New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Michael Elgartan and Maanavi, Dariush v. UBS Securtties, Inc. Attorneys: For Claimant(s): Davkl B. Wechsler Esq. - New York, NY For Respondent(s): Sharon Parelia Esq. - New Yoric, NY Date Filed: 07/21/1998 First Scheduled: 03/23/1999 Oecided: 05/07/1999 Case Summary: Claimants, registered representatives and fonner employees, allege breach of contract, construc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lowell Michalove, individually, and as general partner for Three-M, LLC v. J. C. Bradford 8i Co. 8i Mark Livingston Frazier Attorneys: For Clalmant(s): Nicholas D. Thomas Esq. - Raleigh, NC For Respondent(s): Linda Gibbons Willis - Nashville, TN Date Filed: 07/29/1998 First Scheduled: 02/09/1999 Decided: March 1, 1999 Case Summary: Lowell Michalove and Three-M, public cu

New York Stock Exchange In the Matter of Arbitration Between I/* NYSE Case: The Estate of Jack Rosenbaum, Gene Rosenbaum, Kennetti and Elenore Maxine Stokes, The Exchange Club of St. Petersburg and Invin and Ellen Weiss vs. A.G. Edwards & Sons, Inc. Attorneys: For Claimant(s): Scott J. Link Esq. - West Pabn Beach, FL For Respondent(s): Jeff Jamieson Esq. - SL Louis, MO Date Filed: 07/09/1998 First Scheduled: Ii/i2/i998 Oecided: 05/06

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilberto Gomez, (Claimant) vs. Invest Financial Corporation, Jackson National Life of New York a/k/a Jackson National Life Insurance Company of New York a/k/a Jackson National Life Distributors, and Leonard Simmons, (Respondents) Case Number: 01-03969 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gilberto Gomez, hereinafter referred to as "Claimant": Ralph A.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gary Endres vs. Smtth Bamey, Inc. and Does 1-20 Attorneys: For Claimant(s): Alexandra M. Kwoka Esq. - San Diego, CA For Respondent(s): Marcie S. Mintz Esq. - New Yoric, NY Jeffrey D. Wohl Esq. - San Francisco, CA Date Filed: 07/01/1998 First Scheduled: 0i/25/i99< ) Decided: 07/14/1999 Case Summary: Registered Rep vs. Member Finn and Emptoyees alleging breach of em

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Marilyn P. Miller v Tradex Brokerage Service and Heriiert Frumkes Attorneys: For Claimant(s): Robert Layton Esq. • New Yoric, NY For Respondent(5): Alexander D. Wkldell Esq. - New Yoric, NY Date Filed: 06/18/1998 First Scheduled: 11/19/1998 Decided: 12/21,/98 Case Summary: Claimant, wife of a deceased partner of the respondent, has alleged that respondents converted her shares i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence Halpern, James J. Lyons and Patricia J. McCall v. ING Baring (U.S.) Securities Inc. Attorneys: For Claimant(s): Jeffrey L. Lkldle Esq. - New Yoric, NY For Respondent(s): James M. Beach Esq. - New York, NY DateFiled: 06/10/1998 First Scheduled: 0i/26/i998 Decided: 11/11/1999 Case Summary: Claimants, registered representatives and fbrmer employees, allege resp

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Ronald Cosidente v Bernard Storch and Herzog, Heine, Geduld, Inc. Attorneys: For Claimant(s): Ronakl Cosklente - Brooklyn, NY For Respondent(s): Charies Christofilis Esq. - Jersey Ctty, NJ "/^7/f1 Date Filed: 06/09/1998 First Scheduled: 04/06/1999 Decided: Case Summary: Customer against former registered representative and member fimn for failure to timely

//' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CIBC OppenhelmerCorp. vs. John C. Guys Attomeys: For Claimant(s): Russell S. Katz Esq. - New York, NY For Respondent(s): John C. Guys - Greenwich, CT Date Filed: 06/09/1998 First Scheduled: 09/25/1998 Decided: 03/16/1999 Case Summary: Member Finn vs. Customer alleging Respondentblled to pay for an order to purchase 5,000 shares of Friedman Billings Ramsey

i^tfw York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v Sullivan Asset Management, Inc. and Robert M. Kelly Attorneys: For Claimant(s): David Libowsky Esq. - Florham Park, NJ For Respondents): - Red Bank, NJ RobertM. Kelly-Wall, NJ Date Filed: 06/02/1998 First Scheduled: 11/12/1998 Decided: c 1/05/1999 Case Summary: Member firm against customers for debtt balance in the account.