New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Benjamin Turitettaub v Wall Street Discount Corp. Attorneys: For Claimantis): Benjamin Turitletaub - Flushing, NY For Respondentis): Alan Lederfeind- New Yorit, NY Date Filed: 09/21/1999 First Scheduled: Decided: 02/08/2000 Case Summary: Claimant, a tnjstomer, has alleged that respondentdelayed in transferring securities. Product: Market: Claim Data Cl

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas K. Burnett v Stifel Ntoolaus Co., Chip Lyie & Mike Grimes Attorneys: For Claimantis): Thomas K. Burnett- Maryland Heights, MO For Respondentis): Steven W. Koslovsky Esq - SL Louis, MO Chip LyIe - St Louis, MO B. Mtohelle Ward Esq. - St. Louis, MO Date Filed: 09/07/1999 Case Summary: Claimant < First Scheduled: a customer, has alleged that respondentmad

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Elena Chambous Crist v. Merrill Lynch Pierce Fenner & Smith Incorporated, Michael Allen Ehrtich and Charles Ellis Connant, Jr. Attorneys: For Claimantis): Edward H. Glenn Esq. - New Yorit, NY For Respondentia): Kevin T. Duffy Esq. - New Yorit, NY Date Filed: 09/17/1999 First Scheduled: 04/25/2000 Decided: 04/27/2000 Case Summary: Elena Chambous Crist was a cust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcus A. Katz and M.K. Hillside Partners, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 01-04007 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Robert A. Uhl, Esq. Aidikoff& Uhl Beverly Hills, California For Respondent: Daniel G. Murphy, Esq. Loeb & Loeb, LLP Los Angeles

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary Alderfer v. Waterhouse Securities Attorneys: For Claimantis): IVIary Alderfer - Perkosie, PA For Respondentis): Janis Campanella Esq. - New York, NY Date Filed: 09/13/1999 Case Summary: Mary Alderfer was a that margin buying was unsuitable. First Scheduled: 12/17/1999 customer of Waterhouse Securities. Product: EQU She alleges that she Decide

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pmdential Securities, Inc. vs. Jason S. Farkas Attomeys: For Claimantis): Richard G. Masterson Esq. - New York, NY For Respondentis): Jason S. Fari(as - Scottsdale, AZ Date Filed: 09/13/1999 First Scheduled: 11/28/2000 Decided: 11/28/2000 Case Summary: Member Firm vs. Registered Rep ifomier emptoyee) seeking to recover amounts allegedly due under the terms of a promi

[y^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas F. Langston v. Salomon Smith Barney Attorneys: For Claimant(s): Thomas F. Langston - Smyrna, GA For Respondentis): Nancy H. Baughan Esq. - Atlanta, GA Date Filed: 08/22/1999 First Scheduled: 12/15/1999 Decided: 03/21/2000 Case Summary: Claimant, a public customer, alleges respondent, a memberfirm, failed to follow instructions regarding a sell order in

New York Stock Exchange In the Matter of Arbitration Between ly^' NYSE Case: Marcy Shain Messa, as Executrix of the Estate of Tibey Pfeiffer v. Gruntal & Co., Inc. Attorneys: For Claimant(s): Seth E. Lipner Esq. - Garden City, NY For Respondentis): Michele Goldmeer Esq. - New York, NY Date Filed: 08/19/1999 First Scheduled: 11/15/2000 Decided: 12/O6/2000 Case Summary: Marcy Shain Messa had a power of attomey fbr Tibey Pfeiffer, a cus

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: IMonty E. Harrell v. A.G. EdwanJs & Sons Inc. Attorneys: For Claimantis): Eugene P. Redman - New Orleans, LA For Respondentia): Norman S. Buckvar Esq. - SL Louis, MO Date Filed: 08/30/1999 Case Summary: Claimant, i First Scheduled: 04/11/2000 Decided: 5/11/2000 a customer, has alleged that respondentdelayed in executing a sale of units in a trust. Product

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Nina Maurer v. Smith Barney & Richard Crescenzo Attomeys: For Claimantis): Randy S. Zelin Esq. - Westbury, NY For Respondentis): Ann Parry Esq. - New York, NY Date Filed: 08/20/1999 First Scheduled: 12/01/1999 Decided: 10/11/2000 Case Summary: Nina Maurer, a public customer, alleges that Richanl Crescenzo, her stockbroker, advised her that the value of her inve