i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Albert P. Miranda, Josephine Miranda, and Maria Miranda v. Advest, Inc. Docket Number: 2002-010221 Attomeys: For Claimant(s): Brian Biggins - Rocky River, OH For Respondent(s): Dermis Concilia - Columbus, OK Date Filed: 5/3/2002 First Scheduled: 2/17/2004 Decided: Y/^/^ ^ Case Summary: Claimants brought separate claims against the Respondent Advest, Inc

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roger Stafford and Mary F. Stafford v. Merrill Lynch Pierce Fenner & Smith Docket Number: 2002-010188 Attomeys: For Clainiant(s): Wayne Schwartz - Plantation, FL For Respondent(s): A. Inge Seldon, III - Birmingham, AL Date Filed: 4/23/2002 First Scheduled: 9/11/2003 Decided: 5/11/04 Case Summary: Customer claimants allege misrepresentation, over-concentrati

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Barney Inc. v. Ivan Branconi a/k/a Ivan Braconi Docket Number: 2002-010132 Attomeys: For Claimant(s): Charles Pickett, Esq., New York, NY For Respondent(s): Ivan Branconi - Nassau, Bahamas, Ivan Branconi - Nassau, Bahamas, Date Filed: 4/1/2002 First Scheduled: 4/14/2004 Decided: 4/14/04 Case Simimary: Member firm claimant alleges breach of

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Damian Pudjiadi v. Morgan Stanley Dean Witter Docket Number: 2002-010126 Attomeys: For Claimant(s): James Marlen - Dallas, TX For Respondent(s): Michael Stanley - Houston, TX Date Filed: 4/11/2002 First Scheduled: 4/27/2004 Decided: 6/3/2004 Case Summary: Claimant, a public customer, alleges fraud, negUgence, unsuitability, chuming, unauthorized trading

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Spine Surgery, Inc., and Jim Odor, M.D. Trustee v. Sands Brothers, Inc., Sands Brothers & Co., Ltd., Martin S. Sands Steven B. Sands, Basil Bullard, Jay Russo and Peter Silverman Docket Number: 2002-010117 Attomeys: For Claimant(s): William Federman - Oklahoma City, OK For Respondent(s): Richard Roth - New York, NY Date Filed: 4/2/2002 First Scheduled: 2/24

•iMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Goldin, Sidney v. Morgan Stanley Dean Witter Docket Number: 2002-010089 Attomeys: For Claimant(s): James Marlen - Dallas, TX Alfred Ruebel - Dallas, TX For Respondent(s): Anne Cooney - San Francisco, CA Date Filed: 3/25/2002 First Scheduled: 10/15/2002 Decided: U^-ijoi Case Summary: Claimant, a public customer, alleges unsuitability, breach of fiduciary dut

' NYSE Regulation NYSERcguktioo In the Matter of Aibitration Between Case: Adrienne Alexanian v. MerriU Lynch, Gina Drew, Francis T. Gain, Nile Pullin and Andrew Rebel Docket: 2002-010072 Attorneys: for Clainiant(s): Marc S. Koplik - New Yoik, NY For Respondent(s): James Batson - New York, NY Joel S. Foiman - New York, NY Date Hied: 3/20/2002 Firrt Scheduled: 01/16/2003 Decided: Case Summary: Qaimant, a public customer, alleges unsuitability

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Quality Mold, Inc., Steve Zoumberakis, Michael Politis & James Sinfield v. Morgan Stanley Dean Witter and Robert J. Beausoleil & Eric J. Grossman Docket Number: 2002-010006 Attomeys: For Claimant(s): Douglas Kutsko - Rocky River, OH For Respondent(s): Keimeth Bravo - Cleveland, OH Date Filed: 3/4/2002 First Scheduled: 1/12/2004 Decided: ifJ7/Thf Cas

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John R. Warren, Individually and On Behalf Karin Z. Warren, Individually and On Behalf Marion Waag, Individually v. Merrill Lynch Pierce Fenner & Smith v. Shadi Dabit Docket Number: 2002-010064 Attomeys: For Claimant(s): Stephen Mansfield - Oklahoma City, OK For Respondent(s): Michael CNeil - Oklahoma City, OK For 3rd Party: Shadi Dabit - Nonnan, OK Date Filed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jerome Anthony Jacobs and 01-03428 Denver, Colorado Names of .Respondents Financial Network Investment Corporation Financial Planning & Implementation Corporation David R. Wells REPRESENTATION QEPARTIES Jerome Anthony Jacobs ("Jacobs") appeared pro se. Financial Network Investment Corporation ("FNIC"), Financial Planning & Implementation Corpo