/ iW York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v Dennis Armstrong Attomeys: For Clalmant(s): Arthur BaumgartnerEsq. - New Yorit, NY For Respondent(s): Lawrence M. Philips Esq. - New Yoric, NY Date Filed: 10/07/1997 First Scheduied: 04/14/1998 Decided: July 1, 1998 Case Summary: Claimant, a member flmi, has alleged that respondentfeiled to repay money owed undera promissory note

y < few York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jean Luc Dumortier v. Smith Bamey & Co., Inc. and Jeffrey R. Zapoleon Attomeys: For Clainfiafit(s): Lawrence M. Philips Esq. - New Yori(, NY For Respondent(s): Elaine H. Mandelbaum Esq. - New Yoric, NY Date Filed: 10/10/1997 First Scheduled: 07/14/1998 Decided: n/ii/X998 Case Summary: Customer claimant alleges unsuitable trading n high-risk securities, unautho

v/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vincent and Dora Caruso Individually and as Co-Trustees of the Vincent Canjso Living Trust and the Dora Camso Living Trust v. Oppenhelmer& Co., Inc. Attomeys: For Claimantis): Lonnie K. Mortens - Vfest Palm Beach, FL For Respondent(s): Davki L. Becker Esq. - New Yoric, NY Date Filed: 10/03/1997 First Scheduled: 08/04/1998 Decided: 08/06/1998 Case Summary

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael W. Gregory and Betty J. Gregory v. Oean Witter Reynolds, Inc. Attomeys: For Claimant(s): Dale Ditto Esq. - Lexington, KY Charles C. Mlhaiek Esq. - Lexington, KY For Respondent(s): James D. Yellen Esq. - New York, NY Date Filed: 10/02/1997 First Scheduied: 06/09/1998 Decided: 6-30-1998 Case Summary: Claimants allege the registered representative

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04052 Chris Petrone and Wendi Petrone, Ten Com; Chris Petrone, IRA Rollover; and, Wendi Petrone, IRA Rollover Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Chris Petrone and Wendi Petrone, Ten

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dorothy Haney Fowler v. Merrill Lynch Pierce Fenner Smith Inc. and Charies L. Mugg Attomeys: For Claimants): Teny Guy Shipley Esq. - Nonman, OK For RespondenUs): John J. Kilkenny Esq. - New Yori< , NY Date Filed: 09/29/1997 First Scheduled: 02/10/1998 Decided: 3-13-1998 Case Summary: Claimant alleges the finn recommended the purchase of unsuitable income funds and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co.. L.L.C. v. Ron Phillips Attorneys: For Claimant(s): J. Vfesley Holston - Miami, FL For Respondentis): Ron Phillips - Boca Raton, FL Date Filed: 09/30/1997 First Scheduled: 03^)5/1998 Case Summary: Member finn claimant alleges breach of employment agreement Product: PROMISSORY NOTE Decided: 7/15/1998 non-paymentof promissory note and draw def

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank W. Coates and Anne B. Coates v Gruntal & Co.. Inc and Mtohael Sadbk Attorneys: For Clalmant(s): Jannes P. Murphy Esq. - Detroit, Ml For Respondent(s): Pstar Vaughan Esq - New York, NY Date Filed: 09/29/1997 First Scheduled: 02/25/1998 Decided: 0609/1998 Case Summaiy: Claimants allege thai Re»pondents'made unsuitable and excessive trades in their accountand misr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James and Pietrina Larivee v McDonald & Company SecurlUas, Inc. andW. Joseph Brockman Attorneys: For Clalmant(s): Anthony V. Trogan. Ji. Esq - Bingham Farms. Ml For Respondsni(a): Henry V. Kerr Esq. - Cleveland, OH Date Filed: 09/26/1997 First Scheduled: 02/24/1998 Oecided: 06/30/i99B Case Summary: claimants allege that Respondenbmade unauthorizedtrades in their acco

y' New York Stock Exchange In the Matter of Arbitration Between Case: Stephen L. Plutzer v PaineWebber, Inc., Robert J. Manta, Michael J. Tenaglla and Diana Mitchell Attorneys: For Claimant(s): Stephen L. Plutzer Esq. - Garden CHy, NY For ResporKlent(s): Sandra G. Grannum Esq. - Weehawken, NJ NYSE Date Fiied: 09/11/1997 First Scheduled: 03/19/1998 Decided: 05/21/1998 Case Summary: Claimant, a customer, has alleged that respondentrefu