/ I< ifew York Stock Exchange Iil the Matter of Arbitntioii Between m^ Case: ASce B. May and Bamaid Barr v. PMaRy invMlimnt Aijtomeys; FehrCtabnanlta): Aloo a May - Boynton Beadi, FL For Raspondwntts): CslHwn A Hankins bq. - Boaian, MA Date Filed; maonsn Rret Scheduled: yomsnaaa Oed( led; 10/1)5/1999 Cese Summary: Cuatoinar etalnwnts aHaga faHura lo omeulo efedmnio ordom proporly Ibr puichuo of snhwa Hi Ini L ^ Product EQU

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; David Seldes, indivklually and as Trustee for the Irving Seldes Revocabte Living Tmst v First of Michigan Corporation, now known as Fahnestock 81 Co., Inc. and Haroki D. Zucca Attorneys; For Claimant(s): RobertA. Uhl Esq. - Beveriy Hills, CA For Respondents): Davkl Romanski Esq. - San Frandsco, CA Eric Shames Esq. - New Yoric, NY Cameron Stout Esq. - San Francisco, CA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Steven R. Conn & Boots Garrett and 01-03952 Denver, Colorado Names of Respondents Morgan Stanley Dean Witter Vafa Sohi REPRESENTATION OF PARTIES Steven R. Conn & Boots Garrett ("Claimants") were represented by Steve A. Miller, Esq., of Steve A. Miller P.C., Denver, Colorado. Morgan Stanley Dean Witter ("MSDW") and Vafa Sohi ("Sohi") were represe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mehdl Govari vs. Dean Witter, Inc. (Morgan Stenley) Attorneys: For Claimant(s): Mehdl Govari - San Diego, CA For Re5pond8nt(s): Janet T. Epstein Esq. - San Francisco, CA Date Filed: 12/10/1999 Case Summary: Customervs. First Scheduled: 12/12/2000 Decided: 01/10/2001 Member Firm alleging excessive commission charges, fraud and unsuiteble options transa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Margaret A. Bongiorno vs. Salomon Smith Barney and Ira J. Banschick Attorneys; For Clalmant(s): David E. Robbins Esq. - New York, NY For Respondent(s): Brian F. Amery Esq. - Florham Park, NJ Jeffrey L. Friedman Esq. - New York, NY Donald A. Pitofsky Esq. - New York, NY Date Filed: 11/16/1999 First Scheduled; 04/i8/2000 Decided; 01/31/2001 Case Summary; Custom

1/ New York Stock Exchange In the Matter of Arbitration Between NYSE -Case: PiiBiip smusmiii an behair oTJanu. SA, oppummtypaiBiers, L.Fr,-caiapaBas inveswienrpannBrsrfltrarKJ Juay Gomvav^ mMsrsssar- & Co., Inc. and National Finandai Senrices Corp. vs. SiG. Cowen Securities Corp. vs. J.C. Bradford and Co. vs. First Options of Chicago, toa vs. Rrst Options of CNcago, Inc. Attomeys: For Claimant(s): PhilKp Gokteteto - Pteasanhnlte, NY For Responde

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Robert McMaster vs. Salomon Smito Bamey vs. Robert McMaster Attorneys: For Claimant(s): Gerard J. Cipriani Esq. - Pittsburgh, PA For Respondent(s): Foster S. Goldman Esq. - Pittsburgh, PA Marcie S. Mintz Esq. - New Yoric, NY Date Filed: 11/01/1999 First Scheduled: 10/2SQ000 Decided: 0^/22/21 !001 Case Summary: Registered Rep vs. Member Firm (former empt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pmdential Securities, Inc. vs. Robert Joseph Beasley Attorneys: For Claimant(s): Steven P. Gomberg Esq. - Chicago, IL For Respondent(s): Andre R. Perron Esq. - Bradenton, FL Date Filed: 10A)6/1999 First Scheduled: 02/01/2000 Decided: 04/24/2001 Case Summary: Member Firm vs. Registered Rep (former emptoyee) seeking to recover amounte allegedly due under toe terms of a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George Gllberl vs. Gilder Gagnon Howe & Co., Inc. and Neil J. Gagnon Attorneys: For Clalmant(s): Frank H. Wright Esq. - New Yori< , NY For Respondent(s): Thomas Skelton Esq. - White Pteins, NY Martin P. Unger Esq. - New Yorit, NY Date Filed; 09/29/1999 First Scheduled: 02/O8/2000 Decided: 01/31/2001 Case Summary: Customer vs. Member Firm and Registered Rep allegin

New York Stock Exchange In the Matter of Arbitration Between Date Filed: 09/03/1999 First Scheduled: 10/27/1999 Decided: y NYSE Case: Bmce Green and Stella Green v. Merrill Lynch Fenner & Smitti Inc. and MerriU Lynch & Company Inc. Attomeys: For Claimant(s): Michael A. Hanzman Esq. - Miami, FL For Respondent(s): Fran Chlapowski Esq. - New Yoric, NY fi-i5-?nm Case Summary: Bmce Green and Stella Green (Claimante) allege toat Menill