New York Stock Exchange In the Matter of Arbitration Between !y" NYSE Case: Donna J. jsrael v. Gruntal & Co., inc.. First Albany Corporation, Stuart Coleman & Co., Inc. Kari Sealey, CIHf Steinberg and Ivan Chattt Attorneys: For Claimant(s): Lawrence J. BochatEsq. - Garden City, NY For Respondents): Victor Sicuranza - New Yoric, NY Date Filed: 07/09/1998 First Scheduled: 12/01/1998 Decided: 03/11/1999 Case Summary: Donna J. Israel, a

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Kevin Smyth vs. D.H. Blair & Co., Inc.. Kenton Eric Wood, Kalman Morris Renov, Alan Stabler, Mk:hael Vincent Sicaliano, LaytaPerlysky, Esti Stabler, Ruki Renov, William B. Badinelli, Vito R. Capotorto, Steven A. Sherman, Rivki Rosenwald. Alison Brown, Alflred Palagoniaand Epifanio Almodovar Attorneys: For Claimant(s): Michael P. Gilmore Esq. - Mitchel FieM, NY For Respondent(s):

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gary F. Forte v. Smith Barney Attorneys: For Claimant(s): William A. Jacobson Esq. - Providence, RI For Respondent(s): Marcie S. Mintz - New Yoric, NY Date Filed: 05/24/1999 First Scheduled: 11/I6/1999 Decided: 5-2-2000 Case Summary: Gary Forte was a registered representative of Smith Barney. Mr. Forte's Statement of Claim alleges that Smith Barney terminated

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Deblsle Limited and Waltree Limited vs. ING Barings Furman Selz, ING Barings (U.S.) Securities, ING Barings (U.S.) Capital Corporation Attomeys: For Clalmant(s): Amy W. Schulman Esq. - New Yort(, NY For Respondent(s): David E. Mollon Esq. - New Yorit, NY Date Filed: 05/21/1999 First Scheduled: 10/26/1999 Decided: 3/I6/2000 Case Summary: Claimants allege breach of

New York Stock Exchange In the Matter of Arbitration Between U-^ NYSE Case: Deborah Biegalski v. Prudential Securities, Inc. & Scott Nuttal Attorneys: For Claimant(s): Deborah Biegalski - Ship Botton, NJ For Respondent(s): John C. Cannistracl Esq. - New York, NY Jeffrey B. Kelvin Esq. - Parkland, FL Date Filed: 05/10/1999 First Scheduled: 03/01/2000 Decided: 12/20/2000 Case Summary: Deborah Biegalski was a customer of Prudent

p^ JNew York Stock Exchange NYSE In the Matter of Arbitration Between Case: JosapiiA CastaHanov. MerriB Lynch Pisree Fsnner& SmiUi kicorporatsd /Mlomeys: For Clalmantli): Joiaph A CaaMlano - Springviiis, UT For RMpondmlfs): niichsel E. Okey Eaq. - New York. NY Date Filed: II5/18/1999 First Scheduled: 02n)9/20D0 Decided: 02/10/2000 Case Sumnnry: Customer daimant SUBBM negligence, bnoch of Muclaiy duly, braadi of oontract. and failure to auperatae

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph Gregorace and MaryAnn Gregorace v. PaineWebber and Gus Borrico Attorneys: For Claimant(s): Kim Steven Juhase Esq. - New York, NY For Respondent(s): Andrew J. Melnick Esq. - Weehawken, NJ Date Filed: 05/17/1999 First Scheduled: 11/10/1999 Decided: 08/16/2000 Case Summary: Claimants, public customers, allege breach of contract, fraud, negligence, misrepresenteti

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lllla Rodriguez v. Prudential Securities Inc. and Fernando Leyva Attorneys: For Claimant(s): John C. Adams Esq. - Coral Gables, FL For Respondents): Steven L. Raimer Esq. - New York, NY Date Filed: 04/23/1999 First Scheduled: 01/11/2000 Decided: 01/13/2000 Case Summary: Customer claimant alleges unsuitable and unauthorized trading, mismanagement, churning, taxes incu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank Investments, Inc. f/k/a Frank Theatres, Inc. vs. Prudential Securities. Inc. Attorneys: For Claimantls): Jeffrey B. Kaplan Esq. - Miami, FL For Respondflnt(s): Alan S. Brodherson Esq. - New York. NY Date Filed: 03/26/1999 First Scheduled: 10/05/1999 Decided: 04/13/2000 Case Summary: Customer vs. Member Firm alleging breach of fiduciary duty, negligence, fraud,

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barry F. Willman V Gerard Klauer & Mattison & Co., Inc. Attorneys: For ClaimantCs): Michael I. Allen Esq. - New York, NY For Respondentis): Peter A. Walker Esq. - New York, NY Date Filed: 02/19/1999 First Scheduled: 09/08/1999 Decided: Case Summary: Claimant, a former employee, has alleged that respondentbreached their agreementby failing to pay him his bonus a