New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert J. Rauch, M.D. v MerriH Lynch, Ptorce, Fenner & Smith, Inc. Attorneys: For Ctoimants): Robert Rauch M.D. - Woodmere, NY Fbr Respondent(s): Howard C. Sawransky Esq. - New York, NY Date Filed: 10/03/1995 First Scheduled: 06/20/1996 Decided: 10/01/1996 Case Summary: ctoimam altoges failure to execute order to timely fashton. Product: ZCOUPBONDS Market: NY

New York Stock Exchange In the Matter of Arbitration Between Date Filed: 10/O6/1995 First Scheduled: 09/25/1996 Decided: NYSE Case: James T. McLaughfin v W.H. Newbold's Son & Co., Inc., a diviston of Fahnestock & Co., Inc. and /Ubert Lowenttial Attorneys: Ftor Claimanl(s): Davto C. Franceski, Jr. Esq. - Philadelphia, PA Fbr Respondents): Erto J. Shames Esq. - New York, NY Oct. 2, 1996 Case Summary: claimant alleges a failure

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Seymore Scharer, Trustee of the Seymore Sharer Trust, v. Bear, Stearns & Co., Inc. Attorneys: For Claimant(s): Seymore I. Scharer - Kings Point, NY Fbr Respondent(s): Cara Aber Esq. - New York, NY Date Filed: 10/06/1995 First Scheduled: 06/O6/1996 Decided: O6/25/1996 Case Summary: claimant alleges excessive commission was charged on a trade of 2000 shares of Te

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE-.01-04482 Edward D. Jones & Co., L.P., claimant vs. Thomas May Jr., respondent. ATTORNEYS: For Claimant appeared Lawrence R. Goldberg, Esq., of the firm Goldberg, Katz & Stansen, P.C., S. Louis, MI. Respondent did not respond to the Statement of Claim. DATE FILED: August 17, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement by failing to repay training

New York Stock Exchange m the Matter of Arbitration Between NYSE Case: Jerome Bresson v Prudential Securities Incorporated Attorneys: For ClaJinanl(s): Paul N. Minkoff Esq. - Phitodelphto, PA For Respondel1^s): Donna Ftoss Daniels Esq. - New Yorit, NY Date Filed: 10/12/1995 First Scheduled: 05/29/1996 Decided: May 31, 1996 Case Summary: claimant alleges misrepresentation as regards the purchase of Prudenttol Short-Term Global Fund.

New York Stock Exchange In the Matter of Arbitration Between /, / / y NYSE Case: Julle Habere v Shearson Lehman Brottiers, Inc., Smitti Barney, Inc. and Jon Glantz Attorneys: For Claimants): Dan A. Druz Esq. - Manasquan, NJ Fbr Respondent(s): Christine Tracey Esq. - New York, NY Date Filed: 09/27/1995 First Scheduled: 04/26/1996 Decided: 09/30/1996 Case Summary: claimant alleges Respondents breached an Implied covenant of goo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: C.K. white and Lexus Industries, L.P. v A.T. Brod & Co. Inc, Charito Lee, Albert T. Brod, Jugal Taneja and Julto MoU-Torras Attorneys: For Claiinant(s): Robert V. Cornish, Jr. Esq. - New York, NY Fbr Respondents): Michael Brod - Cleveland, OH Bruce J. Kahne Esq. - New York, NY Martin Kaplan Esq. - New York, NY Stephen G. Topetzes Esq. - Washington, DC Date Filed: 09/

f /., New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Irene Haskell v Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Ctoimanl(s): Michael Present Esq. - New York, NY For Re5pondent(s): Robert E. Goldberg Esq. - New York, NY Date Filed: 09/22/1995 First Scheduled: 05/13/1996 Decided: Case Summary: Claimant alleges Respondent mismanaged her account by matong purchases of unsuitable: Product

New York Stock Exchange NYSE In the Matter of Arbitration Between . Case: Rtohard Kazan v. Christine A. Culrona and PaineWebber Inc. Attorneys: For Ctainian^s): James R. Rosenwato, III, Esq. - Redondo Beach, CA For Re8pondenl(s): Stephanto Mors»-Shamosh Esq. - Weehawken, NJ Date Filed: 07/08/1995 First Scheduled: 12/12/1995 Deckled: jg^^ 26, 1996 Case Summary: Customer against member finn and registered raprasenlativa for failure to notify investmem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Advest Inc. v. Robert L Wayne Attorneys: For CiatoiBnt(s): Barry Kronemer - Hartford, CT For Respondent(s): Walter Reynotos Esq. Dayton, OH Date Filed: 09/29/1995 First Scheduled: 0£'i4/i996 Decided: 9-4-96 Case Summary: Claimant extended a toan to Respondent and alleges here thai Respondent has failed ta repay ttie remaining balance of the note. Responde