/ New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Dr. Gina Santori v Shaker Investments, Cowen & Co., d/b/a Cowen Asset ManagemenL & James P. Meyer Attorneys: For Claimant(s): Peter K. Richardson Esq. - Milwaukee, Wl For Respondent(s): Michael J. Holleran Esq. - Cleveland, OH Joseph J. Sullivan III Esq. - New York, NY Date Filed: 09/20/2001 First Scheduled:05/14/2002 Decided: /'/l. ^i^'2~ Case Summary: Customer v

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03828 Prime Charter, Ltd., claimant/counterclaim respondent vs. Joseph Yurigan, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. For Respondent appeared Jeffrey W. Burzawa, Esq., of the firm Burzawa and Wiltman, South Greensburg, PA. DATE FILED: July 18, 2001 CASE SUMMARY

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Buford, Cattierine L. v. TD Waterhouse Investor Sen^ices, Inc. Attorneys: For Claimant(s): Gene Koon Esq. - Monrovia, CA For Respondent(s): John L. Erikson Esq. - Los Angeles, CA Date Filed: 10/02/2001 First Scheduled: 02/27/2002 Decided: 04/23/2002 Case Summary: ClaimanL a public customer, alleges violation of NYSE Rule 405, ttie "know your customer' rule. Claim

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bear Stearns Securities Corp. v Lehman Bros., Inc. Attorneys: For Claimant(s): Gary M. Fellner Esq. - New York, NY Howard Wilson Esq. - New Yori< , NY For Respondent(s): Robert I. Bodian Esq. - New York, NY Date Filed: 09/07/2001 First Scheduled: 06/06/2002 Decided: 10/31/2002 Case Summary: ClaimanL a member firm, has alleged ttiat respondent breached ttieir agree

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Joel Occhiuto and Elana Occhiuto Bohn v. A.G. Edwards & Sons.inc. and Charies G. Henry Attorneys: For Clalmant(s): Debra Speyer Esq. - Philadelphia, PA For Respondent(s): Gary Henry - Warren, NJ Michael Naccarato Esq. - SL Louis, MO Date Filed: 09/i8/200i First Scheduled: 06/19/2002 Decided: 7/18/02 Case Summary: The statement of Claim alleges that ttie reg

ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: The Doyle /\gency Inc. v. Morgan Stanley Dean Witter and Michael Deskin Attorneys: For Clalmant(s): Envin Cohn Esq. - Chicago, IL For Respondent(s): Gary E. Jackson Esq. - New Yori< , NY Date Filed: 09/04/2001 First Scheduled: lOA)3/2002 Decided: October 3 , 2002 Case Summary: Customer Claimant alleges breach of contract, negligence, fraud, unsuitability, violati

New York Stock Exchange Tn the Matter of Arbitration Between y NYSE Case: Janney Montgomery Scott, LLC v. Fabio Pasquesi Attorneys: For Claimant(s): Marci Love Esq. - Philadelphia, PA For Respondent(s): James A. Prestiano Esq. - New Yori< , NY Date Filed: 08/09/2001 First Scheduled: 01/28/2003 Decided: 3/24/2003 Case Summary: Janney Montgomery Scott seeks to recover the balance of a promissory note from its former registered repre

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Janney Montgomery Scott, LLC v. Walter Tye Attorneys: For Claimant(s): Ronald Shindler Esq. - Miami, FL For Respondent(s): /Arthur C. Koski Esq. - Boca Raton, FL Date Filed: 09/04/2001 First Scheduled: 07/09/2002 Decided: 7/9/02 Case Summary: Member Fimi Claimant alleges breach of contract and non-payment of promissory notes. Product: PROMISSORY NOTE M

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bronstein, Bruce v. Morgan Stanley Dean Witter and Cartes Fernandez Attorneys: For Claimant(s): Bruce Bronstein - Baltimore, MD For Respondent(s): Keitti Guilfoyle Esq. - New York, NY Date Filed: O8/28/2001 First Scheduled: 04/10/2002 Decided: 04/29/2002 Case Summary: ClaimanL a Public Customer, alleges unauthorized trading, unsuitability and breach of fidu

I..- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gall K. Racine v CIBC Worid Martlets Corp. & Brendan Callahan Attorneys: For Clalmant(s): Stephen J. Bisgeier Esq. - Chicago, IL For Respondent(s): Marshall E. Hanbury Esq. - Chicago, IL Date Filed: O8/21/2001 First Scheduled: 04/22/2002 Decided: 6/6/2002 Case Summary: Customer against member firm and registered representative for unsuitable transactions