New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Joseph O'Brien & J. Spencer Whitman v. Sakxnon Smith Bamey, Inc. Attomeys: For Clalniant(s): James P. McLoughlin, Jr. Esq. - Chariotte, NC For Respondent(s): G. Wayne Hillis Esq. - Atianta, GA Date Filed: 05/28/1999 First Scheduled: 12/07/1999 Decided: 8/24/2001 Case Summary: John J. O'Brien and J. Spencer Whitman (Claimante) were regtetered representatives

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rk:hard Wigter v Prudential Securlttes Inc. Attorneys: For Claimants): Richard Wigter - New York, NY For Respondent(s): Theodore M. Davis Esq. - New York, NY Date Filed; 05/28/1999 First Scheduled: 08/10/1999 Decided: 08/10/1999 Case Summary: Product: BONDS IVIarket: Claim Data Claim; $2,062.68 Punitive: $0.00 Atty Fees: $0.00 Deposit: $25

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: PradanM Sacuriiles incorpomtedv. DavU SchnRzcr Attorneys: For ClaimanKs): Stevan P. Gomberg Esq. • Chicago, IL For ito«pandant(i): Arthur C. Kosid Esq. - Boca Raion. FL Date RIed: 0W07/1999 Rret Scheduled: lonsngae Decided: 03/08/2001 Case SuminaryzMambarllnndalniantalegaabmachofEniploymoirtAaraamantandnaniMymantofPromlaBafyNolB. Product PROMISSORY NOTE MaKwt: dahn Daita

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Louis Notette vs. A.G. Edwards & Sons, Inc. Attomeys: For Clalmant(s): Philip J. SnydertJumEsq. - Winter Partt, FL For l%eapondent(a): Jeff Jamieson Esq. - St. Louis, MO Date Filed: 0S/19/1999 First Scheduled: 09/15/1999 Decided: 12/16/1999 Case Summary: Customervs. Member Firm altegteg unsuitabte, specutetive day trading of options, chuming, fiaudulentinducame

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securlttes Inc v. Chartes W. Knowlton, Jr. Attorneys: For Claimant(s): David I. Futter - New Yorit, NY For RespondenKs): Allan R. Holmes Esq. - Charleston, SC Date Filed: 05/19/1999 First Scheduled: 09/15/1999 Decided: ///:?'/"^ Case Summary; Prudential Securities alleges that Charies W. Knowlton, Jr, a former stockbroker with the fimn, felled to

(y^ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Alfonse J. Nlgro and Marie Nigro vs. Fleet Securities Attorneys: For Ciaimant(s): Alfonse J. Nigro - Basking Ridge, NJ For Respondent(s): Charles Stegel Esq. - New York, NY Date Filed: 05/14/1999 First Scheduled; 08/31/1999 Decided: 08/31/1999 Case Summary; Customers vs. Member Finn alteging enors in handling their account, telse and misleading stetemente by employees of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kashif Jones, Claimant v. Salomon Smith Barney, Inc. and Roger Smith, Respondents Salomon Smith Barney, Inc., Third-Party Claimant v. Kevin Harewood, Third-Party Respondent Case Number: 01-03945 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Michael Kashif Jones: Carl E. Douglas, Esq. Law Offices of Carl E. Douglas Beverly Hills, California

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Aaron James Zeper vs. WaH Street Access Attorneys: For Claimant(s): Aaron J. Zeper - Mesa, AZ For Respondent(s): Joseph A. Mendote Esq. - New Yorit, NY Date Filed: 05A)7/1999 First Scheduled: 08/11/1999 Decided: 08/11/1999 Case Summary: Customer vs. Member Firm alleging inappropriate handling of a transaction by issuing a margin call and Ikiukiating Claimant's

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Phelps vs. Guil Nergard and Salomon Smith Bamey Attorneys: For Ciaimant(s): Robert Phelps - Phoenix, AZ For Respondents): Ann Pany Esq. - New Yorit, NY Date Filed: 05/03/1999 First Scheduled: 08/11/1999 Decided: og/02/1999 Case Summary; Customer vs. Member Finn and Registered Rep alleging negligence and imcompetence in ttie handling of Cteimant's account and f

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Mesrak J. Teshome v Jay Brown, Mark Morgan and Merrill Lynch, Pterce, Fenner & Smitti, Inc. Attomeys: For Claimant(s): Mesrak Teshome, Ph. D. - Fulterton, CA For ftespondent(s): Michael G. Constentine Esq. - New Yorit, NY Date Filed: 05/05/1999 First Scheduled: 06/10/1999 Decided: 7l^y/n Case Summary: Customer against member fimn and registered representeti