New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Southwest Securities, Inc. v Richard S. Kaplan C.P.A., P.C, Richard S. Kaplan C.P.A., P.C, Profit Sharing Plan and Richard S. Kaplan, in his Individual capacity and as Trustee for tiie Richard S. Kaplan C.P.A., P.C, Profit Sharing Plan Attorneys: For Claimant(s): Inwin Weltz Esq. - New York, NY For Respondent(s): Stuart Wachs Esq. - New Yori< , NY Date Filed: O8/14/2000 F

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Fahnestock & Co., Inc. vs. Wayne Mcintosh Attorneys: For Clalmant(s): Eric J. Shames Esq. - New York, NY For Respondent(s): Michael Salddo Esq. - Phoenix, AZ Date Filed: 08/18/2000 First Scheduled: 03/01/2001 Decided: 10/10/2002 Case Summary: Member Firm vs. Registered Rep (former employee) seeking conbibution fbr damages incuned in ttie settiement of arbibation daims brough

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael Volechenisky v Charies Schwab & Co., Inc. v Stella Lynch Attorneys: For Claimant(s): Mike Volechenisky - Hemet, CA For Respondent(s): Sean Meehan Esq. - San Frandsco, CA For Srd Party: Stella Lynch - Sayre, PA Date Filed: O8/02/2000 First Scheduled: 05/07/2001 Decided: October 3, 2002 Case Summary: Customer against member firm for negligence in tellin

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: James Alban-Davies vs. Credit Lyonnais Securities (USA), Inc. Attorneys: For Clalmant(s): Jelrey L. Liddle Esq. - New Yori< , NY For R*spondent(s): Ihotnns Sheridan Esq. - New York, NY Dale Filed: 08/09/2000 First Scheduled: 02/21/2001 Decided: 01/28/2002 Case Summary: Registered Rep vs. Member Firm (employer) alleging teilure to pay 1999 bonus compensation, bre

Amended Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03781 Ronald and Barbara Bedard, JTWROS Ronald E. Bedard, IRA Barbara J. Bedard, IRA Names of the Respondents Hearing Site: Tampa, FL Clyde D. Wiggins William M. D'Antignac First Union Securities, Inc. REPRESENTATION OF PARTIES For Ronald and Barbara Bedard, JTWROS, Ronald E. Bedard, IRA, and Barbara J. Bedard, IRA, hereinafter collect

New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Robert E. Prieur and Bernlce I. Prieur v. Morgan Stenley Dean Witter and Richard L. Wallace Attorneys: For Claimant(s): William J. Gladden Esq. - Savannah, GA For Respondent(s): Howard M. Sendrovitz Esq. - New York, NY Date Filed: 07/12/2000 First Scheduled: 10/24/2001 Decided: Case Summary: Claimante, public customers, allege unsuitebillty and misrepresenteti

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: First Union Securities Inc. v. Raymond James & Associates & David Shaw Attorneys: For Claimant(s): Christopher Barber Esq. - Chicago, IL For Respondent(s): Daniel C. Emerson Esq. - Indianapolis, IN Jeffrey J. Kalinowski Esq. - SL Louis, MO Gerald B. Kline Esq. - Atiante, GA Date Filed: 06/26/2000 First Scheduled: 03/06/2001 Decided: 8/2/2002 Case Summary

New York Stock Exchange In the Matter of Arbitration Between iy NYSE Case: Majik Enterprises, LLP, Keith A. Splzzlrri Charitable Remainder Unit Trust vs. Everen Securities, inc. and Dennis Stack Attorneys: For Claimant(s): Tracy Pride Stoneman Esq. - Westcliffe, CO For Respondent(s): Jon Rewinski Esq. - Los Angeles, CA Date Filed: 05/19/2000 First Scheduled: 11/28/2000 Decided: 01/I8/2002 Case Summary: Customer vs. Member Firm and Re

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elfriede Kronenberg v. Dominick & Dominick v. Morgan Stanley Dean Witter and Salomon Smith Bamey as Successor to Schroder & Co., Inc. Attorneys: For Claimant(s): Elfriede Kronenberg - 6006 Luzem Switzeriand, For Respondent(s): Howard G. Meyers Esq. - New York, NY For Srd Party: William A. Hohauser Esq. - New Yori< , NY Date Filed: 04724/2000 First Scheduled: 10/24

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Schulman v. Salomon Smith Bamey Attuiiieys. For Ciaimant(s): /Andrew R. Bronsnick Esq. - Livingston, NJ Bmce Nagel Esq. - Livingston, NJ For RespondenWs): Sean Coughlin Esq. - New Yoric, NY Date Filed: 03/03/2000 First Scheduled: O8/02/2000 Decided: 06/24/2002 Case Summary: Claimant, a registered representative and former employee, alleges breach of contra