Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Orlandes R. Shuemake, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-03933) Mario D. Guillermo, individually and as Trustee of the Guillermo Family Trust, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-04090) Reginald A. Rashid and Belinda Rashid, Claimants v. Morgan Stanley DW Inc., David J

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bobby Donald Gotten v. Smith Barney Inc. Attorneys: For Ciaimant(s): Bobby Donald Gotten - Memphis, TN For Respondent(s): Etta E. Gumbs Esq. - New Yorl(, NY Date Filed: 03/02/1999 First Scheduled: 07/14/1999 Decided: 8/11/1999 Case Summary: Glaimant alteges respondentignored claimant's orders to transfer the account thereby creating losses of approximantely

/ New York Stock Exchange In the Matter of Arbitratioii Between NYSE Case: WUNam Lincoln Malama v. Josephttial & Co. Inc. .AtlDmeys: fxti Clalmanlls): Vniam A. Jacobaon Eaq. - PnvUenoB, RI For Rsspondanlfs): Brian Nevills Esq. - Nofw York. NY Date RIed: 02^5/1999 First Scheduled: 08^9/1999 Decided: 08/31/1999 Case Summary: cuatomerdaimanl allege •xcBsaiwcommlaBtoncha.BM- CUJiwnt requeated danagea at the hearing Product OTHER Mark

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Vincent and Dora Camso, IndivMaully and as Co-Tnistees of the Vincent Caruso Living Trust and the Dora Camso Living Tmst v. (Raymond James & Assodates, Inc. " Attomeys: For ClaimantCs): Lonnte K. Martens Esq. - West Palm Beach, FL For ltespondent(s): Deborah J. Howard Esq. - St. Petersburg, FL Date Filed: 02/26/1999 First Scheduled: 09/15/1999 Decided: 12/15/1999

;New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerome Hinkia v. Pnidential Securlttes Incoiporated V^ttomeys: For Claimant(s): Jerome Hinkte - Boca Raton, FL For Respondent(s): Darteen Monaco Esq. - New York, NY Date Filed: Q2A)9/igg9 First Scheduled: 07/22/1999 Decided: 07/22/1999 Case Summary: Customer claimant alleges mismanagementand unsultebte investments. Product: other Maritet: Claim Data

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kenneth D. Laub vs. Merrill Lynch and Thomas F. Wiegand Attorneys: For Ciainnant(s): Marc S. Dreter Esq. - New York, NY For Respondent(s): Arthur H. Sobel Esq. - New York, NY Date Filed: 02/16/1999 First Scheduled: 07/21/1999 Decided: 11/08/1999 Case Summary: Customervs. Member Firm and Registered Rep alleging misrepresentations and omissions, fraud, foilure to exerc

NieW In York Stock Exchange the Matter of Arbitration Between NYSE Ciise: Rodrigo Fernandez Salvador and Robert Link v Merrill Lynch. Pierce, Fenner & Smith Incorporated, Men'ill Lynch International Incorporated, ani Walter Elliott At;orneys: For :iaimant(s): Jeffr iy Liddte Esq. - New York, NY Fclr Respondent(s): Ectw n L. Noel Esq. - St. Louis, MO Dai J Filed: 02/09/1999 First Scheduied: 10/12/1999 Decided: 03/15/2001 Ci IE

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securlttes Incorporated v. Gtenn Rubin Attomeys: For Claimant(s): Arthur Baumgartner Esq. - New York, NY For Respondent(s): Eric Ross Esq. - New York, NY Date Filed: 02/16/1999 First Scheduied: 06/10/1999 Decided: 10/26/1999 Case Summary: Claimant, a member firm, alleges respondent, a registered representative and former employee, breached the temis of a

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v Rex Boehler Attorneys: For Ciaimant(s): Richard G. Masterson Esq. - New York, NY For Raspondent(s): Rex Boehter - Grand Island, NE Date Fiied: 02/01/1999 First Scheduled: 06/02/1999 Decided: 09/07/1999 Case Summary: Claimant alleges Respondenthas felled to pay debit on his promissory note to setUe margin call on catUe contra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Denise K. Shull v William Bonfanti, Michael Rutigliano, W.J. Bonfanti, Inc. Attorneys: For Claimant(s): Kenneth W. Sullivan Esq. - Chicago, IL For Respondeiit(s): Thomas J. McCabe Esq. - New York, NY Date Filed: 01/27/1999 First Scheduied: 09/08/1999 Decided: 12/16/1999 Case Summary: Claimant alleges breach of contract regarding her employment agreementand fraudulent