New Yoric Stock Exchange In the Matter of Arbitration Between NYSE ;ase: Alvin 6. Wiieelerand Jacquelyn T. Wheeler v. PaineWebberlncorporated Attorneys: For Clainiantt^: Christopher M. David Esq. - Miami, FL For Respondenlts): Patricia E. Cowart Esq. - Ft Lauderdale, FL Date Filed: 07/20/1999 First Scheduled. 04/12/2000 Decided: 05/10/2000 Case Summary: Customer daimant aHeges unauthorizedtrading, unsuitable trading, breach of fUudary du

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salomon Smith Barney, Inc. vs. Martin S. Alper Attorneys: For Claimant(s): MKhelle Hibbert Esq. - Phoenix. AZ For Respondent(s): Martin S. Alper - Phoenix, AZ Date Filed: 07/06/1999 First Scheduled: 01/05/2000 Decided: 03/07/2000 Case Summary: Member Firm vs. Customer alleging Respondentfailed to pay margin calls on his commodities account resulting Hi the liquid

New York Stock Exchange 1 the Matter of Arbitration Between NYSE Case: Nicholas Mastrangeto v. Tucker Anthony, Inc. and Peter Lynch Attorneys: For Clainiant(s): Tl-iomas J. Daly Esq. - North Haven, CT For Respondent(s): Kevin T. Hoffman Esq. - Greenwich, CT Date Filed: 07/08/1999 First Scheduled: 02/03/2000 Decided: 05/01/2000 Case Summary: Customer claimant alleges unauthorized trading, violatnn of NYSE and NASO Rules, failure to superv

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: John Schloss v. Gruntal & Co. & Michael Gart)er Attorneys: For Claimant(s): Envin Cohn Esq. - Chicago, IL For Respondent(s): Matthew Fartey Esq. - New York, NY Frank H. Wright Esq. - New York, NY Date Filed: 07/08/1999 First Scheduled: 01/19/2000 Decided: 11-22-2000 Case Summary: John Schloss was a customer of Gruntal & Co. and its broker Michael Garber

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerry J. Goodmark, Trustee, Jeny J. Goodmark Revocable Tmst v. Morgan Stanley Oean Witter Inc. Attorneys: For Claimant(s): John C. Kelly Esq. - West Palm Beach, FL For Re5pondent(s): Bradford O. Kaufrnan Esq. - West Palm Beach, FL Date Filed: 07/02/1990 First Scheduled: 03/09/2000 Decided: 4/11/2000 Case Summary: Customer claimant alleges unauthorized sale of McDonal

ANew York Stock Exchange NYSE In the Matter of Arbitration Between Case: James A. Groom v. Watertiouse Securities, Jim Bartier, Rick Roberts, Bigal Patei Attomeys: For Claimant(s): James A. Groom - Winchester, VA For Respondent(s): MargaretManolakis Esq. - Philadelphia, PA Date Filed: 07/01/1999 First Scheduled: 12/09/1999 Decided: 12/09/1999 Case Summary: Customer claimant alleges :wron9ful/sale of sftcurities purchased "on-line" due to the man

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dolores Shira, Claimant v. M.L. Stern & Co., LLC and Michael S. Rosenmayer, Respondents Case Number: 01-04005 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Raymond R. Prazen, Esq. Investors Arbitration Specialists, Inc. San Diego, California For Respondents: James R, Ballard, Esq. Kennerson, Schwartz, Semerdjian & Haile, LLP San Diego, C

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: JohnT. Ladnerv. DLJ Direct Attorneys: For Claimant(s): David W. Pace Esq. - Houston, TX For Respondent(s): Davkl J. Campbell Esq. - Jersey City, NJ Date Filed: 06/29/1999 First Scheduled: 11/16/1999 Decided: 11/16/1999 Case Summary: Claimant, a public customer alleges unauthorized trading, breach of fiduciary duty and breach of contract against Respondent.

\y y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Margie F. Cox v. Edward Jones & Company, L.P. Attorneys: For Claimant(s): William A. Short Jr. - Houston, TX For Respon< tent(s): Lin Hughes Esq. - Austin, TX Date Filed: 06/23/1999 First Scheduled: 12/15/1999 Decided: January 11, 2000 Case Summary: Claimant, a public customer, alleges misrepresentation, breach of express and implied warranty and unauthor

New York Stock Exchange f n the Matter of Arbitration Between NYSE Case: Thomas Cannata vs. Prudential Securities, Inc. and Peter K. Barrett Attorneys: For Claimant(s): Stephen J. Bury Esq. - New York, NY James V. Gargan Esq. - New Yoric, NY For Respondent(s): Robert Boraks Esq. - Washington, DC Frank M. Weber SVP - New York, NY Date Filed: 06/23/1999 First Scheduled: 11/10/1999 Decided: 03/09/2000 Case Summary: Customervs. Membe