[/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: IS. Broadcort Capital Corp. Attomeys: For Claimant(s): For Respondent(s): Todd A. Zuckerbrod Esq. - New York, NY Date Filed: 07/20/1998 First Scheduled: 01/12/1999 Decided: 04/20/1999 Case Summary: Customer vs. Member Finn, in a dispute arising under a margin agreement and alleging Respondentwas negligent in its duty to determine the value of Mohasco bonds

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: A', v. CIBC OppenhelmerCorporatlon and Chris O'Donnell Attomeys: For Claimants): AmoW GoMstein Esq. - Beaumont, TX For Respondent(s): Davkl Becker Esq. - New York, NY Date Filed: 05/05/1999 First Scheduled: 07/20/1999 Decided: 10/28/1999 Case Summary: Claimant, a pubNc customer, alleges unauthortzedtrading with respectto a purchase of shares in 'Yes! Entertalnmen

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: V. Merrill Lynch Pierce Fenner & Smith Inc. Attorneys: For Claimant(s): For Respondent(s): Kevin T. Duffy Esq. - New York, NY Date Filed: 06/19/1998 First Scheduled: 12/16/1998 i Case Summary:' a public customer, alleges: 1. Merrill Lynch improperly managed her account, causing it to underperfbmi in comparison to relevant performance standards; 2. The account

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Igor Potapov and B.A. Makden Corp. (Claimants) v. Alan Davidson, Irina Dunn, Alexander Sherman, Whitehorne & Co., Ltd. and Fiserv Correspondent Services, Inc. (Respondents) Case Number: 01-04937 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member, Terminated Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants Igor Potapov ("Potapov") and B

ly / New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Suzl T. Salowe. indivkiually and as Trustee of Suzi T. Saknwe Living Trust U/A/D 7/26/95 v. Saknnon Smith Bamey and Vbginia Wteser Attorneys: For Clafmant(s): John C. Kelly Esq. - West Palm Beach, FL For RespoiKient(s): Linda R. /Mpert Esq. - New York. NY Date Filed: 01/12/zooo First Scheduled: O8/09/2000 Decided: T\io\o^ Case Summary: Customer claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen A. Chappeil v Edward D. Jones & Company and Pamela K. Cavness and John Borgota Attorneys: For Clainiant(s): Ralph A. Gant Esq. - New York, NY For Respondent(s): Lawrence R. Goldberg Esq. - St. Louis, MO Date Filed: 06/25/1996 First Scheduled: 02/05/1997 Decided: 02/24/1997 Case Summary: claimant alleges that Respondents made false representations in order to

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Penna v. Merrill Lynch Pierce Fenner & Smith Attorneys: For Claiiiiant(s): John Penna - Douglaston, NY For Respondeiit(s): Maura T Kelly Esq. - New York, NY Date Filed: 12/21/94 Case Summary: Executor of the estate of i First Scheduled: Decided: a former customer against member firm for improperly transferrins Product: EQU Market: 03/20/95 1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: V. PaineWebber Inc. Attorneys: For Clainiant(s): For Respondent(s): Evan J. Charkes Esq. - Weehawken, NJ Date Filed: 07/07/92 First Scheduled: 03/31/93 Decided: ^ 1 'i^' Case Summary: customer v. Member Firm - Customer sieges negligence, misrepresentation, fraud and breach of contract as regards stock purchases including "centocor*, and tortious infliction of emo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Randal Brown v. Prudential Bache Securities Inc., Carrington Clark, Robert Tyndall Attorneys: For Clairnant(s): Vivian Hammill - San Francisco, CA For Responder< (s): Gilbert R. Serota Esq. - San Francisco, CA Robert R. Tyndall - San Francisco, CA Date Filed: 05/19/92 First Scheduled: 07/08/92 Decided: 06/03/93 Case Summary: Registered Representative v. Member fir

/ • New York Stock Exchange In the Matter of Arbitration Between NYSE Case: v. Josaphthai Lyon & Ross v. George Carhart & Gene Kkitsman Attorneys: For Clairnanl(s): Rnhard A. Cole M.D. - Nawburyport, MA For noapondoi < (s): Brian J. Neville Esq. - New York, NY For 3rd Party: Martin Kaplan Esq. - Boston, MA Date Filed: 01/17/1997 First Scheduled: os/08/1997 Decided: August 21, 1997 Case Summary: Customer claimant allege