New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers v Leonard Kline Attorneys: For Claimant(s): Liam O'Brien Esq. - New York, NY For Respondent(s): Matthew Feinberg Esq - Merrick, NY Date Filed: 06/04/2001 First Scheduled: 11/14/2001 Case Summary: Member firm v registered representative alleges breach of contract, under terms of the offer letter In anwunt of $35,000 plus InteresL Product: Decid

New York Stock Exchange In the Matter of Arbitration Between ty NYSE Case: Misty C. Thomas-Periman v A.G. Edwards & Sons, Inc. and Daniel Disimlle Attorneys: For Claimant(s): H. Thomas Fehn Esq. - Los Angeles, CA For Respondent(s): Clay L. Grumke Esq. - SL Louis, MO James A. Sigler Esq. - Granada Hills, CA Date Fiied: 06/05/2001 First Scheduled: 06/04/2002 Decided: / ojsj^x Case Summary: Customer v member firm and registered repr

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marion and Donna Stepteau v Morgan Stanley, Dean Witter & Co., Clerisse Wong, and Vemessa Brown Attorneys: For ClaimantCs): Steve Buchwalter Esq. - Encino, CA For Raspondent(s): Patricia Gomez Esq. - Santa Ana, CA Date Filed: os/iaQooi First Scheduled: 06/16/Z002 Decided: J°//7/o i Case Summary: Claimants allege ttiat respondents (through their representatives), e

New York Stock Exchange NYSE \n the Matter of Arbitration Between Case: IVIary T. Dorsey v. PaineWebber, Joseph Craig Peery, Jr., Morgan Stanley Dean Witter & Michael Gene Vosmeier Attorneys: For Claimant(s): Nicholas 0. Thomas Esq. - Raleigh, NC For Respondent(s): John J. Jenkins Esq. - Weehawken, NJ Edward Lari< in Esq. - New York, NY K. Matthew Vaughn Esq. - Raleigh, NC Date Fiied: 05A22/2001 First Scheduied: 03/14/2002 Decided: 4/

I- New York Stock Exchange NYSE In the Matter of Arbitration Between Case: June K. Lazarus vs. Gayle Warren and Dan Camevale Attorneys: For Claimant(s): Steele T. Williams Esq. - Sarasota, FL For Respondent(s): Allison Barry Doneghey Esq. - Sarasota, FL Date Fiied: 06/13/2001 Case Summary: Customer vs. First Scheduied: 11/15/2001 Decided: 04/09/2002 Registered Reps alleging unauthorized transactions causing capital gain taxes. Pr

.4ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Salomon Smith Barney, Inc. v. James J. Konaxis Attorneys: For Claimant(s): KenneUi O'Connor Esq - Cranford, NJ For Respondent(s): Michael A. Collora Esq. - Boston, MA Date Filed: O6/O6/2001 First Scheduled: 04/15/2002 Decided: 06/18/2002 Case Summary: Member firm claimant alleges breach of conb-act and non-payment of Promissory Note. Respondent filed count

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert E. and Patricia A. Kerns and 01-03814 Southfield, Michigan Standard Financial Services, a Division of ABN AMRO Financial Services, and Stamatios K. Melidis REPRESENTATION OF PARTIES Robert E. and Patricia A. Kerns ("Claimants") were represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Standard Financial Services, a Divisio

Sew York Stock Exchange In the Matter of Arbitration Bet>veen NYSE Case: Janney Montgomery Scott LLC v Mark S. Pollack Attorneys: For Claimant(5): Marci A. Love Esq. - Philadelphia, PA For Respondent(s): Tristen C. Loanzon Esq. - New York, NY Date Filed: O6/28/2001 First Scheduled: 03/05/2002 Decided: 03/05/2002 Case Summary: Claimant, a member firm, has alleged ttiat respondent has failed to repay money owed pursuant to a promissory

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Josephttial & Co. Inc. v Jon Vljungco Attomeys: For Ciaimant(s)-. Ronald S. Herzog Esq. - New York, NY For Respondent(s): Jon Vljungco - Forest Hills, NY For 3rd Party: JonVijungco -New York, NY Date Filed: ii/07/200i Case Summary: CtelmanL a member firm customer's accounL Respondent has filed a i First Scheduled: O6/10/2002 Decided: 07/17/2002 1, has

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: H. Sidney Long as Trustee of ttie Melba B. Brookmyer Trust v. Memll Lynch and Gregory H. Rutter Attorneys: For Claimant(s): Matttiew H. Haverstick Esq. - Lancaster, PA For Respondent(s): Dominick F. Evangeliste Esq. - New Yori< , NY -7/:i> 3/< ^^-^ Date Filed: 05/31/2001 First Scheduled: 04/30/2002 Decided: Case Summary: The Claimant alleges Registered Representeti