ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Rosenbloom v. Andrew L. Fishman and Merrill Lynch Attorneys: For Claimant(s): David Rosenbloom - Boca Raton, FL For Respondent(s): Richard Kim Esq. - New York, NY Date Filed: 05/15/2002 First Scheduled: 12/10/02 Case Summary: Customer claimant alleges unsuiteble use of margin and over- concenfration, investment in "ein elan Corp." Product: EQU- Decid

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Equity Properties Corporation vs. Merrill Lynch and Pafrick Donohue Attorneys: For Cteimant(s): Melvin C. Levine Esq. - New Yorit, NY For Respondent(s): Daniel E. Glatter Esq. - New Yori^, NY Date Filed: 05/21/2002 Case Summary: Customer vs. First Scheduled: 11/26/2002 Oecided: 01/23/2003 Member Firm and Registered Rep alleging teilure to follow insbuctions to se

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. v Shane Mahieu v Willtem Bobo and Derek Bell Attorneys: For Ciaimant(s): Arttiur G. Baumgarbier Esq. - New Yoric, NY For Re5pondent(s): Richard L. Burstein Esq. - Albany, NY Date Filed: 05/10/2002 First Scheduled: 01/09/2003 Decided: 02/20/2003 Case Summary: ClaimanL a member firm, alleges breach of confract with respect to the balance due

New York Stock Exchange In the Matter of Arbitration Between ly" NYSE Case: Scott Jansen, Gregory Jansen, and Tony Jansen v. Salonxxi Smith Barney, Inc. and Arlene K. Scozzaro Attorneys: For Ciaimant(s): Michael Rubin Esq. - West Orange, NJ For Respondent(s): Brian F. McDonough Esq. - New Yori< , NY Date Filed: 04/29/2002 First Scheduled: 12/04/2002 Case Summary: Claimant, a public customer, alleges breach of confract, and negligence. Pro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03878 GKN Securities Corp., Claimant vs. Eric McDonnell, Respondent. ATTORNEYS: For Claimant, GKN Securities Corp., appeared Michael Colombo of Street Wide Asset Recovery Group, Inc. New York, NY. Respondent, Eric McDonnell appeared Pro Se., Boca Raton, FL. DATE FILED: July 23, 2001 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agreement and failed t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01265 James Wingard, claimant vs. Darlene Wright and Erica Lynn Wolf, respondents. ATTORNEYS: Claimant, James Wingard, ("Claimant"), appeared Pro Se. s Tacoma, WA. Respondents, Darlene Wright and Erica Lynn Wolf, ("Respondents"), appeared through David D. Freeman, Vice President, of the firm Freeman Welwood & Co. Inc. Seattle, WA. DATE FILED: March 23, 2000 CASE SUMMARY: Cl

, Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur S. Leider, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-00131 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider In Pro Per San Diego, California For Respondent: Paul S. Chan Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed: January 10,

2w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vern C. & Marie C. Smitti Trust, Vem C. Smith and Marie C. Smith, Trustees vs. Morgan Stenley Attorneys: For Claimant(5): Vernon C. Smitti - Sun City West, AZ For Respondent(s): Christine A. Kendrick Esq. - San Francisco, CA Date Filed: 05/02/2002 First Scheduled: 03/18/2003 Decided: 03/18/2003 Case Summary: Customer vs. Member Firm alleging his broiler gave unfounded

y y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joseph F. Connolly v Menill Lynch, Pierce, Fenner & Smitti, Inc. Attorneys: For Claimant(s): Joseph F. Connolly - Bettiel, CT For Respondent(s): Daren A. Luma Esq. - New Yori< , NY Date Filed: 04/29/2002 First Scheduled: 09/10/2002 Decided: IQ/I8/2002 Case Summary: ClaimanL a public customer, alleges Respondent, a member finn, tailed to fbllow Insfructtons witti respe

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Kristina Koschara v Charies Schwab & Co., Inc., John McGinley and Martin Beard v. Susan Hughes, Trustee of ttie Susan Hughes Chariteble Remainder Trust Attorneys: For Claimant(s): Kristina Koschara - Selden, NY For Respondent(s): Brandon K. Hemley Esq. - San Francisco, CA Date Filed: 04/25/2002 First Scheduled: 11/12/2002 Decided: "I 1 ^ Case Su