New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alien Yasmeh v First Union Securities, Inc., FKA Everen Securities, Inc. Attorneys: For Claimant(s): Mari< E. Goodfriend Esq. - Encino, CA For Respondent(s): Jon L. Rewinski Esq. - Los Angeles, CA Date Filed: 02/25/2000 First Scheduled: O6/05/2000 Decided; 8/21/00 Case Summary: Customer claims damages against member firm fbr damages in thesumof $33,154.02sufleredln c

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Timothy Julian vs. Investment Managementand Research, Inc., Raymond James Financial Services, Inc. and Robert Brady Attorneys: For Clalmant(s): John E. Lawlor Esq. - Mineola, NY For Respondent(s): Robert Brady - New York, NY Deborah J. Howard Esq. - St Petersburg, FL Date Filed: 02/22/2000 First Scheduled; 07/12/2000 Decided; 07/12/2000 Case Summary; Customer vs.

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Herbert & Chariotte Javrilz v. Chartes Schwab & Co., John Vadnais, Eric Yount & Judith Leppert Attorneys: For Clabiiant(s): Hert>ert JawHz - Brooklyn, NY Lynn Jawitz - New Yoric, NY For Responclent(s): Maurick) S. Beugelmans Esq. - San Francisco, CA Date Filed: 02/14/2000 First Scheduled: 07/27/2000 Decided: 11 /l 3/2000 Case Summary: Hertiert Jawttz and Chariotte Jawitz wer

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sharon L. Bennett v Salomon Smith Bamey, John Walsh and George Fellows Attorneys: For Claimant(s): Sharon L. Bennett- Somers, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed; 01/28/2000 First Scheduled: O6/21/2000 Decided: O6/21/2000 Case Summary: Customer is suing for failure of Member Firm and Registerd Representative to liquidate Ti^K account when a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Junyi Chen v Fidelity Investments Attorneys: For Claimants): Junyi Chen - Forest Hills, NY For Respondent(s): Melissa M. Maloney Esq. - Boston, MA Date Filed: 01/31/2000 First Scheduied: 05/19/2000 Decided; C/iii ttO Case Summary: Member Firm made excess contribution into customer's IRA Roth Account. Product: IRA Maricet: other Claim Data Clai

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bemice and Gary Dalbey v Ronakl Gipple and Robert W. Baird & Co., Inc. Attorneys: For Claimantis): John D. Hudson Esq. - Des Moines, IA For Respondents): Gregory G. Wille Esq. - Milwaukee, Wl Date Filed: 02/16/2000 First Scheduled: 07/i 8/2000 Decided: °\ l^h Case Summary: Customer Is suing registered representative and member firm for recommending nume

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: W. Barrett Dower v Salomon Smith Barney Attorneys: For Ciaimant(s): W. Barrett Dower - 75007 Paris, France, For Respondent(s): Ann Parry Esq. - New York, NY y^^/po Date Filed: 02/10/2000 First Scheduled: 04/12/2000 Decided: Case Summary: Customer against member finn fbr failure to transfer funds on date specified resulting in loss of money due to foreign exchange

y New York Stock Exchange NYSE In the Matter of Arbitration Between CasK Rose Baccash v. OMe Discount Corporatkin, Emest J. OWe and Jody Houston Attorneys: For CMmantis): Enwh Cohn - Chicago, L For llBspondanl(s): Theodore A Krebst»chEsq. - New York, NY Ernest J. OMe - Detroit, Ml Date Filed: 01/28/200D Rrst Scheduled: 12/07/2000 Decided: 12/08/2000 Case Summaiy: Customer claimant aHeges unsuitalileinveslmentracommandaik>ns,chumlng,misrepras

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Catherine J. Vines v Morgan Stanley Dean Witter, Ronald C. Krohn & John J. Lucin Attorneys: For Claimants): Catherine J. Vines - N. Hollywood, CA For Respondents): Ronakl C. Krohn - New Yori< , NY John J. Lucin - Santa Fe, NM Douglas F. Stone Esq. - New Yorit, NY Date Filed: 01/l 8/2000 First Scheduled: 03/16/2000 Decided: 04/24/2000 Case Summary: Cath

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04022 Inga Mahonik, Claimant vs. Eric A. Strickland, Massachusetts Mutual Life Insurance Company n/k/a MML Investors Services, Inc. and Betts Strickland & Munro, Inc., Respondents. ATTORNEYS: For Claimant, Inga Mahonik, ("Claimant") appeared Mitchell D. Frankel, Esq., of the firm Sussman & Frankel, LLP. New York, NY. For Respondent, Massachusetts Mutual Life insurance Company ("MML"),