'ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kim M Nelson v. John Gerard Kolinsky, CIBC World Markete Corp. and Janney Montgomery Scott LLC Attorneys: For Claimant(s): Jim ScuttI Esq - Boca Raton, FL For Respondent(s): Marc S Dobin Esq - Jupiter, FL Michelle Murphy Esq - New York. NY Paula D Shaffner Esq - Philadelphia, PA Date Filed: 05/15/2001 First Scheduled: 12/10/2002 Decided: 12/10/2002 Case Summa

New Yorli Stock Exchange In the Matter of Arbitration Between Case: Dorottiy A Schwartz v UBS PaineWebber Inc. •vJl t»b«< TCMil^ NYSE Attorneys: For Claimant(s): David A Weinbaub Esq - Ft Lauderdale, FL For Respondent(s): Donald S. Davidson Esq. - Weehawken, NJ First Scheduled: '^/i-b/dOOZ Date Filed: 05/11/2001 Decided: 5/16/2002 Case Summary: Customer claimant alleges unsultebte trading, misrepresentetion, teilure to exercise due dilige

~ '"^w York Stock Exchange m the Matter of Arbitration Between [y NYSE Case: Allison Bosworth Schina and Charies Schlrra vs. Morgan Stanley Dean Wttler and JefliPey Slebblns vs. Allison Bosworth Schlrra and Charles Schirra Attomeys: For Clalinant(s): Stephen Muiphy Esq. - Phoenix, AZ For Rsspondant(a): Mark Chester Esq. - Scottsdale. AZ Tim Verduhi Esq. - San FrandBO, CA Date Filed: 05/11/2001 First Scheduled: 03^6/2002 Decided

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Loretta D. Cantrell v. A.G. Edwards & Sons, Inc. Attorneys: For Ciaimant(s): Susan M. Gaddy Esq. - Greenville, SC For Respondent(s): Michael Naccarato Esq. - St. Louis, MO Date Filed: 04/30/2001 First Scheduled: 01/09/2002 Decided: 1/25/2002 Case Summary: Lorette Canbell, a customer of A.G. Edwards & Sons, Inc. alleges tiiat ttie firm failed to fdlow her se

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Lawrence H. Engleman, Tmstee of ttie John J. Forst, Jr., Irrevocable Tmst v. SalonrKin Smith Bamey Attorneys: For Claimant(s): William F Bftg Esq - Waterbury, CT For Respondent(5): Ann Pany Esq - New Yori«, NY Date Filed: 05/07/2001 First Scheduled: 10/11/2001 Decided: 4/30/02 Case Summary: Customer daimant alleges teilure to execute a beade for 700 shares

New York Stock Exchange m the Matter of Arbitration Between NYSE Case: John Meehan, Sandra Meehan, Edward Boden and Eileen Boden vs. TD Waterhouse Investor Sen/ices Attomeys: For Claimant(s): Gerard McCabe Esq. - New Yori< , NY For Respondent(s): Liam O'Brien Esq. - New Yorit, NY Date Filed: 05/03/2001 First Scheduled: 04/02/2002 Decided: 10/03/2002 Case Summary: Customers vs. Member Fimri, Non Member Finn and unregistered investanent adv

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lara George v. Salomon Smitti Barney, Inc. Attorneys: For Claimant(s): Richard J Blumberg Esq - New York, NY For Respondent(s): William A Hohauser Esq - New Yori< , NY Date Filed:-e4/3o7200i First Scheduled: 10/11/2001 Decided: 2/28/02 Case Summary: Customer claimant alleges negligence and failure to execute sell order for shares of restrided Common Stock of Cenbal Oi

.^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Scott Gary Hudson as guardian for Kyle Andrew Hudson and Scott Gary Hudson v The Edward Jones Co. Attomeys: For Claimant(s): Scott Gary Hudson - BmhursL IL For Respondent(s): Bradford B. Lear Esq. • SL Louis, MO Date Filed: 04A)6/2001 Case Summary: Custodian of s First Scheduled-, 12/11/2001 Decided: 1/14/02 . 1 minor'^ account against member firm for unauth

Award NASD Hisniite Resolution. Inc> In the Matter of the Arbitration Between: Floyd Lee Watkins, Claimant Vs. Case Number: 01-03795 First Investors Corporation of New York, Respondent. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Reginald L. Thomas, Esquire, Lexington, Kentucky, represented Claimant Floyd Lee Watkins ("Watkins"). Rebecca L. Kline, Esquire, of Kirkpatrick & Lockhart, LLP, Washington, DC, represented R

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fanny Abergel v Pmdential Securities Inc. & Adrian Frands Attorneys: For Ciaimant(s): Ralph A. Gant Esq. - New York, NY For Respondent(s): Paul G. Anderson Esq. - London EC2M 4HP, Date Filed: 04/18/2001 Case Summary: ClaimanL a customer, First Scheduled: 04/11/2002 Decided: 05/08/2002 has alleged ttiat respondent made unauthorized bansactions in her accou