few York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheree A. Ruland v. A. G. Edwards 8i Sons, Inc. and Shawn Dailey Attorneys: For Claimant(s): Sheree A. Ruland - Durham. NC For Respondent(s): M. Jane Matoesian Esq. - St. Louis, MO Date Filed: 10/08/1999 First Scheduled: 01/05/2000 Decided: /V^ tftro Case Summary: Sheree Ruland, a customer of A. G. Edwards, alleges that because of a change in stock symbols, h

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Richard O. Leber v. Charies Schwab & Co., Inc. Attorneys: For Claimantis): Richard O. Leber- Chapel Hill, NC For Respondent(s): Sean Meehan Esq. - San Francisco, CA Date Filed: 09/30/1999 First Scheduled: 01/05/2000 Decided: 01/25/2000 Case Summary: Rtohard Leber, a customer of Charles Schwab, alleges the finn improperiy canceled a buy order fbr Aaron Renta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce A. Myers, Myers 1989 Exemption Trust U/A 6/15/89, Myers 1989 Survivors Trust U/A 6/15/89, Claimants v. UBS Financial Services Inc., D.A. Davidson & Co., David B. Moskovitz, Michael J. O'Brien, n, and Edward C. Yoon, Respondents Case Number: 01-04009 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fto Stockton v. Morgan Keegan Attorneys: For Claimantls): Robert H. McCaleb - Huntsvllle, AL For Respondentis): James T. Ritt Esq. - Memphis, TN Date Fited: 10/12/1999 Case Summary: Claimant: First Scheduled: 01/19/2000 Decided: 09/25/2000 ) public customer, alleges respondent a member firm, engagedin unsuitable bond investments. Product BONDS Maiket

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pmdential Securities, Inc. v. Dennis Barba Attorneys: For Claimantis): Arthur Baumgartner Esq. - New York, NY For Respondentia): Roger W. Van Deusen - Cleveland, OH Date Filed: 09/30/1999 First Scheduled: 02/09/2000 Decided: 4-4-2000 Case Summary: Prudential Securities alleges that a fbrmer registered representative, Dennis Barba, failed to completely repay a promiss

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Iriana Blitshtejn v. Olde Discount Brokerage. Louis Saltarelli and ThOITIdS CdlTipbel 1 Attorneys: For Clalmant(s). Tova Weiss Esquire - Huntingdon Valley. PA For Respondent(s): KurtW. LofgrenEsq. - Detroit Ml Date Filed: 10/05/1999 First Scheduled: 04/04/2000 Decided: 3-30-2000 Case Summary: iriana Blitshtein, a customer of Olde Discount Corporation, alleges tha

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Abramson & Magidson P.A. Defined Benefit Pension Plan v. Jerome Engelhard and Advest Inc. Attorneys: For Claimantis): John M. Abramson Esq. - Miami, FL For Respondentia): Gary M. Miller Esq. - Fort Laudeniale, FL Date Filed: 10/12/1999 First Scheduled: 07/11/2000 Decided: 07/21/2000 Case Summary: customer claimant alleges unsuitable investments, mismanagement, misiep

New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: J. Robert Sztam, Executor of the Estate of Mary E. Stillman v. A. G. Edwards & Sons, inc. Attorneys: For Claimantis): Robert Sztam - Boston, MA For Respondentia): Nuviah Shirazi Esq. - St Louis, MO Date Filed: 10/08/1999 First Scheduled: 12/15/1999 Decided: 1-12-2000 Case Summary: J. Robert Sztam was the executor of an estate with stock assets. Mr. Sztam a

New York Stock Exchange In the Matter of Arbitration Between \ y ^ NYSE Case: David Eilenberg v. Chartes Gianni and David Sinclair Attorneys: For Claimant(s): David M. Sobel Esq. - New Yorit, NY For Respondentis): Martin Unger - New York, NY Date Filed: 09/15/1999 First Scheduled: 11/14/2000 Decided: 11/17/2000 Case Summary: David Eilenberg, a former member, alleges that he gave his floor report stationery to Charies Gianni a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: lnterAcctonesA.V.V. v. Dean Witter Reynokls, Inc. Attorneys: For Claimantis): Jonathan L. Hochman Esq. - New Yorit, NY For Respondentis): James D. Yellen Esq. - New Yorit, NY Date Filed: 09/29/1999 First Scheduled: 04/i 3/2000 Decided: May 18, 2000 Case Summary: lnter/\cctones is a securities firm located in Venezuela. The Statement of Claim alleges that InterAtx