New York Stock Exchange tsL the Matter of Arbitration Between NYSE Case: Jamec E. Fox and Ruth Ann Fox v Joaephthal a Company Ina, Joaapthal Holding and John Flanagan Attomeys: FdrClainMnl(a): Frederick T. Golder Esq. - LynnfWd, HM For Reapondent(a): Edwin J. Carr Esq. - Boalon, MA Date Filed: 02/28«2 Case Summary: Rrst Scheduled: 02/11/93 Decided: 7/1/93 Registared raprasentaUve againat member firm tor alleged age dtesrimlnaiion

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Thomas H. Miner v. Richard Sanford and PrascoB Bel & Turben Inc. (Kempar Securities Group, Inc.) and Rodman & Renstuw Inc. Attorneys: For ClahianiO): James J. Moylan and A.«SGC. Lid. - Chicago, IL ^ For Raspondent(8): A Brad BHaeasKEaf). - Chicago, IL Busscher Richard Santord - Chicago, IL Dennis C. Waidon Eaq. - Chicago. IL Date Filfld; oa/iz/nz / First Sctied

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: l^virig umon v NMI Knotel and OpponheimBr and Co.. Inc. Attorneys: MBdwl L Paiia esq. ^ Woodland HiBs. CA F^ RatpDndMM' Eugen* L Smal. &q. - Los Angetaa, CA Data FHed: 02/11/92 Rrst Scheduled: oi/ZQr93 D«ciaed:j^«,A3 Qase Summary: Cuatomcr v RaglsiBred noiOTiwualiw and Membei Pitm ailavrg reapcndcntB mads raprtsanMisns coMemins EttMm Air8fl«» $0.84 Curmilattv* Preferred FsharH t

New York Stock Exchange In the Matter of Arbitration Between by^ NYSE Case: Lucille P. McGuire, Trustee for Lucille P. McGuire Trust dated 3/23/81 v. Dean Witter Reynokls, Inc., Veronica Kenney and John van Donge Attorneys: For Claimant(s): Dilworth A. Nebeker. Esq. - Santa Barbara. CA For Respondent(s): Abe Lampert Esq. - San Francisco, CA Date Filed: 02/19/92 First Scheduled: 01/19/93 Decided ' eA^A/^ Case Summary: customer v.

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Leo Guttormson (deceased) & Lola Guttormson v. Prudential Securities Inc. & Rick Runyan Attorneys: For ClaiinBnt(8): Anthony J. Kohler Esq. - Denver, CO For Respondent(s): Lisa S. Kahn Esq. - Denver, CO Date Filed: 03/02/92 First Scheduled: 01/07/93 Decided: 4/9/93 Case Summary: Customer v. Member Firm & Registered Representative - claimant alleges unsuitable investments contrar

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Wllllam E. LeBmn V Dean Wtter Reynolds, Ina Attorneys: For Ctalrnunte): Michael Perlman Esq. - SL Louis Park. MN For noBpondentCe): Janet Love Esq. - San Prancisco. CA Date Filed: 02/19.^2 First Scheduled; oa/2o/92 Decided: oi/is«3 Case Stjmmary: Customer against Memtser Firm alleging respondent waa nogkgem; olaimant seeks lost profits concerning invaatments in

New York Stock Exchange In the Matter o£ Arbitration Between NYSE Case: .Robert and Angela Dcsiietrcvich v Sagen HacKenzie, Inc., Daniei S,hc]l!a,i, Ernie (ifer ftttorneys; For ClBisBnt(8;): Theodore U, Phiilips Esq. - San Fr.?ncisco, CA For RespondeRKs) i Peter S. Ehrlichaan E&q. - Seattle, Uft Date Filed: 02/03/92 Firat Scheduled: 01/19/93 Decided: 02/27/93 Case Susmar';!: Clai!iiant&, cu&toaers, ha'.!e alleged that respondents, engage

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Joseph Oricoli v Morgan Stanley Attorneys: For Clainuuit(s): Debra L. Raskin Esq. - New York, NY For Respondent(s): Anthony F. LoFrisco Esq. - New York, NY Date Filed: 01/28/92 First Scheduled: 07/28/92 Decided: 03/01/93 Case Summary: Registered representative alleges breach of contract in that member firm terminated his emptoyment as managing ditoctor on N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vimal Roy, Claimant v. Charles Schwab & Company, Inc., Respondent Case Number: 01-04724 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dr. Mohun Roy, M.D. Laguna Miguel, California For Respondent: Steve Murphy, Esq. Charles Schwab & Company, Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: August 29,2001 Cla

Wew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Imogene Roosendaal v. Pmdantial Securities Incorporated & Stan Brown Attomeys: Fbr Claiinant(a): James E. Morton Esq. - Salt Late City, UT For Reapondent(a): Kevin Stichter> Esq. - Denver, CO Date Red: 02/25/92 Rrst Scheduled: 06/22«3 Decided: 10/6/93 Case Summary: Claimant alleges mismanagement of personal and retirement account with higti risk invastments in non-lk|ukl real ea