• NYSE New York Stock Exchange ID the Matter of Arbitration Between Case: John Tiipi vs. Morgan Stanley Dean Witter, Inc. Docket Number 2002-010491 Attorneys: For Clainuuit(s): Howaid Meyers - New Yoik, NY For Respondent(s): Joseph Seiino, Jr. - New York, NY James Yellen - New Yoil^ NY Date Filed: 7/19/2002 First Scheduled: 4/16/2003 Decided: 7/13/2004 Case Summaiy: Claimant, a retail broker dien employed by respondent and who traded

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerard D. Kiley, Jr. vs. Goldman Sachs & Company Docket Number: 2002-010448 Attomeys: For Claimant(s): Lawrence Klayman - Boca Raton, FL For Respondent(s): C. Evan Stewart - New York, NY Michael Lawson - San Francisco, CA Date Filed: 7/3/2002 First Scheduled: 6/1/2004 Decided: 7/26/2004 Case Summary: Customer claimant alleges breach of fiduciary duty, o

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dorothy Richardson v. Merrill Lynch Pierce Fenner & Smith and James H. Graham, Jr. Docket Number: 2002-010419 Attomeys: For Claimant(s): Stephen Springer - Philadelphia, PA For Respondent(s): Matthew Plant - New York, NY Date Filed: 6/10/2002 First Scheduled: 6/3/2003 Decided: ^M/cy Case Summary: The Statement of Claim alleges unsuitable investments,

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alfi-ed, Linda and Mark Vigorito v. UBS PaineWebber Docket Number: 2002-010412 Attorneys: For Gaimant(s): Tracy Pride Stoneman - Westcliffe, CO For Respondent(s): Donald Davidson - New York, NY Date Filed: 6/21/2002 First Scheduled: 1/13/2004 Decided: 7/15/04 Case Summary: Customer claimants allege over-concentration in World Com, unsuitability, misrepresen

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-03572 The Estate of Stephen Lysk, Deceased, By Sharon Weldon, Personal Representative Names of Respondents Hearing Site: Tampa, Florida J.B. Hanauer & Co. James J. Phelps REPRESENTATION OF PARTIES For The Estate of Stephen Lysk, Deceased, By Sharon Weldon, Personal Representative, hereinafter referred to as "Claimant": Jeffrey P. Coleman, Esq., Coleman Law

i NYSE New York Stock Exchange In the Scatter of Arbitration Between Case: Robert P. Jones v. Edward Jones and Frank Cimino, Individually Attorneys: For Claimant(s): Andrew Katsock - Plains, PA For Respondent(s): Wendy Menghini - St. Louis, MO Date Filed: 5/29/2002 First Scheduled: 9/24/2003 Decided: 9/25/03 Case Summary: Claimant seeks damages for losses sustained due to the negligence and Improper handling (unsuitability) of Cl

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Samuel B. Weiner Profit Sharing Plan, Samuel B. Weiner, and Frances M. Weiner v. Bradley R. Kastan and UBS Paine Webber, Inc. Docket Number: 2002-010335 Attomeys: For Claimant(s): Gary Greenwald - Columbus, OH For Respondent(s): Jeffrey Jones - Columbus, OH Date Filed: 5/23/2002 First Scheduled: 4/9/2003 Decided: T/^/^Y Case Summary: The Stateme

•NYSE 4ew York Stock Exchange In the Matter of Arbitration Between Case: Mary Musil, individually and as Executor on Behalf of Estate of Leonard M. Musil v Prudential Securities and Karra Canum Docket Number: 2002-010138 Attomeys: For Claimant(s): Nancy M. Battel - Campbell, CA For Respondent(s): Julie L. Taylor - San Francisco, CA Date Filed: 4/1/2002 First Scheduled: 06/24/2003 Decided: 11/25/2004 Case Summary: Claimant, a cust

•NYSE , New York Stock Exchange I In the Matter of Arbitration Between Case: Florence and Nina Platzer v Merrill Lynch and Susan Brody Docket Number: 2002-010134 Attomeys: For Claimant(s): Christine Bae - New York, NY Herbert Deutsch - Garden City, NY For Respondent(s): Matthew Plant - New York, NY Date Filed: 4/16/2002 First Scheduled: 11/22/2002 Decided: 8/04/2004 Case Summary: Claimants, customers, have alleged that respondent

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: CIBC World Markets Corp., v. Maxim Growth Fund LP and James David Ritter a/k/a David Ritter Docket Number: 2002-010125 Attomeys: For Claimant(s): Joseph Sullivan III - New York, NY For Respondent(s): James Ritter - Oceanside, NY Date Filed: 4/5/2002 First Scheduled: 8/19/i2003 Decided: 07/25/2004 Case Summary: Claimant, a member firm, alleges breach