New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack Lazerowitzv Janney Montgomery Scott, Inc. Attorneys: For Clalmant(s): Roy L. Jacobs Esq. - New York, NY For Respondentis): Thomas J. HanrahanEsq. - Glen Rock, NJ Date Filed: 08/16/1999 First Scheduled: 03/i 6/2000 Decided: 03/i 6/2000 Case Summary: Claimant, a customer, has alleged that Respondentwas negllgentwith respect to a purchase of Amazon.com options.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Estate of Charles Ratner vs. Satomon Smith Barney, Inc. and Steve Miller Attorneys: For Claimant(s): Ronald B. Goodman Esq. - New York, NY For Respondentia): William A. Hohauser Esq. - New Yort(, NY Date Filed: 08/09/1999 First Scheduled: 12/06/1999 Decided: 07/14/2000 Case Summary: Estate of Custmer vs. Member Firm and Registered Rep alleging speculative and unsuita

New Yoric Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Allen and Ruth Allen v. Menill Lynch & Co. v. Fidelity Brokerage Services, Inc. Attorneys: For Claimant(s): Thomas C. Loepp Esq. - Stow, OH For Respondent(s): Kevin Thomas Duffy Esq. - New York, NY For Srd Party: Robert N. Rapp Esq. - Cleveland, OH Date Filed: 08/06/1999 First Scheduled: 01/19/2000 Decided: «/7/200Q Case Summary: Charles Allen al

New Yoric Stocic Exchange In the Matter of Arbitration Between y NYSE Case: James Amont & Marie Amont v. Prudential Securities Corp. Attorneys: For Claimant(s): Alexander Novak Esq. - New York, NY For Respondent(s): Charles B. LaChaussee- New York, NY Date Filed: 08/02/1999 First Scheduled: 01/26/2000 Decided: 04/13/2000 Case Summary: James Amont and Marie Amont, were customers of Prudential Securities, who had a substantial position

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04006 Roger Lenne, claimant vs. Norman Brodeur, Carmine Anthony Sarnelli, Thomas Rossi and Wexford Clearing Services Corp., respondents. ATTORNEYS: For Claimant appeared Timothy Feil, Esq. of the Firm Brian Reis & Associates, New York, NY. For Respondent, Wexford Clearing Services Corp., appeared Joseph Dolcimascolo, Esq., of firm Prudential Securities, Inc., New York, NY. For Respondent

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant vs. Reginald Rucker, Respondent Case Number: 00-01269 Hearing Site: Cleveland, Ohio (No Hearing Held.) REPRESENTATTON OF PARTIES Bruce Lewitas, Esquire, Chicago, Illinois, represented Claimant First Union Securities, Inc. ("First Union"). Thomas C. Wagner, Esquire, of Chattman, Gaines & Stern, Cleveland, Ohio, represented

New Yoric Stocic Exchange in the Matter of Arbitration Between NYSE Case: Smith Barney Inc. v Stephen Zipp a/k/a Steven Zipp & Hi-Tech Component Distributors, Inc. Attorneys: For Claimant(s): Martin S. Cole Esq. - New York, NY For Respondentia): Steven J. Eichberg Esq. - Westlake Village, CA Date Filed: 07/15/1999 First Scheduled: 11/03/1999 Case Summary: Memberfirm v customer alleging breach of contract, sale. Claimant seeks damages, co

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Gmntal & Company, L.L.C. v. Philip Coad Attorneys: For Clajmant(s): Joseph A. Vallo Esq. - New York, NY For Respondent(s): Philip Coad - New York. NY Date Filed: 07/20/1999 First Sclieduled: 11/10/1999 Decided: 03/22/2000 Case Summary: Claimant, a member firm, alleges breach of an employment agreementfbr failure to pay the balance due on an outstanding loan. Clai

New York Stock Exchaage In the Matter of Arbitratfom Between y NYSE Case: LaiiraneeM. me and eMim U HIS •. SiMtfi isffls/ AttMnays: Per eialBwnils)- Lswmosk ras - UliMaad,VIM For RKpondsnfs)? Ann Pwry In. - NSW Ytaik. NV Date Filed: 08nsn9M Fint ScheduMdt i monnv Dacidsd: 02/24/2000 MariiM: CMmData CWm: $10,000 00 Puniihi*: SO.QB AayFcts:sooo Depont. $7Si» AvmdOaia AwM:una PkinilMOC 00.00 Ally Fias: I0

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: OMe Discount Corporatkin vs. MasoudYasami Attorneys: For Claimant(s): IMichael Knittel Esq. - Detroit, Ml For Respondent(s): Masoud Yasami - Paradise Valley, AZ Date Filed: 07/14/1999 First Scheduled: 01/O6/2000 Decided: 01/O6/2000 Case Summary: Member Fimn vs. Customer alleging Respondentordered the purchase of several securities and failed to pay fbr them the