New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Moses Freed, v. Morgan Stenley Dean Witter and Kerry Felski Attorneys: For Ciaimant(s): Dan Brecher Esq. - New York, NY For Respondent(s): Brett D. Sherman Esq. - New York, NY Date Filed: 01/17/2002 First Scheduled: 07/16/2002 Decided: 12/11/2002 Case Summary: Claimant, a public customer, alleges unsuitebillty regarding claimant's invesbnent objectives, fra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salomon Smitti Bamey, Inc. vs. Robert Lockhart Attorneys: For Claimant(s): Peter S. Lubin Esq. - Oak Brook, IL For Respondent(s): John A. Viggianelli Esq. - Viste, CA Date Filed: 01/22/2002 First Scheduled: 10/17/2002 Decided: 10/17/2002 Case Summary: Member Firm vs. Customer alleging teilure to meet margin caNs resulting In a liquidation and debit account batence, b

Vew York Stock Exchange In the Matter of Arbitration Between y y NYSE Case: Salomon Smitti Bamey, Inc. vs. Tlnmttiy Ray Larson Attorneys: For Claimant(s): Peter S. Lubin Esq. - Oak Brook, IL For Respondent(s): Timottiy R. Larson - San Diego, CA Date Filed: 01/28/2002 First Scheduled: 10/I6/2002 Decided: 10/16/2002 Case Summary: Member Firm vs. Customer alleging failure to meet margin calls resulting in a liquidation and debit acc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathryn Coon, Claimant v. Morgan Stanley DW Inc. and Alan S. Mann, Respondents Case Number: 01-03860 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Eve B. Fair Representative Las Vegas, Nevada For Respondents: Keith Guifoyle, Esq. Morgan Stanley DW Inc. New York, New York CASE INFORMATION Statement of Claim filed: July 20, 2001

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Artuso and Barbara Arbiso v. Menill Lynch Pierce Fenner Smitti Inc. and Menill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 10/2/2002 Case Summary: Customer daimant alleges breach of conttad, teilure to com

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William Birkenberger and Deborah Biri< enberger v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 10/3/2002 Case Summary: Customer claimant alleges breach of contta

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Bany C. Blass and Sophie L. Blass v. Merrill Lynch Pierce Fenner Smitti Inc. and Merrill Lynch & Company Inc. Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 10/1/2002 Case Summary: Customer daimant alleges breach of conbact, teilure to comply witt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harold G. Boe and Juditti Boe v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Case Summary: Customer daimant alleges breach of conbact, failure to comply connection witt

lew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: /\mold Briggs and Lorena Briggs v. Merrill Lynch Pierce Fenner Smitti Inc. and Menill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: Uctober 8, 2002 Case Summary: Customer claimant alleges breach of conb

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ray E. Davis and Elida R. Davis v. Menill Lynch Pierce Fenner Smitti Inc. and Merrill Lynch & Company, Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 12/27/2002 Case Summary: Customer claimant alleges breach of conbact, teilure t