New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willlam S. Wright (DBA Signet /\sset Management) v Dean Witter Reynolds Attorneys: For Claimant(s): John K. Shannon, Jr. Esq. - New York, NY For Respondent(s): Elizabeth Hill Esq. - New York, NY Dale Filed: 11/09/92 First Scheduled: 07/09/93 Decided: 11/O8/93 Case Summary: claimant alleges that Respondent mismanaged his account and made an unauthorized trade in conne

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: The Ann and Erie Van Waveran Fbundation v Shearson Lehman Brotfiers Inc. and Margaret Neilly Attomeys: Fbr Claimani(a): Joshua M. Rubins Esq. - New York. NY For neipondont(a): Christine Tracy Esq. - New Yoric, NY Date Filed: 11/00/02 First Scheduled: 08/03/93 Decided: 08/12«3 Case Summary: Claknant alleges ttnt Member Fimi and Registered Representative purchase

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04772 Joseph Stevens & Company, claimant vs. Robert Whitcomb, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: September 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay for shares of Immune Response Corp. Del (IMN

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Jeff A. Thompson v. Roger Reynolds, Alan Hutchins and Prudential Securities Inc. Attorneys: For ClaJmant(s): Jeff A. Thompson - Charlotte, NC For Respondent(8): Mark L. Seffinger Esq. - New York, NY Date Filed: 11/11/92 Case Summary: Customer First Scheduled: 04A)2/93 Decided: 04/12/93 against member firm and registered representative for alleged unsuit

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mtohael Brod v AT. Brod & Co., Inc. and Albert T. Brod Attorneys: Fbr Clalmanl(f): Mitchell Bems Esq. - New Yoric, NY For Reapondeni(s): Thomas J. McCabe Esq. - New Yoric, NY Keith Pubifer - New Yoric. NY Date Filed: 11/09/92 Rrst Scheduled: 05/25/93 Decided: 05/25/93 Case Summary: Allied Member against Member Rrm and AINed Member fbr reimbursement of funds and r

\J New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael W. Pursley vs. Dean Witter Reynolds, inc. Attorneys: For Claimant(s): Michael W. Pursley - Safety Harbor, FL For Respondent(s): Glenn D. Kelley Esq. - West Palm Beach. FL Date Filed: 11/11/92 First Scheduled: 03/17/93 Decided: 05,'i 3/93 Case Summary: Registered Representative vs. Member Firm for alleged negligence and misrepresentations to the firms'

New York Stock Exchange In the Matter of Arbitration Between NY Case: Stephen Dripchack, Jr. v Waterhouse Securities Attorneys: Fbr Clainnnt(8): Stephen Dripchack Jr. - Brooklyn, NY For Re8pondent(8): Kate Harrison Esq. - New York, NY Date Filed: 11/05/92 First Scheduled: 05/05/93 Decided: 05/05/93 Case Summary: Former emptoyee alleges member firm failed to honor stock option award. Product: OPT Market: Other Claim Data Claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harry Kniffin, Executor of the Estate of Betty P. Kniffin v AG. Edwards and Sons, Inc., and C. William Whitman Attorneys: For ClainnnMs): Daniel G. Spraul - Cincinnati, OH Fbr Respondents): day L. Grumke - St. Louis, MO Date Filed: 10/30/92 First Scheduled: 05/O6/93 Decided: n//2-h3 Case Summary: claimant alleges that respondent registered representative invested

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Larry Salvano, Jay Coon and Davki Tate v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Claimant(s): Thomas M. Campbell - New York, NY Ronakl Kane Esq. - Chicago, IL Fbr Respondent(s): Peter Cantwell Esq. - Chicago, IL Gregory S. Rubin Esq. - Paoli, PA Date Filed: 11/05/92 First Scheduled: 11/12/92 Decided: 12/07/92 Case Summary: claimants,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Unvllle Home Protection, Inc. and Roben Roth v. Prudential Securities inc. V James Hoffman, Quentin Stewart, Bill Johnson and Isaac Berneman, Attorneys: FOr Claimani(a): Wiiam J. Lop^ire Esq. - Woodland Hills. CA For Heipondenl(i): Janet M Simmons Esq. - Long Beach, CA Fbr 3rd Party: Isaac Berneman - Van Nuys. CA Date Filed: ^ofsm2 First Scheduled: OA.'S&.'&S