New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bobby A. Hunton 8i Dtene M. Hunton v. Morgan Iteegan Attorneys: For Ciaimant(s): Bobby /V Hunton - Bowling Green, KY For Respondent's): James Ritt Esq. - Memphis, TN Date Filed: 04/29/1999 First Scheduled: 08/05/1999 Decided: 9-2-1999 Case Summary: PubltocustomersaltegettiatttieaccountexecutivemadeanunauttiorizedsateofTransFinancialBankCorp.stock. The custome

/ y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Norman Ihrig v. PaineWebber Inc. Attorneys: For Claimant(s): Norman Ihrig - Seven Lakes, NC For Respondents): Sandra D. GrannumEsq. - Weehawken,NJ Date Filed: 04/30/1999 First Scheduled: 07/16/1999 Decided: 9-21-1999 Case Summary; Norman ihrig, a customer, alleges that his account executive urged him to purchase shares of Capstead Mortgage. Mr. Ihrig

New York Stock Exchange NYSE In the Matter of Arbitration Between Case; John N. Hansen, Jr. vs. Everen Securities, inc. Attomeys: For Claimant(s): Clark G. Leslte Esq. - San Mateo, CA For Respondent(s): Bmce Lewltes Esq. - Chicago, IL Date Filed; 04/27/1999 First Scheduled: 10/13/1999 Decided: 12/02/1999 Case Summary: Customer vs. Member Firm alteging breach of duties and responsibilites, chuming and feilure to disdose information concerning Res

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities Inc. v. Don Berry Moody Attorneys: For Claimant(s): John C. Cannistracl Esq. - New Yorit, NY For Respondent(s): Don Berry Moody - Atlanta, GA Date Filed: 04/28/1999 First Scheduled: io/06/i999 Decided: :L/ 9/t:> / Case Summary: Claimant, a member firm, alleges respondent, a registered representative and fomier employee, breache

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dane Bjelopetrovich v Waterhouse Securities, Inc. Attorneys: For Ciaimant(s): Reuben A. Bemick Esq. - Chicago, IL For Respondent(s): Janis Campanella Esq. - New Yorit, NY Date Filed: 04/i6/i999 First Scheduled: 06/03/1999 Decided: y ^'ll'i'l Case Summary: Customer against respondentfor reinstetement of trades and credit for $7,609 gain on trades. Product: OPT

New York Stock Exchange In the Matter of Arbitration Between Case; Dennis A. Rudge v Merrill Lynch Pierce Fenner 81 Smith New York. NY 10005 Tel 2126565608 fax 212 6562727 Robert S. Clemente Director j ^ Y g g Arbitration W^^ New York Attorneys: For Ciaimant(s): Dennis A. Rudge - Shennan Oaks, CA For Respondents): Peter Bon Viso Esq. - New Yorit, NY Stock Exchange, inc. Date Filed; 04/27/1999 F

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Milton Jansky v Steward Oppenheimer, John Hedwig and Principal Securities Attorneys: For Claimants): James E. Beckley Esq. - Wheaton,IL For RespondenKs): Ted Hannon Esq. - Chtoago, IL \3.fh1 Date Filed: 02/11/1998 First Scheduled: 10/20/1999 Decided: (O Case Summary: Customer against member fimi for failure to foHow investment objectives and purchasing of sto

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fiserv Securities, Inc., (Claimant) vs. Citicorp Investment Services and Citicorp Private Investment Banking Division, (Respondents) Case Number: 01-03942 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fiserv Securities, Inc., hereinafter referred to as "Claimant": Michael K. Coran, Esq., Klehr, Harrison, Harvey, Branzburg & Ellers LLP, Philadelphia, PA. Re

New York Stock Exchange In the Matter of Arbitration Between Cy- NYSE Case: Conrad Bringsjord v Salomon Smith Bamey, Inc. Attorneys: For Claimant(s): Robert N. Chan Esq. - New Yori(, NY For Respondents): Jill L. Rosenberg Esq. - New York, NY Elten Slipp Esq. - New Yori< , NY Date Filed: 04/22/1999 First Scheduled: 10/18/1999 Decided: 02/16/2001 Case Summary: Claimant, a fomier employee, alleges that he was constructively discharge

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Wegnerv. Laurence Margolis and Bear Steams & Company Inc. Attorneys: For Claimant(s): Pamela Claris Esq. - Houston, TX Jeffrey R. Parsons Esq. - Houston, TX For Respondent(s): John C. Allen Esq. - Houston, TX Date Filed: 04/21/1999 First Scheduled: 09/28/1999 Decided: 11/04/1999 Case Summary: Claimant, a publk: customer, alteges unauthorized trading with re