New York Stock Exchange in the Matter of Arbitration Between ty^ NYSE Case: Cynttiia A. Beach v. Goldman Sachs & Co. Attorneys: For Ciaimant(s): Steven J. Hyman Esq. - New York, NY For Respondent(s): Theodore Rogers Esq. - New Yori< , NY Date Filed: 05/25/2001 First Scheduled: 07/22/2002 Decided: n/19/200 2 Case Summary: Cynttiia Beach, a former analyst with Goldman Sachs & Co., alleges ttiat ttie firm wrongly failed to pay her the ba

iw York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marilyn Byrne and James Lombardo v. Morgan Stenley Dean Witter & Co., Arun Sardana and Michael Morterty Attomeys: For Claimant(s): Jacob H. Zamansky Esq. - New Yori(, NY For Respondent(s): James F. Basite Esq. - Washington, DC Mari< E. McKane Esq. - Washington, DC James Yellen Esq. - New Yori(. NY Date Filed: 05/31/2001 First Scheduled: 08/12/2002 Decided: 09/

New Yorli Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott LLC vs. Paul Loughman Attorneys: For Ciaimant(s): Marcl A. Love Esq. - Philadelphia, PA For Re5pondent(s): Paul Loughman - Woodside, NY Date Filed: 07/03/2001 First Scheduled: 02/11/2002 Decided: 02/11/2002 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounte allegedly due under the terms of a promissory

^vx rnji. ..ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: charies F. Jacobs vs. Brown & Company Attorneys: For Claimani(8): Charles F. Jacobs - Phoenix, AZ For itespandenl(s): Bruce D. Levin Esq. - Boston, MA Date Filed: 07/O6/2001 First Scheduled: 10/11/2001 Decided: 03/27/2002 Case Summary: customer vs. Member Firm alleging failure io honor an eteclronlc order irade confirmalion to seil 2,000 shares of AOI

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bernard Herold & Co. Inc. v. Mark Lefl< owitz and Cindy Fienxi v. Alan Kleneteky Attorneys: For Claimant(s): Milton R. Gteit Esq. - White Pteins, NY For Respondent(s): Allen M. Eisenberg Esq. - New Yori< , NY For Srd Party: Milton R. Gteit Esq. - New Yorit, NY Date Filed: 05/18/2001 First Scheduied: 06/26/2002 Decided: 7/3Q/Q2 Case Summary: The Stetem

»ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Hatfield v. Josephthal & Co., inc. and Mark Piatt Attorneys: For Claimant(s): Arthur Sklbell Esq. - Dallas, TX For Respondent(s): Cheryl Jerome Moore Esq. - Dallas, TX Mark Piatt - Dallas, TX Date Filed: 05/09/2001 First Scheduled: 12/10/2001 Decided: 03/19/2003 Case Summary: Claimant, a public customer, alleges unauthorized trading, failure to supervise,

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Engelmann, Paula v. Russell Gebhard, First Union Securities, Inc., and Morgan Stenley (Morgan Stenley Dean Witter Reynolds Attorneys: For Claimant(s): Richard W. Ewing Esq. - Houston, TX Paul Waldner Esq. - Houston, TX For Respondent(s): Ronald E. Wood Esq. - Sante Ana, CA Date Filed: 06/28/2001 First Scheduled: 02/26/2002 Decided: 05/09/2002 Case Summary: Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant, Francis Bruce Kulp and Respondents, Salomon Smith Barney Inc., and Sherwyn James Mistry Case Number: 01 -03810 Hearing Location: Troy, Michigan REPRESENTATION OF PARTIES Francis Bruce Kulp ("Claimant") was represented by Bruce W. Day, Esq., Day, Edwards, Propester & Christensen, Oklahoma City, Oklahoma. Prior to Mr. Day's appearance on or about Septe

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Michael Corey v. Prudential Securities, Inc. Attorneys: For Clalmant(s): Philip M. Aidikoff Esq. - Beveriy Hills, CA For Respondent(s): John S. Ban- Esq. - Washington, DC Date Filed: 05/31/2001 First Scheduled: 06/17/2002 Decided: 9/9/02 Case Summary: 1) Claimant alleges ttiat Prudential Securities, inc.(ttirough ite registered representetive), embarked on a serie

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David and Daria Consalvo v Morgan Stenley Dean Witter & Scott Svirsky Attorneys: For Claimant(s): EnvIn J. Shustek Esq. - San Diego, CA For Respondent(5): Laura Sten- Esq. - Miami, FL Date Filed: 05/10/2001 First Scheduled: 02/12/2002 Decided: 06/18/2002 Case Summary: Claimante', customers, have alleged ttiat respondente engaged in unsuiteble and unauthorized trading