.< ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Trad Gonzales and Michael Gonzales, Individually and as Representetives for ttieir Minor Children, Aaron and Jacob Gonzales v. Morgan Stenley Dean Witter & Co., Dean Witter Reynolds, Inc., and William M. Steele Attorneys: For Claimant(s): Juditti Meyer Esq. - Houston, TX For Respondent(s): Rebecca L. Roberteon Esq. - Houston, TX Date Filed: 04/i 1/2001 First Scheduled

\y^ Sew York Stock Exchange NYSE In the Matter of Arbitration Between Case: John Gadomskl vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Paul Kane Attorneys: For Ciaimant(s): Morgan W. Bentiey Esq. - Newari< , NJ For Respondent(s): Neal Brickman Esq. - New Yori< , NY Date Filed: 04/I6/2001 First Scheduled: 06/12/2002 Decided: O8/14/2002 Case Summary: Customers vs. Member Firm and Registered Rep alleging breach of fiduciary duty, breaches of NAS

New York Stock Exchange In the Matter of Arbitration Between y-' NYSE Case: Lehman Brothers, Inc. vs. Michael Trimarco Attorneys: For Claimant(s): Liam O'Brien Esq. - New York, NY For Respondent(s): Michael E. Forde Esq. - Smittitown, NY Date Filed: 04/16/2001 First Scheduled: 09/04/2001 Decided: 05/15/2002 Case Summary: Member Finn vs. Registered Rep (former employee) seeking to recover amounte allegedly due under the terms of two

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grace Food Distribution, Inc. and Ben Kwong Chiu vs. Oscar Gruss & Sons, Inc. and Christopher Lim Fong Attorneys: For Claimant(s): Ira G. Greenberg Esq. - New York, NY For Respondent(s): Robert S. Churchill Esq. - New York, NY Brian H. Reis Esq. - New York, NY Date Filed: 04/03/200i First Scheduled: O8/29/2001 Decided: 10/02/2002 Case Summary: Customers vs. Membe

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Stuart D. Edwards v Michael Schoellkopf, Christopher Zeyer, Michael O'Brien, Morgan Stenley Dean Witter, Inc. Attorneys: For Ciaimant(s): Stuart D. Edwards - New York, NY For Respondent(s): Gary Jackson Esq. - New Yori< , NY Date Filed: 03/13/2001 First Scheduled: 09/13/2001 Decided: 01/30/2002 Case Summary: Customer v member firm and registered representetive a

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: unian Boyd v Janney Montgomery & Scott, Inc. Attorneys: For Claimant(s): Seth E. Lipner Esq. • Garden City, NY For R9spondent(8): Paul D. Shafiiier Esq. - Philadelphia, PA 'M Date Filed: 03/19/2001 First Scheduled: 12/13/2001 Oecided: 0> Case Summary: Customer alleges Oiat member firm is liable fbr activities of ite emptoyee under the theory of respond

iew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: NAM Holdings Limited vs. Charles Schwab & Company, Inc. and Stephen Spangenberg Attorneys: For Claimant(s): Robert G. Heim Esq. - New Yori< , NY For Respondent(s): Michael Schwartzberg Esq. - New Yorit, NY Date Filed: 03/23/2001 First Scheduled: 05/20/2002 Decided: 05/23/2002 Case Summary: Customer vs. Member Firm and Registered Rep alleging respondente stopped

' New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cetina Manek v. Merrill Lynch, Pierce, Fenner & Smitii; Shadi Dabit; Shadin Ramadan Attorneys: For Claimant(s): Randy Calvert Esq. - Oklahoma City, OK William B. Federman Esq. - Oklahoma City, OK Daniel Woska Esq. - Oklahoma City, OK For Respondent(s): Ralph M. Curslo Esq. - New York, NY Bruce W. Day Esq. - Oklahoma City, OK Derrick L. Morton Esq. - Oklahoma City,

lew York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Pmdential Securities Inc v. Douglas Decker Attomeys: For Claimant(s): Kenneth L Schubert, III Esq. - Seattle, WA For Respondent(s): Al Van Kampen Esq. - Seattle, WA Date Filed: 03/15/2001 First Scheduled: 10/17/2001 Decided: 10/23/2002 Case Summary: Claimant a member firm, alleges breach of contrad with respect to the balance due on a promissory note. Claimant

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Nicholas Roth v. Saionrxin Smith Barney Attorneys: For Claimant(s): Nichdas Roth - Doylestown, PA For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 03/01/2001 First Scheduled: 10/09/2001 Case Summary: Nichdas Roth, a customer of Salomon Smith Barney, alleges that giving him proper notice and did not sell his securities short against the box. Prod