^ ew York Stock Exchange NYSE in the Matter of Arbitration Between Case: Judith Fehlig v Bear, Stearns & Companv Attorneys: For Claimant(s): Judith K. Fehlig - New York, NY For Respondent(s): Jason M. Halper Esq. - New York, NY Date Filed: 03/0i/i999 First Scheduled: 09/14/1999 Decided: 04/21/2003 Case Summary: Claimant alleges Respondent breached a contract to pay for legal fees, costs and disbursements. Claimant seeks indemnification of said f

1/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rodman & Renshaw Inc. v Tucl< er Anthony Inc., John Beckstedt, Christie Bernhardy, Ladd Duda, Catherine Fan^il, Howard Gelling, Scott Hootman, Karl Kiiroy, Frank Mazeika, Curtis Thompson and Jason Werner Attorneys: For Clainnant(s): Stephen P. Bedell Esq. - Chicago, IL For Respondeiit(s): Miriam G. Bahcall Esq. - Chicago, IL Date Filed: 06/16/1997 First Scheduled

Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: William R. Cole v Salomon Smith Bamey Inc. and the Travelers Inc. Attorneys: For Claimant(s): Phillip L. Sternberg Esq. - Farmington Hills, Ml For Respondent(s): H. Nicholas Bertierian Esq. - Chicago, IL Date Filed: 06/22/1998 First Scheduled Case Summary: Claimant alleges that he was removed as branch Respondent then denied Claimant some of his benefits under variou

NVSE Arbitration Case #2004-015883 Page 1 of 2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dr. Jose Jimenez v. MerriU Lynch Pierce Fenner 8c Smith, Inc. and MerriU Lynch 8c Co., Inc. Docket Number: 2004-015883 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled 9/29/2004 First Scheduled: 04/29/2005 Dedded: 6/28/2005 Case Summary: Cust

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claim ants James L. Mollick Norristown OB-GYN Pension Plan & Trust Norristown OB-GYN Profit Sharing Plan Stephen J. Mollick Mary P. Mollick Danis Mollick Case Number: 01-03765 (Master Case) Name of the Respondents Morgan Stanley DW Inc. Perry S. Abbonizio Michael A. Skalamera In the Matter of the Arbitration Between: Name nf the Clai

VSE Arbitration Case #2004-015878 Page 1 of2 I NYSE ^}ew York Stock Exchange in the Matter of Arbitration Between Case: Martin Stein v. Merrill Lynch Pierce Fenner 8c Smith, Inc. and MerriU Lynch 8c Co., Inc. Docket Number: 2004-015878 Attomeys: For Qaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Ahro - New York, NY Date Ffled 9/29/2004 First Sdieduled: V / "2-'' / O -^ Dedded: ?/T/C S Case Summary. Cu

M»YSE Arbitration Case #2004-015876 Page 1 of2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Norio Takayama v. MerriU Lynch Pierce Fenner 8c Smith, Inc. and MerrUl Lynch 8c Co., Inc. Docket Numben 2004-015876 Attomeys: For Qaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed- 9/29/2004 First Scheduled: ih- ^/o 5 Dedded 7 fc^tf^ Case Summary: Custom

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Louise Stern v. Bernard TambereUa, Jr. and Marquis Holdings, Inc. Docket Numben 2004-015874 Attomeys: For Gaimant(s): Jacqueline I. Meyer - New York, NY For Respondent(s): Bernard TambereUa, Jr. - New York, NY Stephen Holden - New York, NY Date Filed: 12/2/2004 First Scheduled: 07/06/2005 Dedded: 7/6/2005 Case Summary: Member v. Lessee Member seeking to rec

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: A. Barrett Seaman v MerriU Lynch, Pierce, Fenner 8c Smith, Inc. and MerriU Lynch 8c Co., Inc. Docket Numben 2004-015870 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY DateFiled: 11/30/2004 First Scheduled: 4/29/2005 Dedded: 6/30/2005 Case Summary: Customer claimant alleges breach of contract, faUu

i New York Stock Exchange In the Matter of Arbitration Between Case: Mark Purnell v. Robert Lamm Pioso and Gail G. Pioso Docket Number: 2004-015762 Attomeys: For Qaimant(s): Bruce Bauer - Milwaukee, WI For Respondent(s): MUton Fried - Kingwood, TX Date Filed: 10/15/2004 First Scheduled: 08/03/2005 Dedded* O8/12/2005 Case Summary: Claimant registered representative is requesting expungement ofhis CRD record foUowing the settlement of