• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ken Anderson v. Morgan Stanley Dean Witter Attorneys: For Ciaimant(s): Richard Lewins - Dallas, TX Tracey Stoneman - Westcliffe, CO For Respondent(s): Eric Wallis - Oakland, CA For Srd Party: Date Filed: 6/11/2002 First Scheduled: 9/8/2003 Decided: 10/23/2003 Case Summary: Claimant, a public customer, alleges: violation of NYSE rules, NASD rules, CA and

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Don D. Wilson v Menill Lynch and Gerard J. Frigon Attorneys: For Claimant(s): Arthur S. Leider Esq. - San Diego, CA For Respondent(s): Jack D. Ballard Esq. - Houston, TX Date Filed: 07/01/2002 First Scheduled: 06/05/2003 Decided: 06/25/2003 Case Summary: Claimant, a customer, has alleged that respondents misrepresented the type of research they were providing failed

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v Congregation l^emasche Lev Attorneys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Congregation Memasche Lev - Brooklyn, NY Congregation l^emasche Lev - Broolclyn, NY Date Filed: 5/30/2002 First Scheduled: 12/11/2002 Decided: 10/09/2003 Case Summary: l^ember firm against former customer for acc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles D. McCarty and Raymonde C. McCarty vs. A.G. Edwards & Sons, Inc. Attorneys: For Claimant(s): Arthur S. Leider - San Diego, CA For Respondents): Date Filed: 05/30/2002 First Scheduled: 02/11/2003 Decided: 06/24/2003 Case Summary: Customers vs. Memtier Firm alleging their account was arbitrarily liquidated, fraud, negligence, unauthorized transactions, violatio

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Adriana Kampfiier v Salomon Smith Barney Docket Number: 2002-010276 Attorneys: For Claimant(s): Steven D. Toskes - Boca Raton, FL For Respondent(s): Peter R. Boutin - San Francisco, CA Date Filed: 4/26/2002 First Scheduled: 08/10/2004 Decided: 6/29/05 Case Summary: Claimant, a customer, has alleged that respondent breached their fiduciary duty by allowing t

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marshall Realty PTE Ltd. v Morgan Stanley Dean Witter s/k/a Morgan Stanley & Co. Inc. Attorneys: For Claimant(s): Herbert Deutsch - Garden City, NY For Respondent(s): James Yellen - New York, NY Date Filed: 10/14/2002 First Scheduled: 11/4/2003 Decided: I ' ' Case Summary: Claimant alleged that respondent is liable for a breach of fiduciary

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Drew Bradford v. Merrill Lynch & Nancy Bernstein Attomeys: For Cialnnant(s): Carole IC Boyd Esq. - Milfbrd, NJ For Respondent(s): Matthew Plant Esq. - New York, NY Date Filed: og/25/2002 First Scheduled: 03/14/2003 Decided: 09/09/2003 Case Summary: Claimant, a public customer, alleges fraud and misrepresentation against Respondents, a member firm and registered re

I NYSE New York Stock Excliange In the Matter of Arbitration Between 1/ Case: Advest, Inc. vs. Terril Goudie Docket Number: 2002-010796 Attomeys: For Claimant(s): Jack Stein - Fort Lauderdale, FL For Respondent(s): Terril Goudie - Palm Harbor, FL Date Filed: 9/30/2002 First Scheduled: 8/7/2003 Decided: 12/17/2003 Case Summary: Member Firm vs. Registered Rep (fonner employee) seeking to recover amounts allegedly due under

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Norma Risinger, on behalf of Norma Risinger IRRA, v. Merrill Lynch, Pierce Fenner & Smith and Jason L Church Attorneys: For Claimant(s): Stephen Oggel - San Diego, CA For Respondent(s): Richard Kelly - New York, NY Jack Ballard - Houston, TX Date Filed: 9/24/2002 First Scheduled: 11/4/2003 Decided: 11/5/03 Case Summary: Claimant customer alleges fra

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bishop Rosen & Co., Inc. v. Steven Kaufman Attorneys: For Claimant(s): Isaac Schlesinger - New York, NY For Respondent(5): Steven W. Kaufman - Mt. Sinai, NY Date Filed: og/23/2002 First Scheduled: 02/26/2003 Decided: 4/1/03 Case Summary: Bishop Rosen & Co., Inc. alleges that Its former registered representative did not repay tiie balance due on a promissory note