New York Stock Exchange In the Matter of Arbitration Between A"' NYSE Case; Norman K. Prigge v A.G. Edwards & Sons, Inc., Randall Anderson, and Christine Gosselin Attorneys: For ClaimantCs): Norman K. Prigge - Bakersfiekl, CA For Respondent(s): Norman S. Buckvar Esq. - St. Louis, MO Date Filed: 06/29/2000 First Scheduled: 09/07/2000 Decided:9/13/00 Case Summary: Custon^er against member firm for feilure to follow instructions in spli

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gamal Garas M.D. and Siham Garas vs. Charles Schwab & Co., Inc. Attorneys; For Clalmant(s): Gamal Garas M.D. - St. Petersburg, FL For Respondent(s): Lowell H. Haky Esq. - San Francisco, CA Date Filed: O6/29/2000 First Scheduled; 10/27/2000 Decided; 10/27/2000 Case Summary: Customers vs. Member Firm alleging a wrongful and unauthorized cancellatkin of Claimants' order

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ashok C. Shah v TD Waterhouse Investor Sen/ices Attorneys: For Claimants): /VshokC. Shah - Kalamazoo, Ml For Respondent(s): Janis Campanella Esq. - New Yort(, NY Date Filed: O6/05/2000 First Scheduled: Decided: 10/06/2000 Case Summary: customer against member firm for selling optton for adjusted Digital Equipment shares instead of Compaq Computer shares. Product; OPT Maricet

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case; Eleanor SchofiekJ v Menill Lynch Attorneys: For Claimant(s): Eleanor SchofiekJ - WestfieM, NJ For Respondent(s): Michael G. Constantine Esq. - New Yoric, NY Date Filed: 06/26A2000 Case Summary; Claimant i First Scheduled; 1 customer, has alleged that respondentdld not credit her with < Product: Decided; 10/05/2000 ) cash deposit to her account

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Gruntal & Company, LLC vs. RichanJ Morea Attorneys: For Claimant(s): David W. Schmidt Esq. - Kenilworth, NJ For Respondent(s): Gary OberlanderEsq. - Mineola. NY Date Filed: 05/10/2000 First Scheduled: 09/20/2000 Decided: og/22/2000 Case Summary: Member Firm vs. Registered Rep (fomier employee) alleging that Respondentfailed to honor his agreementwith Claimant to

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Dillon, WiHlam Paul and Paula Lou v. Fidefity Investuients and Fideliiy Brokerage Service Attorneys: For Claimant(s): William Paul Dillon • Houston, TX For Respondentis): Richelle S. Kennedy- Boston, MA Date Filed: O6/13/2000 First Sclieduled: 09/27/2000 Decided; n/isaooo Case Summary: Claimants, pulilk; customats. allege that Respondentsfiiliura to purchase V

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Moshen Nasab & Deborah Strickland v Charies Schwab & Co. Attorneys: For Claimants): Mohsen Nasab - San Jose. CA For Respondent(s): Sean B. Meehan Esq. - San Francisco, CA Date Filed: 05/30/2000 Case Summary; Claimant First Scheduled; a customer, has alleged that respondentdkl not roll Product: over an Decided: 10/03/2000 IRA account Into the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Heaney, Jean Orr, Scott Baily, Olga Urgiles, Mary Hahn, Susan Kalla, Mark Sancrant, and Vivek Agrawal (Claimants) v. Trade.com Online Securities, Inc., BlueStone Capital Management, Inc., Oded Berkowitz, Matthew Castagna, Kerry Dukes, David Hogan, Kamal Mustafa, Neil Rubin, Philip Taub, and Mark Behrman (Respondents) Case Number: 01-04029 Hearing Site: New York, New York Na

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Trading Direct, a divisnn of York Securities, Inc. v. Michelle LaRusso & John LaRusso Attorneys: For Claimant(s): Philip H. Kalban Esq. - New Yori< , NY For Respondent(s): Michelle LaRusso - Nonwalk, CT Date Filed: 05/22/2000 First Scheduled: 10/03/2000 Decided: 12/O8/20OQ Case Summary: Trading Direct, a divisnn of York Securities, Inc. ("Trading Oirecf), seeks to rec

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case; Bartaara Ansell v Paine Webber Attorneys: For Clalmanc(s); Bartiara Ansell - Chicago, IL For Raspondentts): Major Kahn Esq. • Weshawken, NJ Date Filed: 04/19/2000 First Scheduled: 06/21/2000 Decided: 6/28/2000 Case Summary: Customer against member firm for customei's tiroktr's failure to advise of tax consequencesof earty withdrawal of annuity. product: Ma