New York Stock Exchange a the Matter of Arbitration Between NYSE Case: Pafricla Venner vs. Merrill Lynch Attorneys: For Claimant(s): Pafricla Venner - New Yori< , NY For Respondent(s): Matttiew C. Rant Esq. - New Yori< , NY Date Filed: 04/26/2002 First Scheduled: 09/12/2002 Decided: 09/12/2002 Case Summary: Customer vs. Member Firm alleging an unjustified/unauthorized sale of 1000 shares of 7777 Best Inc. New Com and telse stetemente u

Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lottie V. Williams vs. Janney Montgomery Scott LLC and Harold B. Gross Attorneys: For Claimant(s): Robert L Herskovite Esq. - New York, NY For Respondent(s): Elizabetti Hoop Fay Esq. - Phitedelphte, PA Date Filed: 04/29/2002 First Scheduled: 01/27/2003 Decided: 02/O6/2003 Case Summary: Customer vs. Member Firm and Registered Rep alleging churning, unsuitable investme

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pmdential Securities, Inc. v Milestone Consulting Inc. Attorneys: For Ciaiinant(s): Kennetti O'Connor Esq. - Cranford, NJ For Respondent(s): Robert Malfi - New Yori< , NY Date Filed: 04/24/2002 First Scheduled: 12/11/2002 Decided: //vr/03 Case Summary: Member fimti against customer for debit in accounL Product: Market: Claim Data Claim: $109,205.57

Vew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: J.D. Tenill, Jr., v. Merrill Lynch, Pierce, Fenner & Smitti, Inc. and Susan V. Heuer Attorneys: For Ciaimant(s): Gerald S. Siegmyer Esq. - Houston, TX For Respondent(s): Jack Ballard Esq. - Houston, TX Date Filed: 04/19/2002 First Scheduled: 03/11/2003 Decided: 03/25/2003 Case Summary: ClaimanL a public customer, alleges teilure to execute a trade involving sha

New York Stock Exchange in the Matter of Arbitration Between ^YSE Case: Fuller, Jr., Elliott F. and Sandra W. Fuller, as Joint Tenante, and Elliott F. Fuller, as Custodian for Eric M. Fuller and Eric M. Fuller, Individually, v. A.G. Edwards & Sons, Inc. and Peggy J. Doherty Attorneys: For Clalmant(s): Jeffi-ey A. Sellers Esq. - Buftelo, NY For Respondent(s): Willtem S. Port Esq. - St Louis, MO Date Filed: 04/22/2002 First Scheduled: 03/04/20

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Bauerie v Janney Montgomery Scott and Peter Higgins Attorneys: For Claimant(s): Morgan W. Bentiey Esq. - Newark, NJ For Respondent(s): Paula D. Shaffner Esq. - Philadelphia, PA Date Filed: 04/05/2002 First Scheduled: 11/13/2002 Decided: 01/14/2003 Case Summary: ClaimanL a customer, has alleged that respondente engaged in unauthorized and unsuitable trading and ch

y y ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Chris A. Hoittiaus v. A.G. Edwards & Sons inc., Jeff Akright and Jim Ballinger Attorneys: For Claimant(s): Chris A. Hoittiaus - Seneca, KS For Respondent(s): Michael Naccarato Esq. - SL Louis, MO Date Filed: 04/03/2002 First Scheduled: 02/06/2003 Decided: 02/06/2003 Case Summary: Customer claimant alleges unsuiteble trading and mismanagement of accounL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maya & Maya Windmark Flower Corp. and Pete Rodamis, (Claimants) vs. Prudential Securities, Inc., Joan M. Reilly, and Chris Fasarakis, (Respondents) Case Number: 01-03876 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Maya & Maya Windmark Flower Corp. ("Maya") and Pete Rodamis ("Rodamis"), hereinafter collectively referred to as "Claimants": Charles Fischer, Esq

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Jack Rosenberg vs. Citicorp Invesbnent Services Attorneys: For Claimant(s): Gary M. Fellner Esq. - New Yori< , NY For Respondent(s): David Gorfinkel Esq. - Long Island City, NY Date Fiied: 04/02/2002 First Scheduied: 08/15/2002 Decided: 02/07/2003 Case Summary: Customer vs. Member Finn alleging teilure to follow Insbuctions to sell 15,000 sh of DGIT at $4.00 or more,

iw York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ann Mae Tiger, Successor Trustee Under ttie Augusta Gersh Revocable Tmst Dated 5/24/90 v. TD Waterhouse investor Sen/ices, Inc. Attomeys: For Claimant(s): Ira P. Tiger - Philadelphia, PA For Re5pondent(s): Eric Michaete - Bloomfield Hilte, Ml Date Filed: 03/18/2002 First Scheduled: 10/02/2002 Decided: 10-16-2002 Case Summary: Claimant asserte that she gave timely