•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Fred C. Wilson v U.S. Bancorp Piper Jaffray, Inc. Docket Number: 2002-011177 Attorneys: For Claimant(s): Leonard Steiner - Beverly Hills, CA For Respondent(s): Dena Murphy - Long Beach, CA Date Filed: 12/18/2002 First Scheduled: 4/23/2003 Decided: / 2.[i «j/o 3 Case Summary: Customer alleges negligence, breach of contract, breach of fiduciary duty, unsuitabl

lew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rene Kra v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., tnc. Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/29/2002 First Scheduled: 02/19/2003 Decided: < rM^/ 03 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc. and Men

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Grossberg & Associates v. CIBC Oppenheimer Attorneys: For Claimant(s): Ned M. Grossberg - Richmond, VA For Respondent(s): Jane Myers Esq. - New York, NY Date Filed: 11/25/2002 First Scheduled: O6/26/2003 Decided: 8/8/03 Case Summary: Grossberg & Associates, a customer, alleges that CIBC Oppenheimer made material omissions in its recommendation to purchase Enr

/ I New York Stock Exchange In the Matter of Arbitration Between Case: Apprendi, et ano. v. Merrill Lynch, et al. Docket Number: 2002-011089 Attomeys: For Claimant(s): Christopher Gray - New York, NY For Respondent(s): Kenneth Schachter - New York, NY Joseph Edmondson, Jr. - Washington, DC Date Filed: 12/6/2002 First Scheduled: 9/29/2003 Decided: 12/22/03 Case Summary: Customer Claimant alleges misrepresentation, failure to d

-1 New York Stock Exchange in the Matter of Arbitration Between Case: David Colodnei v. Quick & Reilly Attorneys: For Claimant(s). David Colodner - New York, NY For Respondent(s); Peter Byer Esq. - New York, NY NYSE Date Filed: 12/03/2002 First Scheduled: 06/24/2003 Decided: 07/07/2003 Case Summary: Public Customer v. Member Firm alleges failure lo follow instructloms on the part of respondent. Product: Market: Claim Data

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David L. DrehobI v David Pincas, Milestone Financial Services & RBC Dain Rauscher Correspondent Services Docket Number: 2002-011015 Attorneys: For Claimant(s): Nancy Buzzard - Chicago, IL For Respondent(s): Robert Sullwold - San Francisco, CA Will Montgomery - Dallas, TX David Pincas - Hauppauge, NY Date Filed: 11/12/2002 First Scheduled: 2/14/2003

New Yoric Stock Exchange In the Matter of Arbitration Between NYSE Case: Lenore Glass v. Salomon Smith Barney Attorneys: For Claimant(s): Stuart Gold Esq. - West Orange, NJ For Respondent(5): Joseph A. Sack Esq. - New York, NY Date Filed: 11/12/2002 Case Summary: Public Customer v. Member First Scheduled: 04/29/2003 Decided: Firm alleges breach of contmct, negligence, aiding and abetting Product: l\/iarket: August con

• NYSE New York Stock Excliange In tlie Matter of Arbitration Between Case: Angeles Munoz Marquez, Martha Patricia Sierra Munoz and Bernal Castaneda de Castillo v UBS PaineWebber and Adalberto Cuevas Docket Number: 2002-010973 Attorneys: For Claimant(s): H. Thomas Fehn - Los Angeles, CA For Respondent(s): Janiece Lonogoria - Houston, TX Date Filed: 10/31/2002 First Scheduled: 10/15/2003 Decided: JSL )l3/o3 Case Summary: Custo

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03758 Nextrade, Inc. Names of the Respondents Hearing Site: Tampa, Florida Donaldson, Lufkin & Jenrette Securities Corp. CISC World Markets Corp. M.H. Meyerson & Co., Inc. Morgan Stanley & Co., Inc. U.S. Bancorp. Piper Jaffray, Inc. Sutro & Co., Inc. Josephthal & Co., Inc. Everen Securities, Inc. Lehman Brothers, Inc. Schneider Securitie

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Scott F, Hermo v. Daiwa Securities America, Inc. and John Doe, a fictitious name of an as yet unidentified Daiwa Securities supervisor Attorneys: For Clafniant(s): Michael Grenert - New York, NY For Responcient(s): Karen Solimando - New York, NY Date Filed: 11/1/2002 First Scheduled: September 17, 2003 Decided: Case Summary: Registered (bond trader) represe