New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Emil Kogan v Fidelity Brokerage Services, Inc. v. Irene Kogan Attorneys: For Claimant(s): Emil Kogan - Morton Grove, IL For Respondent(s): John M. O'Bryan Esq. - Chicago, IL For 3rd Party: Diane Horodecki Esq. Chicago, IL ' ^ ^ Date Filed: 01/22/2001 First Scheduled: 04/23/2001 Decided: o 0^ Case Summary: Customer alleges neglig

.Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gopal Narasimhan v Wall Street Access, Inc. Attorneys: For Claimant(s): James A. Batson Esq. - New York, NY For Respondent(s): Denis Kelleher Esq. - New York, NY Date Filed: 01/03/2001 First Scheduled: 09/12/2001 Decided: 06/17/2002 Case Summary: Claimant, a customer, has alleged that respondent provided an Incorrect symbol for qualcomm options to claimant and then

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maria Pauline Rumie and Dino Lebolo JT TEN Maria P. Rumie, TOD Dino V, LeBolo SUB to STA RULES Names of the Respondents Morgan Stanley DW Inc. James E. Brooks Case Number: 01-03785 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Maria Pauline Rumie a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James R. Westcott and Linda V. Westcott, Individually and as Co-Trustees of the James R. Westcott Trust under a Declaration of Trust dated July 1, 1993 v. PaineWebber Inc. and Steven Karr Attorneys: For Claimant(s): Richard H. Levenstein Esq. - Stuart, FL For Respondent(s): Wess Holston Esq - Ft Lauderdale, FL Glenn D. Kelley Esq. - West Palm Beach, FL Date Filed: O1/O8/

r^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judith L. Wemer v. CIBC Worid Maritets Corp. f/k/a CIBC Oppenheimer Corp. and Michael Tobiassen Attorneys: For Clalmant(s): Michael A. Hanzmar, Esq. - Coral Gables, FL For Respondent(s): Joseph J. Nicholson, Jr. Esq. - Newport, RI Joseph J. Sullivan lit Esq. - New York, NY Date Filed: 11/22/2000 First Scheduled: O8/11/2001 Decided: 06/03/02 Case Summary: C

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mary E. Keith, n/k/a Mary E. Stocks, as Trustee of the Keith Fanns, Inc. Pension Plan Trust v Edward Jones and Thomas lorio Attorneys: For Claimant(s): Mercer Tumer Esq. - Bloomington, IL For Respondent(s): Jennifer E. Alexander Esq. - St. Louis, MO EZZ Date Filed: 11/09/2000 First Scheduled: 05/15/2001 Decided: Case Summary: Customer against member firm for refu

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter J. Lally v Salomon Smith Barney Attorneys: For Claimant(s): Thomas M. Knepper Esq. - Chicago, IL For Respondent(s): Jerry M. Santangelo Esq. - Chicago, IL Date Filed: 11/20/2000 First Scheduled: O6/12/2001 Decided: t)i. Case Summary: Registered representative against member firm and branch office manager fbr wrongful termination agreement. employment

rw York Stock Exchange In tbe Matter of Arbitration, Between NYSE Case: Raymond J. Masek v Ted MarrouBs and Salamon Smitti Bam^, inc. Attorneys: For CtatananKs): Raymond J. Masek Esq. - Warren, OH For Rmpondwit(»): Aj^andro Schwed Esq. - New York, NY Date Filed: ii/l3aooo First Scheduled: 04/102001 Decided: '^»(. Case Summary: Clabnant alleges ttiat Respqndanls negNgenOy mismanaged Ms account and failed to keep various promises made

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: U.S. Bancorp Piper Jaffray Inc. v LRC Corporation Attorneys: For Ciaim8nt(s): James K. Langdon II Esq. - Mnneapolis, MN For Ftespontlent(s): Kennetti D. Tdllver Esq. - Billings, MT Date Filed: io/i3ffiooo First Scheduled: OB/05/2001 Decided: A^ \oX Case Summary: Member fimi against non-member for finder's fee and breach of contract Product: Market

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First Union Securities, Inc. v F. James Aragon Attorneys: For Claimant(s): Kennetti F. Berg Esq. - Chicago, IL For Respondent(s): Fred M. Walker Esq. - Newport Beach, CA Date Filed: 09/11/2000 First Scheduled: 05/07/2001 Decided: 3 Case Summary: Member firm against customer for alleged unsecured debit, cost of collection and attorneys fees, for alleged violations