i NYSE New Yorl( Stocic Excliange In the Matter of Arbitration Between Case: Prudential Securities, Inc. vs. Timothy 3. O'Brien Attorneys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Timothy O'Brien - Richland, NJ For Srd Party: Date Filed: 6/11/2002 First Scheduled: 4/3/2003 Decided: 9/17/03 Case Summary: Member Firm vs. Registered Rep/Customer (former employee) alleging Respondent failed to respo

New York Stock Exchange Jn the Matter of Arbitration Between NYSE Case: Wendell A. Gresham v. A.G. Edwards & Sons. Inc., William Gibbs and Susan Saccone Attorneys: For Claimant(s): Edward G. Dovin Esq. - Atlanta, GA For Respondent(s): Peter J. Anderson Esq. - Atlanta, GA James C. Browning, Jr. Esq. - St. Louis, MO Date Filed: O6/12/2002 First Scheduled: 06/02/2003 Decided: 07/08/2003 Case Summary: Claimant, a public customer, alleges

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Merrill Lynch v Chang Ruei-Chan Attomeys: For Claimant(s): Spencer Schneider - New York, NY For Respondent(s): Sean O'Shea - New York, NY For Srd Party: Date Filed: 5/14/2002 First Scheduled: 1/22/2003 Decided: 10/15/2003 Case Summary: Claimant, a member firm, has alleged that respondent failed to retum dividends which he received in error. Product: Mar

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Fahnestock & Co. Inc. v Charles W. OTSIeal Attomeys: For Claimant(s): Eric Shames - New York, NY For Respondent(s): Charles OTSfeal - Lake St. Louis, MO For 3rd Party: Date Filed: 5/6/2002 First Scheduled: 9/16/2003 Decided: 10/14/2003 Case Summary: Claimant, a member firm, has alleged that respondent breached his contract by failing to repay money owed

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carole Bach v Fahnestocl< & Company and l^organ Stanley Dean Witter Attorneys: For Claimant(s): Stuart Goldberg - Garden City, NY For Respondent(s): Evelyn Bul< chin - New York, NY James Yellen - New York, NY James Basile - Washington, DC Date Filed: 5/7/2002 First Scheduled: 5/9/2003 Decided: \iHlo5 Case Summary: Claimant alleges that respondent was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Joanne Guasto Janine Nutter Case Number: 01-03745 Name of the Respondents First Avantus Securities Inc. F/k/a First Financial Investment Securities, Inc. David T. Hayes Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Joanne Guasto ("Guasto") and Janine Nutter ("Nutter"), hereinafter collectively referred to as "Claimant

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Diana Eden v. Bear Steams & Co., Inc. and Betsy L. Whipple Docket Number: 2002-010255 Attomeys: For Clainiant(s): Leonard Steiner - Beverly Hills, CA For Respondent(s): Gregory E. Copeland - Long Branch, CA Date Filed: 5/8/2002 First Scheduled: 04/19/2005 Decided: 5/16/05 Case Summary: Customer Claimant alleges unsuitability, breach of contract, breach of f

.Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Annette Adams v Salomon Smith Bamey Attomeys: For Clalmant(s): Maxwell Blecher Esq. - Los Angeles, CA Kevin M. KInne Esq. - PIttsfield, MA Daniel R. Sdin Esq. - Bonita Springs, FL For Respondent(s): Sean J. Coughlin Esq. - New York, NY Dena L. Murphy Esq. - Long Beach, CA Date Filed: 04/24/2002 First Scheduled: 04/29/2003 Decided: May 16, 2003 Case Summa

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Inc. v Charles A. Beaucond Attomeys: For Claimant(s): Steven Gomberg - Chicago, IL For Respondent(s): Charles Beaucond - Kapolea, HI For 3rd Party: Date Filed: 4/24/2002 First Scheduled: 9/24/2003 Decided: 10/14/2003 Case Summary: Claimant, a member firm, has alleged that respondent failed to repay money owed pursuant to a promissory n

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Douglas Martineau vs. Quick & Reilly and Pamela Gorden Attorneys: For Claimant(s): Douglas Martineau - West Haven, CT For Respondent(s): John McGuire Esq. - New York, NY Date Filed: 04/22/2002 First Scheduled: 06/16/2003 Decided: 06/17/2003 Case Summary: Customer vs. Member Firm and Registered Rep alleging failure to follow instructions regarding a purchase of stock