Hew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Marco J. Gianotti v. HJS. Edwards A Sons, Inc and Carote GHItem Attorneys: For ClaiMMil(s): Kevin Thomas Hoffrnan Esq. - Greenwtoh, CT For R«spandMit(s): Michael Naccarato Esq. - St Loute, MO Date Filed: 09/27/2000 First Scheduled: 05/01/2001 DecWed: 05/02/2001 Case Summary: Customer claimant alleges mismanagemenr, unsuiteble trading, unauttiorized trading, chuming,

Ybrk Stock Exchange Vf ktter of Arbitration Between NYSE Lori 3. Firank vs. Jon D. Vljungco and Josephttial A Ca, Inc. !• tomeys: Imai [ vkl E. Ra iblnfc Esq. - New Yoric. NY Claimai it(s): r Raapor denUs): J. NeK He ^ . - New York, NY Ite Filed: 09i^/2oao Rrst. Scheduled: 02/07/2001 Decided: 04/19/2001 C ise Sununary; u Hithorizec c Ite, , punittia : Customer vs. Member Firm and RegtotoiBd Rap aflaglng fe

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert V. CatakU v Salomon Smitti Bamey, Inc. and Christopher Kowiteki Attorneys: For Claimant(s): Richard H. Sarajian Esq. - New City, NY For Respondent(s): Sean J. Coughlin Esq. - New Yori< , NY Christopher Kowiteki - Matawan, NJ Date Filed: 09^8/2000 First Scheduled: 02/15/2001 Decided: O6/26/2001 Case Summary: Customer v Member Firm and Regtetered Repres

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charies Schwab & Co. v Tommy S. Sun Attorneys: For Claiinant(s): Brandon K. Hemley Esq. - San Frandsco, CA For Re5pondefit(s): Tommy S. Sun - San Frandsco, CA Date Filed: 08/30/2000 First Scheduled: 07/17/2001 Decided: 07/31/2001 Case Summary: Claimant, a member finn, has alleged ttiat respondent owes money on a debit balance as a result of an insuffident frjnds chec

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ellen K. Folks, Individually and as custodian frir William S. Folks and Lauren C. Fdks; and William S. Folks v A.G. Edwards & Sons, Inc., individually and as custodian fbr Ellen K. Fdks, and Bryce Weldon Smitti Attorneys: For Clalmant(s): David S. Rubin Esq. - Baton Rouge, LA For Respondent(s): M. Jane Matoesian Esq. - St. Louis, MO Date Filed: 08/15/2000 First Scheduied

•New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Peter Rot)erts Coffin v. Morgan Stanley Dean Witter, PNIlip Purcell, Bill Callahan & Rot>ert Dressier Attorneys: For Claiinant(s): Peter Roberts Coffin - Washington, DC For Respondant(s): Paul G. Thomas Esq. - New York, NY Date Filed: 08/18/2000 First Scheduled: 12/01/2000 Decide± 5/7/2001 Case Summary: Peter Rot)erts Coffin alleges he placed an order to seH shares of Digit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03917 John A. Geiger, Jr., Esq., claimant vs. Prudential Securities, Inc., and Norm Crisostomo, respondents. ATTORNEYS: Claimant appeared pro se, Mission Viejo, CA. For Respondents appeared Marci Gold, Esq., in-house counsel, New York, NY. DATE FILED: July 24, 2001 CASE SUMMARY: Claimant alleged that respondents made trades in his accounts without his knowledge or authorization

New York Stock Exchange jIn the Matter of Arbitration Between NYSE Case: Wynelle N. Hare as Tmstee fbr ttie Wynelle N. Hare Rev. Lvg. Tr. Dtd. 5/7/90 and Maria Carmen Poto as Trustee for tie Maria Carmen Poto Rev. Lvg. Tr. Dtd 5/7/90 v. Gmntal & Co., LLC Attorneys: For Claimantls): Lonnie K. Martens Esq. - West Palm Beach. FL For Respondent(s): Kattierine B. Harrison Esq. - New York, NY Date Filed: 08/11/2000 First Scheduled: 05/09/2001

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Chan Duong v TD Waterhouse Attomeys: For Claimant(s): Chan Duong - Silver Spring, MD For Respondent(s): Margaret Mandakis Esq. - Philadelphia, PA Date Filed: 08/07/2000 First Scheduled: 01/26/2001 Decided: 05/24/2001 Case Summary: Claimant, a public customer, alleges respondent a member firni, engaged in unauttiorized trading and an unauthorized withdrawal of cas

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bruce Gimeteon v. Waterhouse Securities, Inc. Attorneys: For Claimant(s): Steven B. Caruso Esq. - New Yori(, NY For Re5pondent(s): Liam O'Brien Esq. - New Yoik, NY Date Filed: O8/O8/2000 First Scheduled: 03/14/2001 Decided: March 26, 2001 Case Summary: Bruce GImelson had a margin account witti Watertiouse Securities. The Stetement of Claim alleges ttiat Waterhous