New York Stock Exchange NYSE n the Matter of Arbitration Between Case: Bemice Grife v. Janney Montgomery Scott Attomeys: ror Clalmank< s}: Tova Weiss Esq. - Southampton, PA For Respondent(s): Elizabeth Fay Esq. - Philadelphia, PA Date Filed: 04/19/2002 First Scheduled: 03/18/2003 Decided: 7/14/2003 Case Summary: The statement of Claim alleges breach of fiduciary duty, breach of contract and fraud. Product: EQU iVIarket: other Claim Data Award

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Pmdential Securities Inc. v Kristal Cooper Attorneys: For Claimant(s): Laurie A. Rompala Esq. - Chicago, IL For Respondent(s): Kristal Cooper - Detroit, Ml Date Filed: 04/12/2002 First Scheduled: Decided: 07/16/2003 Case Summary: Claimant, a member firm, has alleged that respondent, a customer, breached her agreement by failing to pay for a debit balance i

New York Stock Exchange In the Matter of Arbitration Between ^ NYSE Case: Merrill Lynch Pierce Fenner Smith Inc. v. Fotis Georgiadis a/k/a Georgiadis Fotis Attorneys: For Claimant(s): J. Martin Acevedo Esq. - Wethersfield, CT For Respondent(s): Georgiadis Fotis - North Stonington, CT Fotis Georgiadis- North Stonington. CT Date Filed: 04/i5/20(|2 First Scheduled: 05/22/2003 Decided: 5/22/03 Case Summary: Member firm claimant alleg

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v Julian Curry Attorneys: For Clalinant(s): David Bennet Ross Esq. - New York, NY For Respondent(s): W. Dan Boone Esq. - New York, NY Date Filed: 04/08/2002 First Scheduled: 11/14/2002 Decided: 09/02/2003 Case Summary: Claimant, a member fimi, has alleged that respondent breached his agreement by failing to repay nrwney owed pursuant to

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John E. Muus v A.G. Edwards & Sons, Inc. Docket Number: 2002-010112 Attomeys: For Claimant(s): Edward Jaffe - New York, NY For Respondent(s): Phyllis Hartrich - St. Louis, MO Date Filed: 3/15/2002 First Scheduled: 3/19/2003 Decided: 12/19/2003 Case Summary: Claimant, a former employee, has alleged that he was wrongfully terminated. Product: None

."Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dulal KantI Ganguly v. Swiss American Securities, Inc., Credit Suisse Private Banking Inc. & Credit Suisse First Boston Corporation Attorneys: For Claimant(s): D. K. Ganguly - Netherland, For Respondent(5): /yian N. Taffet Esq. - New York. NY Date Filed: 03/25/2002 First Scheduled: 06/10/2003 Case Summary: Customer claimant alleges breach of fiduciary duty, misrepresen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-03744 Russell K Stabley Name of Respondent Hearing Site: Boca Raton, Florida Leon Manaker REPRESENTATION OF PARTIES For Russell E. Stabley ("Stabley"), hereinafter also referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, Florida. For Leon Manaker ("Manaker"), hereinafter referred to as ("Respondent"

p NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Birdie G. Rosenthal v. UBS PaineWebber Inc., Prudential Securities Inc., Legg Mason Wood Walker Inc. Attorneys: For Ciaimant(s): Jeffrey Kaplan - Miami, FL For Respondent(s): Craig Stein - Fort Lauderdale, FL Date Filed: 3/18/2002 First Scheduled: 9/9/2003 Decided: 11/20/2003 Case Summary: Customer claimant alleges unsuitable purchases in securities inc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Arthur H. Aufses, M.D. and Harriet Aufses vs. Morgan Stanley & Co., Inc. Attorneys: For Claimant(s): David B. Wechsler Esq. - New York, NY For Respondent(s): James D. Yellen Esq. - New York, NY Date Filed: 03/i 9/2002 First Scheduled: 07/24/2002 Decided: 05/16/2003 Case Summary: Customers vs. Member Firm alleging "Shingle Theory' securities fraud, breach of fiduciary

Jew York Stock Exchange NYSE In the Matter of Arbitration Between Case: John Burke v ING Baring LLC Attorneys: For Claimant(s): John Burke - Beverly Hills, CA For Respondent(s): Paul J. Loh Esq. - Los Angeles, CA Date Filed: 02/06^002 First Scheduled: Case Summary: Claimant, a fonner emptoyee, has alleged that he he did not receive severance pay in violation of ERISA. Product: 02/25/2002 Decided: 07/22/2003 was tenminated