y New York Stock Exchange In the Matter of Arbitration Between NYSE L £f^ Case: Tony Acerra, Frank Formisano, Elisa Formisano, David Formisano, Salvatore Formlsano'v A.G. Edwards & Sons, Inc. and Michael O'Hare Attorneys: For Claimant(s): Bruce S. Schaeffer Esq. - New York, NY For Respondent(s): William S. Port Esq. - SL Louis, MO Date Filed: 04/19/2001 First Scheduled: 12/12/2001 Decided: 03/20/2003 Case Summary: Claimante,

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Merrill Lynch v Vincent Chong Attomeys: For Claimant(s): Gordon C. Young Esq. - San Francisco, CA For Respondent(s): Albert L. Boasberg Esq. - San Francisco, CA Date Filed: 04/10/2001 First Scheduled: 04/03/2002 Decided: 08/30/2002 Case Summary: ClaimanL a member firm, has alleged ttiat respondent has teiled to pay a debit balance in his accounL Respondent has

\ew York Stock Exchange In the Matter of Arbitration Between Case: Mamadou Lo v TD Waterhouse Investor Services, Inc. Attorneys: For Ciaimant(s): Mamadou Lo - Bronx, NY For Respondent(s): Miles D. Hart Esq. - Bloomfield Hills, Ml Date Filed: 04/02/2001 First Scheduled: 10/25/2001 Decided: 10/11/2002 Case Summary: Claimant a customer, has alleged that respondent breached their fiduciary duty by Improperly selling out his margin account an

i\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jeannle Diane Mangrum, Shelley S. Mangrum, Nancy I. Mangrum and Darlene Mangrum-Lankster v. Salomon Smith Barney Inc. and Randy L. Campbell Attorneys: For Claimant(s): Naill Falls, Jr. Esq. - Nashville, TN For Respondent(s): Victor A. Machcinski, Jr. Esq. - New York, NY Date Filed: 12/15/2000 First Scheduled: 06/19/2001 Decided: 03/07/2002 Case Summary: Claimant

i'«Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence C. Hill as Trustee of the Lawrence C. Hill Trust v. Jom MIer & Merrill Lynch Company Attorneys: For Claimant(s): Richard H. Levenstein Esq. - Stuart, FL For Respondent's): Todd A. Zuckerbrod, Esq. - West Palm Beach, FL Date Filed: 01/03/2001 First Scheduled: 11/O6/2001 Decided: 6/10/02 Case Summary: Customer claimant alleges unsuiteble investmente, misman

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cynttiia Emeriye a/k/a Cynttiia Lynch, individually and as Tmstee of the Cynttiia Emeriye Trust u/a dated 4/30/96 v. Gmntel & Co., LLC, Steven R. Jacobson and Steve Samter Attomeys: For Claimant(s): Pabick T. Hayes Esq. - Lebanon, NH Setti E. Lipner Esq. - Garden City, NY For Respondent(s): Brian F. McDonough Esq. - New York, NY Ira/In Weltz Esq. - New York, NY Date

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Michael D. Beaver, Linda Beaver, Henry Bennett, Jacquelyn Bennett, Colonial Capitel Fund, Constellation Oftehore Fund, Ltd, Richard J. Crescenzo, Ronald Deutech, Adrienne Deutech, Falcon Fund Intemational, Ltd, Clifford H. Ford, Leonard Henschel, Chariotte Henschel, Oscar Lama, Donna J. Lama, Landmark Capitel LLC, Leiti Family 1988 Inevocable Tmst, Leiti LLC, Joseph Leiti, Scott S. Leiti, Roy

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: David W. Monninger v Morgan Stenley Dean Witter and Timottiy Longo Attorneys: For Claimant(s): Peter S. Peariman Esq. - Saddle Brook, NJ For Respondent(s): Theodore A. Krebsbach Esq. - New York, NY Debra A. Roth Esq. - New York, NY Date Filed: 12/18/2000 First Scheduled: 04/09/2002 Decided: 1 L V7c3 Case Summary: Customer against member finn and registered repres

\. New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Alfieri,Robin & Mark v. Morgan Stenley Dean Witter, Anin Sardana and Michael Moriarty Attorneys: For Claimant(s): Jacob H. Zamansky Esq. - New Yori< , NY For Respondent(s): Mari< E. McKane Esq. - Washington, DC James D. Yellen Esq. - New Yori< , NY Date Filed: 04/12/2001 First Scheduied: 03/12/2002 Decided: 04/16/2002 Case Summary: Claimante, public customers, allege fi

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03792 Diane Bieger as Trustee of the Kathryn McCampbell Revocable Trust Agreement Dated December 3, 1992 Names of the Respondents Hearing Site: Tampa, Florida Mony Securities Corporation Luis Mauricio Chacon REPRESENTATION OF PARTIES For Diane Bieger as Trustee of the Kathryn McCampbell Revocable Trust Agreement Dated December 3, 1992, hereinaft