New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Robert Solberg and Kathleen Solberg vs. Merrill Lynch and Betty CIng-Mars Attorneys: For Claimant(s): Robert Solberg - Plalnwell, Ml For Respondent(s): DImltrl Nemirovsky Esq. - New York, NY Date Filed: 07/09/2002 First Scheduled: Decided: 01/09/2003 Case Summary: Claimants, a pubilc customer, alleges failure to disclose. Product: EQU IVIarket: Ciaim Data

^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Peter and Katharine Greenberg v Lehman Brothers Inc. and Edward Turley Docket Number: 2002-010498 Attorneys: For Gaimaiit(s): Leonard Steiner - Beverly Hills, CA For Respondent(s): Stephen Young - Long Beach, CA Scott Hinsche - Long Beach, CA Date Filed: 1118/2002 First Scheduled: 10/04/2004 Decided: 6/14/2005 Case Summary: Customers allege a failure to follow i

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Caa?: Harow JacebMn w. MCTDW 9iwil«y OBBD Wlw Attorneys; F«r Clalmanlfi): Hareld .iMobaon - D«iia». TX For Rwpandmltq: Bfenund J, Shaa Esq. • Nmr York, NY Date Filed: 07/i2fi002 First Scheduled: 12/11/2002 Dedded: 12/23/2002 Cese Summary: Claimant, a pubKe eusiomv, aHages uraulabillV >M>th .•espeei ts tha purchaaa af shares In VVWama Confiovnicuians and Global

New York Stock Exchange Ln the Matter of Arbitration Between NYSE Case: Nonna Jackson vs. UBS PaineWebber Attorneys: For Clalmant(s): Norma Jackson - Brooklyn, NY For Respondent(s): Vincent J. Ollva Esq. - Weehawken, NJ Date Filed: 07/10/2002 First Scheduled: 03/03/2003 Decided: Case Summary: Customer vs. Member Finn alleging unauthorized sales and fraud. Claimant also alleges foilure to give her a 2 for 1 stock split in her account.

'ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joanna L. Pfeister vs. Charles Schwab & Co., Inc. and Eli Pao Attorneys: For Clalmant(s): Joanna L. Pfeister - Carmel, CA For Respondent(s): Richard A. Karoly Esq. - San Francisco, CA Date Filed: O6/21/2002 Case Summary: Claimant, First Scheduled: 04/09/2003 Decided: 04/28/2003 a customer, has alleged that respondent disclosed personal financial information wihto

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03881 Vernon Robert Grundstrom, Claimant/Counterclaim Respondent vs. Patagon.com Securities Corp. and Anthony F. Napolitano, Respondents/Counterclaim Claimants. ATTORNEYS: Claimant, Vernon Robert Grundstrom, appeared Pro Se, Agoura Hills, California. For Respondents, Patagon.com Securities Corp. and Anthony F. Napolitano, appeared Frank C. Welzer, Esq., of the firm Dreier & Baritz, LLP

w York Stock Exchange In the Matter of Arbitration Between ^ ' NYSE Case: Diane K. Lampack having General Durable Power of Attorney for the Lillian Kaplan Living Trust and Lillian Kaplan vs. Ken Chapin and Salomon Smith Bamey Attorneys: For Claimant(s): Brian Guillom Esq. - New York, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 07/01/2002 First Scheduled: 11/07/2002 Decided: 02/07/2003 Case Summary: Custome

New York Stock Exchange n the Matter of Arbitration Between ly' NYSE Case: Lance S. Gad vs. Edward Jones Attorneys: For Claimant(s): Lance 8. Gad - Fairfield, CT For Respondent(s): Lisa A. Nielsen Esq. - St. Louis, MO Date Filed: O6/O6/2002 First Scheduled: 11/O6/2002 Decided: 04/02/2003 Case Summary: Customer vs. Member Firm alleging breach of contract and failure to purchase 26,200 shares of Jefferson Federal Savings & Loan Ass

/ New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Elaine Herrmann v Morgan Stanley Attorneys: For Claimant(5): Elaine Hemnann - Monterey, CA For Respondent(s): Keith Guilfoyle Esq. - New Yorl< , NY Date Filed: 05/15/2002 Case Summary: Claimant, a customer, First Scheduled: has alleged that securities were Product: wrongfully sold from i. Decided: 11/06/2002 ) reguiar account instad

y Sew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Laurice Martin, Jr. and Margaret Martin v Morgan Stenley Dean Witter and Audray Lohn Attomeys: For Claimant(s): William J. Gladden Esq. - Savannah, GA For Respondent(s): Christine A. Kendrick Esq. - San Francisco, CA Date Filed: 05/15/2002 Case Summary: mentioned. Claimante, customers, First Scheduled: 12/11/2002 Decided: have alleged unsuiteble purchas