I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alfred Pirn and Jemiie Pirri JTWROS vs. Investec Ernst & Company, Stuart Coleman & Company, Inc. and Barbara Norris Docket Number: 2002-010400 Attomeys: For Claimant(s): Robert Weiss - Jericho, NY For Respondent(s): Coren H. Stem - Ft. Lauderdale, FL Date Filed: 6/21/2002 First Scheduled: 8/26/2003 Decided: 5/4/2004 Case Summary: Customers vs. Member Fi

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James and Linda Blevins v A.G. Edwards & Sons, Inc., Erin Wideman, Ron Cowans and Montauk Financial Group Docket Number: 2002-010398 Attomeys: For Claimant(s): Sidney Jackson, III - Mobile, AL For Respondent(s): Nuviah Shirazi - St. Louis, MO Joseph Sullivan - New York, NY Date Filed: 6/18/2002 First Scheduled: 1/27/2004 Decided: 2/27/2004 Case Summ

^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Ostrowski v. Prudential Securities, Inc., David Capin and Bruce Taub Docket Numben 2002-010387 Attomeys: For Claimant(s): James A. Batson - New York, NY For Respondent(s): Cecilia Passaro - New York, NY Stephen L. Ratner - New York, NY Date Filed: 6/14/2002 First Scheduled: 02/03/2004 Decided: 10/13/2005 Case Summary: Claimant alleges respondent/forme

" NYSE Regulation NYSE Regulation In the Matter of Arbitration Between •• Jse. Carrie & Spencer Mohundro v. Olde Discount Corp. & Timothy Harrison Docket:2002-010324 Attorneys: For Claimant(s): Greg Thorpe - New Rochelle, NY For Respondent(s): Donald P. Wray - Detroit, Ml Date Filed: 5/10/2002 First Scheduled: 06/21/2005 Decided: 8/1/2006 Case Summary: Customer Claimants allege breach of fiduciary duty for failure to disclose Respondent's ma

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marsha Capen v Merrill Lynch, Nonnan Rockoff and David Lamb Docket Number: 2002-010315 Attomeys: For Claimant(s): Mark Astarita - Bloomfield, NJ For Respondent(s): Jack Ballard - Houston, TX Date Filed: 5/22/2002 First Scheduled: 2/17/2004 Decided: 4/13/2004 Case Summaty: explain the risks Product: None Claim Data: Claim: Punitive: A

• NYSE New York Stock Exchanse In the Matter of Arbitration Between Case: Charlene Banttt v. A.G. Edwards & Sons, Inc., Marc Stuckart and Matthew Stuckart Docket Number 2002-010304 Attomeys: For CIafnuint(i): Edward Dovjn - Atlanta, GA For Respondent(s): M. Jane Matoesian - St Louis, MO Date Filed: 5/20/2002 Rrst Scheduled: 3/29/2004 Decided: 5/08/2004 Case Summary: Claimant, a piiblic customer, alleges breach of fiduciaiy du

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Klaus Kuester, IRA, Brigitte F. Kuester, IRA and Klaus Kuester vs. Pmdential Securities, Inc. Docket Number: 2002-010302 Attomeys: For Claimant(s): Arthur Leider - San Diego, CA For Respondent(s): Paul W. Thomas - Carlsbad, CA Charles B. LaChaussee - San Francisco, CA Date Filed: 5/30/2002 First Scheduled: 12/16/2003 Decided: 6/16/2004 Case Summary: Custome

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Thomas Neild, Jr. and Nancy E. Neild v. Steven Karr and Pmdential Securities Inc. and Paine Webber Inc. Docket Number: 2002-010298 Attomeys: For Claimant(s): Richard Levenstein - Stuart, FL For Respondent(s): Glenn Kelly - West Palm Beach, FL Craig Stein - Fort Lauderdale, FL Randi Perry Spallina - Ft. Lauderdale, FL Date Filed: 5/20/2002 First Schedule

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03433 Kendall Anderson and Susan Anderson, claimants vs. Peter Han and Gruntal & Co., respondents. ATTORNEYS: For Claimants appeared Wayne A. Jagow, Esq., of the firm Jagow, Groves & Meinerts, Burnsville, MN. For Respondents appeared Monica R. Harris, Esq., in-house counsel, Great Neck, NY. DATE FILED: June 27, 2001 CASE SUMMARY: Claimants alleged that respondent Peter Han misr

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anthony Sarantakis, Christine Sarantakis, Jancar Ltd., Anthony Sarantakis UGTM and Nicholas Sarantakis v SO Cowen Securities Corporation Cowen & Co. and certain Jane and John Does Docket Number: 2002-010261 Attomeys: For Claimant(s): James Koch - Chicago, IL For Respondent(s): P. Benjamin Duke - New York, NY Date Filed: 5/1/2002 First Scheduled: 2/16/2003 D