Jew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Daniel Danhua Chen and Joe Lixin Tian v Men-ill Lynch & Co. inc., Merrill Lynch Pierce Fenner & Smith and Samuel Poon Attorneys: For Claimant(s): John T. McGuire Esq. - New York, NY For Respondent(s): Martin D. Edel Esq. - New York, NY Margaret L. Watson Esq. - New Yorit, NY Date Filed: 12/31/2001 First Scheduled: 07/16/2002 Case Summary: Fonner registered repr

Vew York Stock Exchange In the Matter of Arbitration Between ^NYSE Case: English, Danny, v. TD Waterhouse Investor Services, inc. Attorneys: For Claimant(s): Daniel R. Solin Esq. - Bonita Springs, FL For Respondent(s): Eric A. Michaels Esq. - Bloomfield Hills, Ml Date Filed: 01/03/2002 First Scheduled: 07/17/2002 Decided: 07/30/2002 Case Summary: ClaimanL a public customer, alleges unsuitability, breach of fiduciary duty, violation o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pauline L Freundel, On behalf of her Indh-ldiel, Tmst and IRA accounts v. Prudential Securities Inc., Douglas W. Richards and SheMon L Ray, jr. . Attomeys: For Clairtiant(5): Steven B. Caruso Esq. - New Yorit, NY For Respondertt(s)-. Robert A.W, Boraks Esq. - Washington. DC Benjamin J. Lambiotte Esq. - Wsishlngton, DC Date Fiied: 12/27/2001 First Scheduled: 01/04/200

New York Stock Exchange NYSE n the Matter of Arbitration Between Case: E. Nelson Kelley, Kathleen Macolly and William B. Rank v. Prudential Securities, Inc. Attorneys: For Claimant(s): John B. Veach - Asheville, NC For Respondent(s): John S. Barr Esq. - Richmond, VA Date Filed: 12/26/2001 First Scheduled: 02/12/2003 Decided: 4/9/03 Case Summary: The Statement of Claim alleges that the registered representative misrepresented the investment merit of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Henry Guggenheim & Margaret Guggenheim Trust, Peter S. Guggenheim & Nancy Feldman Trustees v. Wall Street Discount Corp. Attorneys: For Claimant(s): Henry Guggenheim - Clifton, NJ For Re5pondent(s): Allen Lederfeind - New York, NY Date Filed: 12/18/2001 First Scheduled: 04/25/2002 Decided: in/2/?QQ2 Case Summary: The customers allege that the firm did not send th

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Zigmund and Wendy Galit v. Janney Montgomery Scott and Paul Cronin Attomeys: For Claimant(s): Brian J. Neville Esq. - New Yori< , NY For Respondent(s): Jacqueline Kasier Zivitz Esq. - Philadelphia, PA Date Filed: 12/13/2001 First Scheduled: 07/25/2002 Decided: 8/23/2002 Case Summary: Claimants allege that registered representative Paul Cronin made an unsuitable re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacques Darcel, IND and as DCG&T F/B/O Jacques Darcel/IRA, (Claimant) vs. David Lerner Associates and Joe Lafferty, (Respondents) Case Number: 01-03857 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jacques Darcel, IND and as DCG&T F/B/O Jacques Darcel/IRA, hereinafter referred to as "Claimant": Robert M. Simels, Esq., Robert M. Simels, P.C., New York, NY.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between 7\Tamp Quick and Reilly, Inc. Case No. 00-01259 Mohamed Nanlawala ° Claimant Quick and Reilly, Inc. ("Q&R") was represented by Alexander T. Sarafoglu, Esq., of the firm of Morgan, Lewis & Bockius. LLP, located in Miami, Florida. Respondent Mohamed Nanlawala ("Nanlawala") was originally represented by Leslie A. Blau, Esq., of the firm of Blau & Bonavich. On February

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eileen Smith v Prudential Securities Inc. Attorneys: For Claimant(s): Eileen Smith - Flushing, NY For Respondent(s): Marci B. Gold Esq. - New York, NY Date Filed: 12/12/2001 Case Summary: called. Claimant, First Scheduled: a customer, has alleged that respondent provided Product: erroneous Decided: 03/14/2002 infonnation regarding whether

New York Stock Exchange .1 the Matter of Arbitration Between NYSE Case: Group Management Services, Inc. v. Investec Ernst & Co. & Joseph B. Lascala, Jr. Attorneys: For Claimant(s): Joshua R. Cohen Esq. - Cleveland, OH For Respondent(s): Andrew J. Dorman Esq. - Cleveland, OH Date Filed: 11/23/2001 First Scheduled: 11/05/2002 Decided: 12/24/2002 Case Summary: The Statement of Claim alleges that the account contained a concentration of