New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Steven Brett Sands, Martin Scott Sands, Kevin Robert Connors, Bill IHoward v. Deborah Traficante, Michael Centrella, Michael Kirby and Deborah Kirijy Attorneys: For Claimant(s): Richard A. Rotti Esq. - New Yori< , NY For Respondent(s): Thomas A. Hargett Esq. - Indianapolis, IN Date Filed: 02/27/2003 First Scheduled: 05/13/2003 Decided: 05/13/2003 Case Summary: Registered repr

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael Ricupito, Joseph Ricupito, John McGowan, Vikram Koshik, William Cliff, Ron Fair, Davind Fong, Albert Lewis, Christopher Louie, Jore Montane, Michael Lee, Theodore Okazaki, Elson Seiki and Ignatio Tselezidis v UBS PaineWebber, Inc. Attorneys: For Claimant(s): Nancy Undem - Montecito, CA For Respondent(s): David Fry - San Francisco, CA Date Filed: 2/24/2003

"iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Francis X. Lane v. Miller Tabak « Co., LLC Aaorney.=- For Claimant(s): Wendie L. Elovich Esq. - Little Silver, NJ For Respondent(s): Thomas B. Decea Esq. - White Plains, NY Date Filed: 02/05/2003 First Scheduled: 06/16/2003 Decided: August 15, 2003 Case Summary: independent Broker v. Member Firm asseds that he entered into an empk>yment agreement with respondent Cla

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas Daly v. Salonwn SrTiith Bamey, Inc. Attorneys: For Claimant(s): Robert J. Bergson Esq. - New Yort(, NY For Respondent(s): Marcie 8. Mintz Esq. - New York, NY Date Filed: 02/12/2003 First Scheduled: 08/12/2003 Decided: 0^/2./2003 Case Summary: Registered rep. v. member firm alleges wilful and wrongful withholding of eamed wages in violation of Article 6 of the N

I NYSE New Yoric Stocic Exchange In the Matter of Arbitration Between Case: Margaret Rogers vs. Prudential Securities, Inc. and Mark Serio Attorneys: For Ciaimant(s): James Burgess - Sarasota, FL William Kirtley - Sarasota, FL For Respondent(s): Joseph Coates - West Palm Beach, FL For Srd Party: Date Filed: 2/14/2003 First Scheduled: 10/16/2003 Decided: 10/17/2003 Case Summary: Customer vs. Member Firm and Registered Rep

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03701 Roan-Meyers Associates, L.P., claimant vs. Chris Borgo, respondent. ATTORNEYS: For Claimant appeared David A. Schrader, Esq., New York, NY. Respondent appeared pro se, Ft. Lauderdale, FL. DATE FILED: July 12, 2001 CASE SUMMARY: Claimant alleged that respondent failed to reimburse them for advances and customer debits in accordance with his Employment Agreement. Claim Data

i NYSE New Yoric Stocic Excliange In the Matter of Arbitration Between Case: Clifford Gannon v Salomon Smith Barney Attorneys: For Claimant(s): Clifford Gannon - Festus, MO For Respondent(s}: A. Jamie Schupp - Chicago, IL Date Filed: 2/4/2003 First Scheduled: 11/10/2003 Decided: 11/18/2003 Case Summary: Claimant alleges that he bought WorldCom stock on margin based on respondent's recommendation. Claimant alleges that he was

^NYSE E New Yoric Stocic Excliange In tlie Matter of Arbitration Between Case: Charles Schwab & Co., Inc. vs. I^ichael J. Wertheimer, an individual and the Michael J. Wertheimer Revocable Trust Attorneys: For Ciaimant(s): Garrett Wynne - San Francisco, CA For Respondent(s): Michael Wertheimer - Palm Bay, FL For Srd Party: DateFiled: 2/7/2003 First Scheduled: 10/16/2003 Decided: 10/16/2003 Case Summary: Member Firm vs. Cus

.ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Martin Greer and Constance Greer vs. Fidelity Brokerage Attorneys: For Claiiiiant(s): Martin Greer - Tampa, FL For Respondent(s): Richelle S. Kennedy Esq. - Boston, MA Date Filed: 01/21/2003 First Scheduled: 07/16/2003 Decided: j^^y 16, 2003 Case Summary: Custoniers vs. Member Firm alleging misrepresentations about the nature of claimants' investment in Media One

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Conner etal. v. UBS PaineWebber, Incorporated, Prudential Securities, Incorporated, Michael Ihrie, and Supervisory Principle Does x-y, et al. Attorneys: For Claimant(s): William Federman - Oklahoma City, OK For Respondent(s): Retta Miller - Dallas, TX Date Filed: 1/3/2003 First Scheduled: 11/18/2003 Decided: 12/8/2003 Case Summary: Claimants, customers, hav