:>ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Linda Breindel vs. Salomon Smith Barney Inc. Attorneys For Claimant(s): Howard S. Meyers Esq. - New York, NY For Respondent(s}: Jonathan C. Thau Esq. - New York, NY Date Filed: 07/25/2002 First Scheduled: 03/06/200:- Decided: 06/10/2003 Case Summary: Claimant, s customer, has alleged that respondent made unsuitable transactions in her account. Claimant has also alle

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Lawrence S. Frick and Linda Frick v. Menill Lynch and Gerald S. Browne Attomeys: For Claimant(s): James F. Zaccaria Esq. - Tumersvllle, NJ For Respondent(s): Lawrence D. Ross Esq. - Morristown, NJ Date Filed: 07/08/2002 First Scheduled: 04/23«2003 Decided: 8/7/2003 Case Summary: Claimants alleged their accounts vrere mismanaged and Respondents failed to folkw their i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Willle B. Wllson, IRA and Willie B. Wilson Individually v Pawel Szott, Merrill Lynch, Pierce Fenner & Smith, Inc. and Cal Fed Investments Attomeys: For Claimant(s): David Liebrader Esq. - Las Vegas, NV For Respondent(s): Negin Mirmirani Esq. - Los Angeles, CA Gordon C. Young Esq. - San Francisco, CA Date Filed: 07/22/2002 First Scheduled: 05/13/2003 Decided: ?ls-

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Katherine M. Scheib, and Katherine M. Scheib as Executor for the Estate of Arden L. Scheib vs. H&R Block Financial Advisors, Steve Rabin and Ryan Hunter Attorneys: For Claimant(s): Rina Spiewak Esq. - Jericho, NY For Respondent(s): Ryan Hunter - Scottsdale, AZ Howard M. Klausmeier Esq. - Detroit, Ml Date Filed: 07/080002 First Scheduled: 06/240003 Decided: July l

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dr. Louis Martini vs. Raymond James Financial Services, Inc. Attorneys: For Claimant(s): Christopher T. Vemon Esq. - Naples, FL For Respondent(s): Bruce W. Bames Esq. - Clearwater, FL Date Filed: 07/15/2002 First Scheduled: 04/07/2003 Decided: 06/30/2003 Case Summary: Customer vs. Member Firm alleging mishandling of claimant's retirement account, lack of diversificat

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: JennifiBr IHollie Rck, Jonathan Kaiden, Steven Pinsky, Yogesh Popat, Bryan Staff, Desiree Thomas and Adrian Zach v Josephthal & Co. inc. and Fahnestock & Co. Inc. Attomeys: For Ciainiaiit(8): Rot)ert M. Buisky Esq. - Hunfington, I^IY For Responclent(a): Edward J. Boyle Esq. - New York. NY Date Filed: 07yoiy2002 First Scheduled: 12/03/2002 Decided: Shiai Case

New York Stock Exchange In the INIattcr of Arbitration Between NYSE Case: Lonnie G. Kisa vs. RBC Dain Rsupcher, Inc., L'-e C. Eisinberg. Jack A. Thon"if.p and Peter Roc- Attorneys: For Claimant(s): Lonnie G. Krag - Scottsdale, M. For Respondent(s): Jesse B. Simpson Esq. - Phoenix, AZ Decided: "^^ ^''' ^""^ Date Filed: 07/09/2002 First Scheduled: 03/19/2003 Case Summary: Customer vs. Member Firm, Registered Reps and Branch Office Manager

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Diana L. Malloy and James J. Malloy v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Feroze A. Hussain Attorneys: For Claimant(s): Connie Ryder - Cleveland, OH For Respondent(s): Joshua R. Cohen Esq. - Cleveland, OH Date Filed: O6/21/2002 First Scheduled: 04/08/2003 Decided: 5/8/2003 Case Summary: The customer alleges alleges unsuitability, misrepresentation, ne

i NYSE New Yoric Stock Exchange In the Matter of Arbitration Between Case: Estate of Dorothy R. Rebele vs. A.G. Edwards & Sons, Inc. and Gerald Dingee Attorneys: For Claimant(s): Richard Heller - New York, NY For Respondent(s): Clay Grumke - St. Louis, MO Date Filed: 6/13/2002 First Scheduled: 7/23/2003 Decided: 12/10/2003 Case Summary: Customer vs. I^'lember Firm and Registered Rep alleging unauthorized and unsuitable investment

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03747 Marc Frija Names of the Respondents Hearing Site: Boca Raton, Florida J.B. Oxford & Company and Lianna Martirossian REPRESENTATION OF PARTIES For Marc Frija, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. For J.B. Oxford & Company ("Oxford") and Lianna Martirossian ("Martirossian"