New York Stock Exchange In the Matter of Arbitration Between ly^ NYSE Case: Curtis L. Hatchitt vs. Morgan Stanley Dean Witter Attorneys: For Claimant(s): Christian A. Bourgeacq Esq. - Austin, TX For Respondent(s): Keith Guilfoyle Esq. - New York, NY Date Filed: 08/30/2002 Case Summary: Claimant, a customer, First Scheduled: 06/03/2003 has alleged that respondent engaged in an Product: Decided unauttiorized transaction i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Erna and Tom Morris vs. Wachovia Securities, Inc. and Kay Winter ,^Uol-ney.c: For Claimant(s): Brett A. Alcala Esq. - San Mateo, CA For Respondent(s): Michael J. Abbott Esq. - Los Angeles, CA Date Filed: O8/23/2002 Case Summary: Claimants, supervise ttie account. There First Scheduled: 04/09/2003 customers, have alleged ttiat respondents engaged in are no spe

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Berenbaum v. A.G. Edwards & Sons, Inc. v. Maty. Beri< , Steven Beri< , Eugena George & Jan Dagenais Attomeys: For Claimant(s): Debra G. Speyer - Philadelphia, PA For Respondent(s): Michael Gates Esq. - SL Louis, MO For 3rd Party: Eugena R. George - Philadelphia, PA Date Filed: O8/29/2002 First Scheduled: 06/23/2003 Decided: 7-3-03 Case Summary: Claima

Nrw York Stock Exchange 111 the Mutter of Arbitration Between NYSE l< nse: Salomon Smith Barney v. Steve Marram Attorneys: For Claimant(s): Emmanuel Mendez Esq. - Cranford, NJ For Respondent(s): Robert M. Benin Esq. - Boston, MA Date Filed: 09/06/2002 First Scheduled: 08/19/2003 Decided: 8/19/2003 Case Sumhfiary: Member fimn claimant alleges breach of Employment Agreement and non-payment of Promissory Note. Product: PROMISSORY NOT

New York Stock Exchange a the Matter of Arbitration Between NYSE Case: Richard W. Driscoll & Joanne E. Driscoll v Malcolm L. MacPherson and Menill Lynch Attorneys: For Claimant(s): Richard W. Driscoll - Chatham, NJ For Respondent(s): Daren A. Luma Esq. - New York, NY HT^ Date Filed: 09/04/2002 First Scheduled: 04/24/2003 Decided Case Summary: Customer against member firm for failure to disclose commissions or fees on a bond purch

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elizabeth A. Hogan and Kerry E. Hogan vs. Donaldson Lufkin & Jenrette Securities Corp., an Affiliate of Credit Suisse First Boston Attorneys: For ClaimantCs): Mark Raymond - Miami, FL For Respondent(s): Bennett Falk - Miami, FL DateFiled: 8/30/2002 First Scheduled: 12/2/2003 Decided: Case Summary: Customer Claimants allege unsuitable trading, violation

iy-^ New York Stock Exchange Jn the Matter of Arbitration Between NYSE Case: William Goldberg, As Trustee For Poster Arts Distributor Inc. Profit Sharing Plan v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Menill Lynch & Co., Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 09/03/2002 First Scheduled: 02/19/2003 Decided: 5/1/2003 Case

\ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott, L.L.C. v. Cori)ett E. Hurt, Jr. Attomeys: For Ciaimant(s): Adam E. Miller Esq. - Margate, FL For Respondent(s): Caben E. Hurt Jr. - Wellington, FL Date Filed: 08/08/2002 First Scheduled: 08/05/2003 Decided: 8/5/03 Case Summary: Member fimi claimant alleges breach of contract and non-payment of promissory note. Product p-Note Mar

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03753 June Dell*Abate Names of the Respondents Hearing Site: Boca Raton, Florida Walnut Street Securities, Inc. and David Klein REPRESENTATION OF PARTIES For June Dell'Abate, hereinafter referred to as "Claimant": Allan M. Lerner, Esq., Allan M. Lerner, P.A., Ft. Lauderdale, Florida and Russell L. Forkey, Esq., Russell L. Forkey, P.A., Ft. La

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Helen Tsoumbarakis v. Ladenburg, Thalmann & Co., Inc. and Said Hamed Attomeys: For Claimant(s): John E. Lawlor Esq. - Mineola, NY For Respondent(s): Said Hamed - Long Island City, NY R. Jeffrey More Esq. - New York, NY Date Filed: O8/O8/2002 First Scheduled: 02/05/2003 Decided: 07/31/2003 Case Summary: Claimant, a public customer, alleges negligence, breach of fi