New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder Peabody & Co. Incorporated v. John A. Sanchirckx) Attorneys: For Clain»nl(s): John Jamnback Esq. - Washington, DC For Respondenl(s): John A. Sanchirico - Albany, NY Date Filed: 09/23/1996 First Scheduled: 02/19/1997 Decided: 02/19/1997 Case Summary: Member firm claimant alleges breach loan agreement and nonpayment of promissory note. Product: PROMISSORY NO

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Julian L. Basch vs. PaineWebber, Inc. Attorneys: For Claimant(s): Julian L. Basch - New York, NY For Respondent(s)'. Pamela G. Armstrong Esq. - New York, NY Date Filed: 09/17/1996 First Scheduled: 01/27/1997 Decided: 01/27/1997 Case Summary: Customer vs. Member Firm alleging an unsuitable recommendatnn to purchase 175 shares of Fruehauf Trailer Corporation stoc

ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Michaelkies v. A. G. Edwards & Sons, Inc. Attorneys: For Clainiant(s): George MichaelkJes - Keene, NH For Respondent(s): Hope Johnson Esq. - St. Louis, MO Date Filed: 09/17/1996 First Scheduled: 01/23/1997 Decided: 1/27/97 Case Summary: customer claimant alleges mismanagement of account. Product: OTHER Market: Claim Data Claim: $4,205.34

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04109 Charles T. Kim, claimant vs. Edward Patrick Green, respondent. ATTORNEYS: Claimant appeared pro se, Chicago, IL. For Respondent appeared Andrea Okun, Esq., of the firm D'Ancona & Pflaum, Chicago, IL. DATE FILED: August 2, 2001 CASE SUMMARY: Claimant alleged that respondent placed trades in his account without his knowledge or authorization. Claim Data Award Data Claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oppenheimer & Co., Inc. v. Richard J. Kersten Attorneys: For CtaJmantCs): Joseph F. Keenan Esq. - Garden City, W For Respondeni(s): Richard Kersten - Crystal l,ake, IL Date Filed: 12/13/1995 Case Summary: a promissory note in First Scheduled: 02/11/1997 Decided: 03/06/1997 Claimant, a member firm, alleges respondent, a fonner employee and registered represent

> 55ifeSiS'"*^S»- ••'•^; > New York Stock Exchange In the Matter of Arbitration Between NYSE CaSje: Principal Rnandal Securitias. Inc. v. Jennifer Blackburn Attorneys: For Claimants): Susan B. Owens - DaOas, TX Fbr Respondeni(s): Jennifar Blackburn - AmariHo, TX Date Filed: oa/za^igge First Scheduled: i2/io/i996 Case Summary: Firm alleges the respondent failed to repay a toan, evkienced by i firm. Product: PROMISSORY NOTE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. Richard Michael Berry Attorneys: For ClairnBnt(s): Patrick L. Hynes Esq. - Boca Raton, FL Fbr Re5pondent(s): Jack Scarola - West Palm Beach, FL Date Filed: 07/i5/i996 First Scheduled: 01/16/1997 Decided: 1/16/97 Case Summary: Menit>er firm claimang alleges breach of agreement and non-payment of promissory note and commission Product

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-04108 Louis and Faith Uridel Name of the Respondents Hearing Site: Chicago, Illinois First Albany Corporation, Wachovia Securities f/k/a First Union Securities, and Richard Kem Claimants Louis and Faith Uridel ("Uridel") were represented by Arthur S. Leider of Investors Arbitration Specialists located in San Diego, California. Respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. Michael Cohen Attorneys: For Claiinant(s): Mark J. Happe Esq. - New York. NY For Respondents): Curtis Carison Esq. - Miami, FL Date Filed: 02/20/1096 First Sclieduled: 10/09/1996 Decided: 4/15/97 Case Summary: Memtwr Firm claimant alleges breach of employment agreement and non-payment of promissory note. Product: PROMISSORY NOTE

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Kevin Leutiue Attorneys: For Clainnnt(s): Mark J. Happe Esq. - New York, NY For Respondent(s): Davki J. FeingoM Esq. - W. Palm Beach, FL Date Filed: 04/26/i996 First Sctieduled: 01/14/1997 Decided: 03A)4/1997 Case Summary: Member firm claimant alteges breach of emptoyment agreement and nonpayment of promissory note. Respond