New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Peter Thurman v. Merrill Lynch, Scott Ventoza and Greg Dnjse Attorneys: For Claimant(s): Peter C. Thurman - Bremerton, WA For Respondent(s): Mk:hael E. OIney Esq. - New Yoric, NY Date Filed: 01/28/1999 First Scheduled: 09/15/1999 Decided: 10/6/1999 Case Summary: Claimant, a publto customer, alleges mismanagement of his account with respect toan Investment in shares of America On

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Frank Giampaoto v. Lehman Brothers Inc. Attorneys: For Claiinant(s): Steven B. Caruso Esq. - New Yori(, NY For Respoiideiit(s): William Oishan Esq. - New Yorit, NY Date Filed: 01/27/1999 First Scheduled: 08/18/1999 Decided: 10/27/1999 Case Summary: Cteimant, a former registered representetive, has alleged that he was improperly and unlawfully tenninated. Claimant has also ma

Award NASD in tneTViatter or Tne7\rDirration Between: Names of the Claimants Case Number: 01-03930 Glenora and Francisco Polzin JTTEN Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Deming Zhou REPRESENTATION OF PARTIES For Glenora and Francisco Polzin JTTEN ("Polzins"), hereinafter referred to as "Claimants": Mark F. Raymond, Esq, Tew Cardenas Rebak Kellog Lehman DeMaria Tague Raymond & Levine, L.L.P., Miam

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Financial Northeastern Corporation and Financial Northeastern Securities, Inc. v McOonakI & Company Securities, Inc., David Baitz, George William Wilson and Davk) Wallace Attorneys: For Cialmant(s): Envin J. Shustak Esq. - New Yori(, NY For Respondent(s): Mari( S. Olinsky Esq. - Newarit, NJ Date Filed: 12/12/1997 First Scheduled: os/i 1/1998 Decided: '•• J. ^

New Yorit Stoc|| Exehange In the Matter < !l Arbitration Between Cass; John Mwali and n|if|Kliar PlefGa fMuns infr V. Yelantfe Pylte. lndi»^ Than Attorneys: i For CialiMiMfB): j A^MehaalFMIEt^. For RespondanlM- KoiinalhNunlay GiQ, • WHam 5. SiNvlwidgm. NYSE Dale FUed: 11/11/1997 Pint Scheduled: or/i4/iMB DecWsd: 07/23/1999 C«MSumiiwy:( raapsotia iMcMUianti ial Oaespliwa Tiwto PtscHoaa i dii^f, iMyHQS"" and 1 wwnem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheklon E. Goklstein, P.C. v. Raffael "Ralph* Riverso v. Martin Kaplan, Wayne Grayson Capitel Corp., John Vomero and Gary Curreri Attorneys: For Claimaiit(s): Sheldon Goklstein Esq. - New York, NY For Respondent(s): Joseph J. Ranni Esq. New York, NY For Srd Party: Martin Kaplan & ViQOC Cirino M. Bruno Esq. - New York, NY Date Filed: 11/19/1997 First Scheduled: 06

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barbara Roberteon v Piper Jaffray, Inc., Piper Jaffray & Hopwood, Inc., Piper Capitel Management, Inc., Robert Roddy and Larry Law Attorneys: For Claimant(s): Barry D. Estell Esq. - Mission. KN John 0. Hudson Esq. - Des Moines. IA For Respondent(s): Steven M. Phillips Esq. - Minneapolis, MN Date Filed: 10/17/1997 First Scheduled: 02/16/1999 Decided: 03/01/99 Case

ly New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Karen Fink v Smith Bamey Inc., H.J. Meyers & Co., Inc. and John Ballon Attorneys: For Claimant(s): Steve M. Goklberg Esq. - Los Angeles, CA For Respondent(s): John Ballon - Malibu, CA Haroki J. Meyers - Los Angeles, CA Lauren N. Schwake Esq. - Long Beach, CA Date Filed: 08/15/1997 First Scheduied: io/07/i998 Decided: 04/28/1999 Case Summary: Claimant alleges churn

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Meslrow Financial Inc v. John E. Egan, Tbnolhy Clancy, Robert B. Diamond, CKffoRl A. Popper, James U. Pulver and Alex Slendak attorneys: For Claimant(s): Stephen Bedell, Esq., Chice^go, IIi For Respondant(s): Arthur C. Koski Esq. - Boca Raton, FL Date Filed: 07/02/1997 First Scheduled: 01/08/1998 Decided: 06/08/1999 Case Summary: Claimant aHeges breach of cnntraot by

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Meslrow Finandai Inc. v Claude Ware Attorneys: For Claimants): Stephen P. Bedell Esq. - Chteago, IL For Respondents): Arthur C. Koski Esq. - Boca Raton, FL Date Filed: 07/07/1997 First Scheduled: 11/19/1997 Decided: 08/27/1999 Case Summary: Claimant alleges the respondenthas teiled to honor the tenns of a promissory note. Product: Market: Claim Data C