Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants ' James R. Stern, Individually; James R. Stern and Randi Stern; ' James R. Stern as Trustee for James R. Stern Trust; James R. Stern IRA, FCC as Cutodian; James R. Stern as Trustee of the Cory Stern Irrevocable Trust; and James R. Stem as Trustee of the Stacy B. Stern Irrevocable Trust Cas_eNumber: 01-04014 Name of the Respondents First Union Se

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: M.H. Barrett (a/k/a Buddy Barrett) and Raymond B. Barrett v. Okie Discount Corporatton and Jonas Hatonen Attorneys: For Claimants): Alan L. Tinstey P.C. - Madisonvilte, TX For Respondent(s): Jonas Halonen - Detroit, Ml Donakl Wray Esq. - Detroit, Ml Date Filed: 11/23/1999 First Scheduled: 03/29/2000 Decided: 05/31/2000 Case Summary: Claimants, public custom

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oenna P. Fagan vs. Merrill Lynch Attorneys: For Claimantls): Denna P. Fagan - Sun City West, AZ For Respondent(s): Bryan I. Reyhani Escf. - New York, NY Date Filed: ii/i9n999 First Scheduled: 02/15/2000 Decided: 03/01/2000 Case Summary: Customer vs. Member Firm alteging an unsuitable investment in Claimant's IRA account and breach of fiduciary duty. Claimant seek

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elliot J. Smith v Prudential Securities. Inc. Attorneys: For Clalmant(s): Elliot J. Smith - New Yort(. NY For Respondent(s): Robert A.W. Boraks Esq. - Washington, DC Date Fiied: 10/25/1999 First Scheduled: 04/10/2000 Decided: O6/15/2000 Case Summary: Former registered representative against member firm for violation of 12/1/92 agreement which ponridedfor a finders fe

f/ ./ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen D. Williams v Nomura Hokling America, Inc., Capital Company of America LLC, fka Nomura Asset Capital Corporation and Boyd Felkiws Attorneys: For Claimant(s): Judianne Jaffe Esq. - Beverly Hills, CA For Respondents): W. Douglas Kari Esq. - Los Angeles, CA Date Filed: 11/03/1999 First Scheduled: 02/07/2000 Decided: 2/25/2000 Case Summary

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Harvey E. Cohen v Brown & Company Attorneys: For Claimant(s): IHarvey E. Cohen - Hoboken. NJ For Respondent(s): Bany S. Fischer Esq. - Boston, MA DateFiled: 11/11/1999 First Scheduied: 05/04/2000 Decided: 05/05/2000 Case Summary: Customer against member for failure to timely follow instructions and IRS rules allowing the recharcterlzatk>n and reconversion of ROTH IRA account

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Samuel Ptasznik, Trustee of the Samuel Ptasznik v B.T. Alex Brown Attorneys: For Claimanl(s): William F. Davis Esq. - Los Angeles, CA For RespondBnt(s): Paul J. Schumacher Esq. - Long Beach, CA Date Filed: 11/09/1999 First Scheduled: 04/11/2000 Decided: 15- \A c 0 Case Summary: customer against member finn fbr tosses In excess of $413,550. Customer

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen E. Milman v. Neuberger& Benman, Inc. as successor to Neuberger& Bernian, LLC Attorneys: For Claimants): John S. Kinzey Esq. - New Yoik, NY For Respondent(s): Edwin G. Schallert Esq. - New Yorit, NY DateFiled: 11/08/1999 First Scheduled: 06/20/2000 Decided: O6/29/2000 Case Summary: Stephen Mllman retired asapartnerof Neuberger&BemianonDecemberSI, 1996. Neuberg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alien R. Sackett v Fidelity Investments Attorneys: For Claimant(s): Allen R. Sackett- Banning,CA For Respondent(s): Richelle S. Kennedy Esq. - Boston, MA Date Filed: 10/29/1999 First Scheduled: 01/24/2000 Decided: 3/22/2000 Case Summary: Customer against member firm for $8.00 per share (143 shares) of Consolidated Capital Institutional Properties were sokl withou

New York Stock Exchange NYSE In the Matter gfArbitmtMm Betwe«^n Cast: Uisa SyvsfMn v. Sands Bmhers ft Compsny, LU snd Oami Dsssn Attorneys: Por CMnamfs): MOfgsn W. Bsntlsy Esq. r NeMsrfc. NJ Por RsspemlsniiB): Ruih KalNBsr Esq. - Now Yori(, NY Date Pll»d: ii«4/iass First Scf.adulsd: w\vsooo Deeidad: 12/18/2000 Casa Summary; Claimant, a puMk: aiwxiwr, SIIBOH una jUiorlksdptirchsse of stocks sRar neillyina tha respondamaor his Imsm tq trsristsr hia