Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sanjay Kohli and Rashmi Kohli, v. Merrill Lynch, Pierce, Fenner and Smitti, Inc. and Ralph M. Drybrough Attorneys: For Claimant(s): Jacob H. Zamansky Esq. - New Yori< , NY For Respondent(s): Paul J. Lambert Esq. - Washington, DC Date Filed: 09/10/2002 First Scheduled: 06/23/2003 Decided: 07/18/2003 Case Summary: Customer alleges fraud, misrepresentation regarding anal

i NYSE New York Stock Exchange In the Matter of Arbitration Betiveen Case: Richard Pedde v ABN AMRO Inc. Docket Number: 2002-010734 Attomeys: For Clainiant(s): Ethan A. Brecher - New York, NY For Respondent(s): Paula K. Colbath - New York, NY Date Filed: 9/12/2002 First Scheduled: 10/20/2003 Decided: 5" /S-'T/ \7 S Case Summary: Former trader seeks unpaid bonus for 2001 and 2002, liquidated damages, severance, cos

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03755 Prime Charter, LTD. Name of the Respondent Hearing Site: Boca Raton, Florida David Katlic REPRESENTATION OF PARTIES For Prime Charter, LTD., hereinafter referred to as "Claimant": Eric J. Shames, Chief Legal Officer, Fahnestock & Co, Inc., New York, New York. David Katlic, hereinafter referred to as "Respondent", appeared pro se. CASE INFORMATION

New York Stock Exchange f n the Matter of Arbitration Between NYSE Case: Frances R. Liles v. Menill Lynch Attorneys: For Claimant(s): Frances R. Liles - Richmond, VA For Respondent(s): Daren A. Luma Esq. - New York, NY Date Filed: 09A)6/2002 First Scheduled: 06/15/2003 Decided: 7/7/03 Case Summary: The statement of claim alleges unsuitable investment recommendations and misrepresentation. Product: ECU l\^arket: Other Claim Data C

i NYSE .ew York Stock Exchange In the Matter of Arbitration Between Case: Harry M. Graves, Jr. v. Merrill Lynch Pierce Fenner & Smith Inc. and Merrill Lynch & Company, Inc. Attorneys: For Ciaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Fran Chlapowski - New York, NY Date Filed: 9/3/2002 First Scheduled: 9/8/2003 Decided: ^ / 2 . i . / o 3 Case Summary: Customer claimant alleges breach

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John G. Hill, As Tmstee For The Hill Family Trust v. Menill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attomeys: For ClaimantCs): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Francis Chlapowski Esq. - New York, NY Date Filed: 09/03/2002 First Scheduled: 02/19/2003 Decided: 7/7/03 Case Summary: Claimant alleges that Menill Lynch Pie

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott, L.L.C. v. Thomas Henry Yarborough Attomeys: For Claiinant(s): Howard A Teacher Esq. - Fort Lauderdale, FL For Respondent(s): Marc Dcbin Esq. - Jupiter, FL Date Filed: O8/20/2002 First Scheduled: O8/O6/2003 Decided: 8/6/03 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note. Respondent filed counter

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Norman R. Bloxham and Teri Dickey Bloxham vs. I^organ Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc. Attorneys: For Ciaimant(s): Christopher Vernon - Naples, FL For Respondent(s): Todd Zuckerbrod - West Palm Beach, FL For Srd Party: Date Filed: 8/2/2002 First Scheduled: 10/13/2003 Decided: 11/11/03 Case Summary: Customers vs. Member Firm alleging ov

1**^ 0 NYSE New York Stock Exchange In the Matter of Arbitration Between L. Case: Don Le vs. I^errill Lynch and Robert J. Boschee Attorneys: For Claimant(s): Stephen Murphy - Phoenix, AZ For Respondent(s): Dennis Rape - New Yorl< , NY For 3rd Party: DateFiled: 8/8/2002 First Scheduled: 3/20/2003 Decided: 10/23/2003 Case Summary: Customer vs. i^ember Firm and Registered Rep alleging failure to warn of risks, recl< less conduct,

New York Stock Exchange Jn the Matter of Arbitration Between NYSE Case: Floience Kusher 1TEE Fam. Survivors, Florence Kusher and Florence Kusher TIEE Kuslier Tr DTD 5/1/93 vs. AG. Edwards & Sons, Inc and Michael Fanaman Attorneys: For Claimant(s): Arthur S. Leider - San Diego, CA For Respondent(s): Daryl S. Landy Esq. - San Francisco, CA Date Filed: O8/OI/2002 First Scheduled: 04/29/2003 Decided: ^ay 26, 2003 Case Summary: Customers