New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Matthew Brown, Donald Carmel, Oriando Chissone and Niels Lorijn v ING Baring Fumian Selz Attorneys: For Claimant(s): Jeffrey L. Liddte Esq. - New Yoric, NY For Respondent(s): Jeffrey Kaplan Esq. - New Yoric, NY Date Filed: 10/25/2000 First Scheduled: 12/14/2001 Decided: 04/26/2002 Case Summary: Claimante, former employees, have alleged tiiat respondent breached tghei

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joseph M. Salvani vs. DB AJex Brown, LLC Attorneys: For Claimant(5): Richard J. Blumberg Esq. - New Yoric, NY Berttiold H. Hoeniger Esq. - New York, NY For Respondent(s): Christopher P. Hall Esq. - New York, NY Thomas P. Lloyd Esq. - Baltimore, MD Date Filed: 11/02/2000 First Scheduled: 07/11/2001 Decided: 07/17/2002 Case Summary: Customer vs. Member Firm, in a dispute i

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Bernard Levere v. Joseptiial & Co., Inc., Estete of Joseph Weinberg and David Schwartz Attorneys: For Claimant(s): Allan H. Cariin Esq. - New York, NY For Respondent(s): John Bersin Esq. - New York, NY Emilia M. De Meo Esq. - Short Hills, NJ Cynttiia A. Feigin Esq. - New York, NY Date Filed: 10/13/2000 First Scheduled: 04/04/2001 Decided: 3/12/2002 Case S

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Leonard Mamell and Ronnie Marneli, JTWROS Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Sherryl P. Billings Fredric Mannheimer Case Number: 01-03784 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Leonard Marneli and Ronnie Marneli, JTWROS hereinafter referred to as "Claimants": Darren C. Blum, Esq., Law Offices of

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Jacqueline Nora Johnson (Tmstee U/A DTD 6/27/94) v. Merrill Lynch and Nicholas Denucci Attorneys: For Claimant(s): Andrew M. Krisel Esq. - Brooklyn, NY For Respondent(s): Dominick F. Evangeliste Esq. - Mcxristown, NJ Date Filed: 12/21/2000 First Scheduled: O6/05/2001 Decided: O6/27/2002 Case Summary: Claimant, a public customer alleges unsultebllity, unauthcxized bading an

New York Stock Exchange In the Matter of Arbitration Between ^ NYSE Case: Joshua Kestenbaum, Cosmopditen Gem Corp., Cosmopoliten Gem Corp. Pension Pten Inc. v First /Mbany Corporation; Joseph Kestenbaum; Kennetti Gross; Richard J. Geisman (Deceased); PaineWebber Inc.; Michael Bell; Pinnacle Asset Management, Inc.; Reuben L. Sussman and Bear Stearns Securities Corp. Attorneys: For Claimant(s): Jeffrey L. Liddte Esq. - New Yoric, NY Jacob H. Zaman

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: William J. Higgins and Mary Elizabeth O'Leary vs. Neuberger Berman LLC and Howard Ganek Attorneys: For Claimant(s): David E. Robbins Esq. - New York, NY For Respondent(s): Edward G. Schallert Esq. - New York, NY Date Filed: 09/18/2000 First Scheduled: 12/I8/2000 Decided: 02/28/2002 Case Summary: Customers vs. Member Finn and Registered Rep alleging fi-aud, misr

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Tucker B. and Cindy W. Magid v Pmdential Securities, Inc. and Terese A. Madigan Attomeys: For Claimant(s): Tracy Pride Stoneman Esq. - Westdiffe, CO For RespondenKs): John C. Canntetraci Esq. - New Yoric, NY Date Filed: 09/11/2000 First Scheduled: 05/21/2001 Decided: Case Summary: Customer against member firm and registered representetive for unauttiorized purc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joseph McLeod, et al v Bear Stearns Securities Corp. and Richard Harriton Attorneys: For Claimant(s): Delmer C Gowing III Esq. - Delray Beach, FL For Respondent(s): P. Benjamin Duke Esq. - New York, NY Date Filed: 09/08/2000 Case Summary: Claimante, customers. Claimante seek to First Scheduled: Decided: 02/25/2002 customers, have alleged ttiat respondent,

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: CIBC Oppenheimer Corp. v Stuart Garawitz v CIBC Oppenheimer, Scott Abry and Jeffirey Wallner Attorneys: For CiahranKs): DavkJ SchnidI Esq. - Cranford. NJ For RespoiiiiMit(s): Bany M. Bonieteky Esq. - New Yoric, NY Date Filed: 08A)l/2000 First Scheduled: 05/02/2001 Decided: 12/26/2001 Case Summary: Claimant, a member firm, has alleged ttiat respondent teiled to