i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Cary C. Dixon v. Salomon Smith Bamey Inc. and Joseph Jones Docket Number: 2002-011231 Attomeys: For Claimant(s): Tim Wright - Stuart, FL For Respondent(s): Edward Turan - New York, NY Joseph Coates, III - West Palm Beach, FL Date Filed: 12/24/2002 First Scheduled: 3/3/2004 Decided: 3/3/2004 Case Summary: Customer Caimant alleges unsuitable trading,

«... I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wachovia Securities Inc. v. Gary Stephen Hamilton Docket Number: 2002-011218 Attomeys: For Claimant(s): David Ward - Boston, MA For Respondent(s): Gary Hamilton - Greenwood Village, CO Date Filed: 12/20/2002 First Scheduled: 2/3/2004 Decided: 2/3/04 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Linda Sue Parton v. Prudential Securities Docket Number: 2002-011205 Attomeys: For Claimant(s): Daniel Woska - Oklahoma City, OK For Respondent(s): Lewis Carter - Tulsa, OK Date Filed: 12/9/2002 First Scheduled: 3/9/2004 Decided: X//V^< ^^ Case Summary: Customer alleges that Prudential Securities, Inc. practiced unsuitable transactions in her 40IK ro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-03447 VMR Capital Markets, claimant vs. Kert St. John, respondent. ATTORNEYS: For Claimant appeared H. Thomas Fehn, Esq., of the firm Fields, Fehn & Sherwin, Los Angeles, CA. Respondent appeared pro se, La Jolla, CA. DATE FILED: June 29, 2001 CASE SUMMARY: Claimant alleged that upon termination of his employment respondent failed to repay money owed under the terms of the Hiring Agre

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Adelaide Jacobs v. Muriel Siebert & Company Inc. v. Richard D. Nirenberg Docket Number: 2002-011161 Attomeys: For Claimant(s): Delmer Gowing, III - Delray Beach, FL For Respondent(s): Hiram Gordon - New York, NY Marc Rubin - Miami, FL For 3rd Party: Richard Nirenberg - Boca Raton, FL Date Filed: 12/16/2002 First Scheduled: 1/29/2004 Decided: 4/29/04

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frances Ferrara, Kathleen Swedish and Frederick Swedish v. Morgan Stanley DW, Inc. Attorneys: For Claimant(s): Robert Helm - New York, NY For Respondent(s}: Thomas Keene - New York, NY Date Filed: 12/12/2002 First Scheduled: 9/29/2003 Decided: Case Summary: Public customer v. member firm alleges unauthorized purchase of bonds, failure to supervise,

• NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Keimeth L. Irving v Salomon Smith Bamey and Michael Lent and WiUiam Lent Docket Number: 2002-011137 Attomeys: For Claimant(s): Brian Neville - New York, NY For Respondent(s): Denise Mulvihill - New York, NY Date Filed: 12/12/2002 First Scheduled: 6/7/2004 Decided: 6/10/04 Case Summary: Customer v. member firm and registered rep. alleges unsuitable recommend

'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ann Sininsky v. Salomon Smith Barney, Inc. and Lewis Siegel Docket Number: 2002-011136 Attorneys: For Cla!mant(s): Morgan Bentley - Newark, NJ For Respondent(s): Etta Gumbs - New York, NY Date Filed: 12/11/2002 First Scheduled: 6/4/2003 Decided: 4/5/04 Case Summary: Public customer v. member firm and registered rep. alleges breach of fiduciary duty, churning

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Luther Abrahamson and Marilyn Abrahamson vs. Merrill Lynch Docket Number: 2002-011134 Attomeys: For Claiinant(s): Kerry Jardine - Englewood, CO For Respondent(s): Howard Ross Cabot - Phoenix, AZ Date Filed: 12/16/2002 First Scheduled: 11/18/2003 Decided: 4/16/2004 Case Summary: Customers vs. Member Firm alleging unsuitable investments, unauthorized transactions

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case Hiba Hussain v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011127 Attomeys: For Ciaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Frances Chlapowski - New York, NY Date Filed: 11/29/2002 First Scheduled: 1/30/2004 Decided: 2/27/04 Case Summary: Claimant alleges that Merrill Lynch Pierce Fen