New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Howard Wehnes vs. Merrill Lynch Pierce Fenner & Smith and Michael Taafee Attorneys: For Claimant(s): Howard Wehnes - Tampa, FL For Respondent(s): Burton W. Wiand Esq. - Clearwater, FL Date Filed: 01/20/93 Case Summary: Customer vs. of account and denial of facts. First Scheduled: 07/16/93 Decided: 12/01/93 Member Firm and Registered Rep alleging breach of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Satell, LLC, Claimant v. E*TRADE Securities, Inc., Respondent Case Number: 01-04677 Hearing Site: Via Telephone REPRESENTATION OF PARTIES For Claimant: William P. Torngren, Esq. Sacramento, California For Respondent: Joseph E. Roren, Esq. Steefel Levitt & Weiss San Francisco, California CASE INFORMATION Statement of Claim filed on or about: August 30, 2001 Claima

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Edmond A. Swaya and Laurice H. Swaya v McLaughlin, Piven, Vogel Securities, Inc. Attorneys: For Claimant(9): Edmond & Laurice H. Swaya - BrooKlyn, NY For Re8pondent(8): Ira Cohen Esq. - Huntington, NY Date Filed: 01/15/93 First Scheduled: 08/26/93 Decided: 09/23/93 Case Summary: Claimant, a customer, alleges respondent, a member firm, made a misrepre sentation

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Brothers Inc. v. James Bozeman, Attorneys: For Claiirant(8): Louis L. Plotkin Esq. - New Orleans, LA For Respondents): Wii\throp G. Gardner ESQ. - New Orleans, LA Date Filed: 01/18/93 First Scheduled: 12/03/93 Decided: ^a^cA. ^/W^ Case Summary: Claimant alleges that respondent's account was overcredited with stock which respondent then liquidated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04675 Brenda Bourgeois Names of the Respondents Hearing Site: New Orleans, Louisiana A.G. Edwards & Sons, Inc. Patrick P. Janet Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Brenda Bourgeois, referred to as "Claimant": Courtney A. Hueser, Esq. and John M. Klamann, Klamann & Hubbard, P.A

Kev? York Stock Exchange in vhe Matter of Arbitration Between NYSE Cl3J.: i's.G i,-i&:iijLis;-u>i ~:a.z\ng ins. v Sesurnies Senlement Corporation Arlorneys: For Ci&B7isrr.{e): Srya:^ Cavan Esq. - Atianta, GA For R0Bpondans(s): E. D&nies - Islip, NY Dste Filed: ci/os/93 First Scheduied: 09/oa'93 Oecided: 09/08/93 Case Summsry: claimant alleges that respondent failed to return claimam's money which was retained to cover osses whksh did not

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co., Inc. vs. Kevin McAllister Attorneys: For Clainiaiit(8): Davki R. Rappaport Esq. - New York, NY For Respondent(s): Kevin McAllister - Staten Island, NY Date Filed: 01/11/93 First Scheduled: 05/04/93 Decided: 12/14/93 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due on a promissory note and from trading

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lester I. Paine v Smith Barney, Harris Upham & Co., Inc., Primerk» Corporation, Shearson Lehman Brothers, Inc., Smith Bamey Shearson, Inc., Frank Maggio and Russell Morton Attorneys: For Claimant(s): Robert W. Wachsmuth Esq. - San Antonio, TX For Respondent(s): Eugene V. Clark Esq. - New York, NY Date Filed: 12/22/92 First Sctieduled: 09/08/93 Decided: iih')9l

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dain Bosworth, Inc. v /Alexandra Kunkle Attorneys: For Claimant(s): Catherine A. Gnatek Esq. - Minneapolis, MN Edward J. Pluimer Esq. • Minneapolis, MN For Respondent(s): Ronald L Futterman Esq. - Chicago, IL J. William Holland Esq. - Chicago, IL Date Filed: 01/11/93 First Scheduled: 11/09/93 Decided: 10/11/94 Csse Summary': Claimant alleges that respon

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jacob Brzowsky v Smith Bamey Harris Upham & Company Attorneys: For Claimants): Jacob Brzowsky - Brooklyn,, NY For Respondent(s): Linda R. Alpert Esq. - New Yorit, NY Oate Filed: 01/04/93 First Scheduled: 08/02/93 Deckled: 08/02/93 Case Summary: Claimant, a customer, alleges Respondent engaged in unauthorized and unsuitable transactk>ns with respect to claimanfs a