Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of ftp Plaimant Caw Number- 01 -04S1Q Elizabeth Tudor Hearing Site' Dallas, Texas Morgan Stanley DW Inc. RFPRFSFNTATTOi QF PARTTFS Claimant Elizabeth Tudor ("Tudor") was represented by Joseph D. Sheppard, HI, Esq. of the firm of Carnahan, Evans, Canrwell & Brown, P.C., located in Springfield, Missouri. Respondent Morgan Stanley DW Inc. ("MSDW") was represented by Howard

New York Stock Exchange Kn the Matter of Arbitration Between / NYSE Case: Lawrence 0. Halpin v PaineWebber Attorneys: For Clainiant(s): Lawrence C. Halpin - Edison, NJ For Respondent(s): Robert Berson Esq. - Weehawken, NJ Date Fiied: 12/23/91 First Scheduled: 08/19/92 Oecided: O8/19/92 Case Summary: Customer against Member Firm for alleged mismanagement Product: IRA Marltet: NYSE Claim Data Claim: $6,780.35 Punitive

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Edwards, Claimant v. Morgan Stanley Dean Witter & Co. Inc., Mary G. Meeker, George E. Dyer, and James E. Bluebell, Respondents Case Number: 01-04816 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Fernetz, LLP Newport Beach, California For Respondents: William H. Pratt, Esq. Kirkland & Ell

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Hutton, Inc. v. Michael Cakiuri Attorneys: For ClainMmt(s): Michael R. Wherry Esq. - Milwaukee, Wl Fbr Respondent(s): Daniel W. Hiklebrand, Esq. - Madison, Wl Date Filed: 07/17/90 First Scheduled: os/02/91 Decided: (J.P'ij9ob Case Summary: Claimant seeks to recover from Respondent the sum of $149,862.60 plus interest on an undated note and the sum of

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Morton Teitelbaum, Trustee Defined Benefit Keogh Pension Plan Fund v. Mony Securities Corporation and Michael Heaney Jr. v. National Rnancial Services Corp. m Attorneys: For Claiinant(s): Dennis Bell Esq. - Chicago, IL Fbr Respondent(s)'. Gerald Carroll, Sr. Esq. - New York, NY James Rothenberg Esq. - New York, NY For 3rd Party: Robert Bramnlck Esq. ' Ctiic

New York Stock Exchange Tn the Matter of Arbitration Between NYSE wdse: James C. Price and Velaa P. Price v Jerome Brick Attorneys: Por Ciainianl(s): Peter Shasffer Esq. - Chicago, IL For riespondaiiXs): Rosemarie J. Guadnolo Esq. - Chicago, IL Date Filed: 07/i2«o First Scheduled: 01/11/&1 Decided: ^/j6/«r2 Case Summary: customers ck^maX registered representative loi unauthorised trades in options, pdy n' save stock. Fahire to Uquidata a

New York Stock Exchange In the Matter of Arbitration Between A NYSE Case: Kidder, Peabody & Company, Inc. vs. Irene A. Gillis Attorneys: For Clalmant(s): Richard Kelly Esq. - New York, NY Fbr Respondent(s): Irene A. Gillis - Cincinnati, OH Date Filed: 04/05/90 First Sciieduled: O8/09/90 Decided: 09/15/92 Case Summary: Claimant, a member firm, elleges Respondent, a customer, engaged in a fraudulent act with respect to Respondent's acc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sliearson Lehman Hutton, inc. vs. Panna Mehia Attorneys: f^ CialnMnl(t}: Linda G. Wilson Esq. - Atlanta, QA for Raspondenl(s}: Panna Mahta - Louisville, TN Date Filed: os/os/so First Scheduled: OS/OMI Decklad: Aa//^ /jx Case Summary: Member Firm agalrat Customer lor dobK balance reauMng from (aAjre to meat margin eaN. Product: Market: NYse Claim D

New York Stock Escchange In tlie Matter of Arbitration Between Case: Snith, Barney, Harris, Uphan i Co. vs. Robert Lacey ittorneys; ijgene 4. Pfark'Esq. - New Vork, NY For RespondentCs):, .^ ^. Robert Lacey - nanetta, Gfl NYSE Date Filed: 06/14/90 First Scheduled; 08/ZE./32 Case Sunaary; Clainant alleges breach of pronissory note obligations Clain Data Clain: $50,000.00 Punitive: SO.OO Atty Fees: $0.00 Deposit; $300.00 $1

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shaanon Lehman Hutton. Inc. vs. Charles & Mary Ann Wbon Attorneys: Far OUttmriffi: Sara A Ford Esq. - Adania. GA Far Ranpondantfn): Cliarlaa & Mary Am Wilson - HomoMad, FL Date Filed: 07/09/90 Rrst Scheduled: 06/10/02 Decided: 6/11/92 Case Summary; claimant allege respondents failed to fue debit balance ofafii^ns which occurred during tha coma of trading uncovered OE