New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salomon Smith Barney, Inc. v Joseph Ganguzza Attomeys: For Claimant(s): Lorraine M. Ferrigno Esq. - New Ycxk, NY For Respondenl(s>: Joseph Ganguzza - Wayne, NJ Date Filed: 05/i 1/2001 First Scheduled: 11/08/2001 Decided: "/ay/o| Case Summary: Claimant alleges that after responctent put in an order to buy some shares he tried to wittidrew ttie order, but ttie shar

/ y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Novell, Robert Novell and Cecile Novell and McBob's Maintenance Company, Inc. v. T.D. Waterhouse Attorneys: For Claimaiit(5): John G. Richards Esq. - Blue Bell, PA For Respondent(s): Janis Campanella Esq. - Boca Raton, FL Date Filed: 06/18/2001 First Scheduled: 11/07/2001 Decided: 11-23-2001 Case Summary: Rotiert Novell, Cedle Novell and McBob's Ma

) New York Stock Exchange In the Matter of Arbitratioii Between NYSE Case: JarryA GwHUsm, Thiates under WiU of Sliixm Cohen v Charles Schwab & Ga Attorneys: For ClalRWi4ti): Jnrry A. GwMtam O.O.S. - Walnut Creek, CA For RespandsnUS): Unda Drudcar En. • San Frandaco, CA Date Filed: osoroooi Plrat Sohaduled: 07/17/2001 Decided: 7/^y/o/ Case Summary: Customer against member firm far dividend payments. Product: Claim Data

'y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Armand J. Simcxi vs. Olde Discount Corp. and H&R Blcx:k Attomeys: For Claimant(s): Mark E. Sanders Esq. - Milwaukee, Wl For Respondent(s): Lisa S. Fildes Esq. - Deboit Ml Dale Filed: 05/17/2001 First Scheduled: 10/25/2001 Decided: 10/25/2001 Case Summary: OiJ.stomer vs. Member Firm alleging Allure to fbllow instructions to sell stodc Product: EQU Market: O

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Henry W. Wisner and Dr. Unda L. Wisner vs. Edward M. Hkdcey and Merrill Lynch Attorneys: For Clainiant(s): Henry W. Wisner - New Yoric, NY For Respondant(s): Davkl J. Campbell Esq. - Fkxtem Paric, NJ Date Filed: 05/15/2001 First Scheduled: 09/05/2001 Decided: 09/06/2001 Case Summary: Customers vs. Registered Rep and Member Firm alleging misrepresentetions conceming a

• / ; New York stock Exchange NYSE In the Matter of Arbitration Between Case: Giseta H. Martin v. Danny Bolobank: aip,QMt & Rely, Inc Attorneys: FbrCWmMKa): Gisela H Martin - Windsor. CT For Ra«pondiiit(s): Samantha E Kaflbrd Esq - New York. NY Date RIed: 0SM)2caoi Rrst Scheduled: loniAZOOi Decided: 10/11/01 Case Summary: Customer dalmanl aleges folhm to execute bade on intamet because wrongftjly oonsktared a 'conttngant order as oppoead to

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rte Hlsamitsu and Wen-Cheng Chien vs. TD Waterhouse Investor Services Attorneys: For Claimant(s): Rte Hlsamitsu - El Monte, CA For Respondeiil(s): John L. Erikson Esq. - Los /\ngeles, CA Date Filed: 04/24/2001 First Scheduled: 08/15/2001 Decided: O8/15/2001 Case Summary: Customers vs. Member Finn alleging illegal tirading, failure to folkiw bading instructions, unaut

j New York Stock Exchange NYSE In the Matter of Arbitration Between Case: independent Medical Examiners, Inc. and Prestige Mariceting Assodates, Ltd. v Brown Brottiers Harriman & Co. Attomeys: For Claimant(s): Timothy D. Murphy Esq. - Emeryville, CA For Respondent(s): EllkH Cohen Esq. - New Yoric, NY Date Filed: 04/17/2001 First Scheduied: Decided: 09/10/2001 • Case Summary: independent Medical Examiners, Inc. (IME) alleges ttiat on April 6,1999

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charies T. Freeman vs. Morgan Stanley Dean Witter, Stuart Jeffiies Henley and Craig Norton Attorneys: ' For Claiinant(s): Charies T. Freeman - Tampa, FL For Respofideiit(s): Allison Barry Doneghey Esq. - Sarasota, FL Rkdiard Smitti Esq. - New Yoric, NY Date Filed: 04/090001 First Scheduled: 07/16/2001 Decided: 08/30A2001 Case Summary: Customer vs. Member Rnn and

New York Stock Exchange In the Matter of Arbitration Between NYSE ,' Case: Prudential Securities Inccxporated v James C. Unoste Attorneys: For CWmantls): Cardyn Prince Esq. - Washington. DC For RespondenMs): James C. Uriosle - Vtlla Parte. CA Dale Filed: 03/16/2001 First Scheduled: 09/11/2001 Decided: ' i/(i./o/ Case Summary: Member firm alleges that registered representative received a loan and signed a promissory note ttiat upon te