. MARKET ORDER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,500.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 10/25/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (30 of 51) ** NASD BrokerCheck October 12, 2005 Page 15 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/1994 Case Number: 93-05048 Allegations: BRCH OF FIDUCIARY DT Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,124.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,124.00 JOINTLY AND SEVERALLY ** BROKERAGE FIRM ARBITRATION (31 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/11/1993 Case Number: 92-02216 Allegations: SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: Not Provided Disposition: CASE IS CLOSED, BY HEARING ***** DISMISSED WITHOUT PREJUDICE ***** Disposition Date: Not Provided Relief Awarded: Not Provided ** BROKERAGE FIRM ARBITRATION (32 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1992 Case Number: 92-00812 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,914.00 Disposition: AWARD AGAINST PARTY Disposition Date: 03/26/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $21,095.00 ** BROKERAGE FIRM ARBITRATION (33 of 51) ** Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 12, 2005 Page 16 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 91-03362 Allegations: MISREPRESENTATION; SUITABILITY; CHURNING; OTHER Type of Securities: COMMON STOCK; PREFERRED STOCK; MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/31/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (34 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/1991 Case Number: 91-02350 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,794.58 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/24/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (35 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/1991 Case Number: 91-00768 Allegations: MISREPRESENTATION; BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; UNKNOWN TYPE OF CONTROVERSY Type of Securities: OPTIONS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $330,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 02/18/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 12, 2005 Page 17 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (36 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/29/1991 Case Number: 91-00155 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; MISREPRESENTATION; BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,323.00; INTEREST, ASKED AMOUNT $4,901.00; OTHER COSTS, ASKED AMOUNT $520.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 11/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (37 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/17/1991 Case Number: 91-00136 Allegations: MISREPRESENTATION Type of Securities: COMMON STOCK; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,578.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (38 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/1990 Case Number: 90-03284 Allegations: ACCOUNT RELATED-OTHER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,254.45 Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/1992 NASD BrokerCheck October 12, 2005 Page 18 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $5,254.45 JOINTLY AND SEVERALLY ** BROKERAGE FIRM ARBITRATION (39 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1990 Case Number: 90-00281 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,451.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/06/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $1,451.00 ** BROKERAGE FIRM ARBITRATION (40 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-03241 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,584.75 Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $100.00 JOINTLY AND SEVERALLY ** BROKERAGE FIRM ARBITRATION (41 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01489 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,403.51 Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 12, 2005 Page 19 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL), AWARD AMOUNT $2,228.00 ** BROKERAGE FIRM ARBITRATION (42 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01109 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,881.25 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 10/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (43 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00047 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,600.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 08/01/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (44 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00018 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,340.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 11/13/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 12, 2005 Page 20 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (45 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: PRECRAFTIS Case Number: 88-03281 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 11/07/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) ** BROKERAGE FIRM ARBITRATION (46 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: PRECRAFTIS Case Number: 88-01879 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $430.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $430.00 ** BROKERAGE FIRM ARBITRATION (47 of 51) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01844 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,869.98 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 07/27/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (48 of 51) ** NASD BrokerCheck October 12, 2005 Page 21 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01409 Allegations: MISREPRESENTATION; EXECUTIONS-EXECUTION PRICE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 06/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (49 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01319 Allegations: UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,656.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (50 of 51) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00259 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 05/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (51 of 51) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 12, 2005 Page 22 This information is current as of: 10/12/2005 ________________________________________________________________________________ NASD Member Firm: FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. CRD Number: 17507 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00140 Allegations: TRADING DISPUTES-MARK-UPS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ************ END OF REPORT ************