••NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Walter Mehr and Jacqueline Mehr vs. Salomon Smith Bamey, Inc., Richard Drayton, Jr., Joya Fondo Drayton and Richard Drayton, ST. Docket Number: 2003-011680 Attome}rs: For Claimant(s): Thomas Landrigan - Chester, NY For Respondent(s): Jeff Grossman - Philadelphia, PA Joshua Hom - Philadelphia, PA Date Filed: 4/1/2003 First Scheduled: 6/1/2004 Decided: 6/7/20

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Credit Suisse First Boston, LLC vs. Michael C. Johnson Docket Number: 2003-011679 Attomeys: For Claiinant(s): Ronald Mysliwiec - New York, NY For Respondent(s): Laura Schnell - New York, NY Date Filed: 4/1/2003 First Scheduled: 1/13/2004 Decided: 3/5/2004 ) Case Summary: Member Firm vs. Registered Rep (former employee of predecessor firm - Donaldson, Lufkin

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott, LLC v. Charles A. Eordekian Docket Number: 2003-011621 Attomeys: For Clainiiant(s): Carrie Chelko - Philadelphia, PA For Respondent(s): Charles Eordekian - Watertown, MA Date Filed: 3/20/2003 First Scheduled: 2/12/2004 Decided: 2/12/04 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE R£SOLimON,INC. CASE: 01-03449 VMR Capita] Markets, U.S., claimant vs. Samuel B. Cea, respondent ATTORNEYS: For Claimant appeared H. Thomas Fehn, Esq., of the finn Fields, Fehn & Sberwin, Los Angeles, CA. Respondent appeared pro se, Tujunga, CA. DATE FILED: June 29, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under the terms of die Hiring Agreement. Claim Data

i NYSE New York Stock Exchange ) In the Matter of Arbitration Between Case: Pentad Securities, Inc. vs. Bear Steams Securities Corp Docket Number: 2003-011614 Attomeys: For Claimant(s): Fred Dietrich - Lakeland, FL For Respondent(s): J. Anthony Penry - Raleigh, NC Date Filed: 3/20/2003 First Scheduled: 1/13/2004 Decided: 1/16/2004 Case Summary: Non Member Firm/Correspondent Broker vs. Member Firm in a dispute over clearing ag

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Patrick 0. Walls and Frank L. Ottmers v. Southwest Securities, Inc. Docket Number: 2003-011565 Attomeys: For Claimant(s): Tracy Pride Stoneman - Denver, CO For Respondent(s): Corbet Bryant - Dallas, TX Date Filed: 3/12/2003 First Scheduled: 5/24/2004 Decided: ',//lyi-/ Case Summary: Customer claimants allege unsuitability, fraud, misrepresentation and omiss

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: J. Charles Burden v. Merrill Lynch, Pierce, Fenner 8i Smith Attorneys: For Claimant(s): Tracy Pride Stoneman - Westcliffe, CO For Respondent(s): Jonathan Neerman - Dallas, TX Date Filed: 3/11/2003 First Scheduled: 11/10/2003 Decided: 11/12/2003 Case Summary: Customer claimant alleges that the respondent invested his account in an aggressive growth por

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Phil W. Speers, Lisa M. Speers v. Merrill Lynch, Pierce Fenner & Smith, Inc., Randall J. Collis, Leo Monaco Docket Number: 2003-011559 Attomeys: For Claimant(s): Charles Wuest - Kingwood, TX, Deborah B. Hayes, Kingwood, TX, William Federman, Oklahoma City, OK For Respondent(s): D. Michael OTSIeil - Oklahoma City, OK Date Filed: 3/14/2003 First Scheduled: 2/

) ') I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Daniel D. Donati, Monica Donati v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2003-011544 Attomeys: For Claimant(s): Richard Lewins - Dallas, TX For Respondent(s): Jonathan Neerman - Dallas, TX Date Filed: 3/11/2003 First Scheduled: 1/26/2004 Decided: 1/28/04 Case Summary: Customer claimants contend that the respondent recom

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: WILLIAM A. STOOPS V. DEUTSCHE BANK SECURITIES, INC. Docket Number: 2003-011504 Attomeys: For Claimant(s): Blaine Bortnick - New York, NY For Respondent(s): John Pope - Newark, NJ Date Filed: 3/4/2003 First Scheduled: October 6, 2003 Decided: - ^ J J ^/z^c; o y Case Summary: Claimant, an equity salesman alleges that the respondents failed to p