i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Howard Loweniheil vs. Merrill Lynch Pierce Fenner and Smith Attomeys: For Claimant(s): Stephen Lux - San Diego, CA For Respondent(s): Thomas Weisenbeck - New York, NY For3rdPartv: Date Filed: 7/19/2002 First Scheduled: 4/9/2003 Decided: 3 0/16/2003 Case Summary: Claimant, a public customer, alleges the following: Fraud, breach of fiduciary, negligence,

^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sheila C. Sarkar v Merrill Lynch, Pierce Fenner & Smith, Incorporated and Parimal Bose Docket Number: 2002-010503 Attomeys: For Clainiant(s): Arnold M. Weiss - New York, NY For Respondent(s): Christopher Freeze - New York, NY DateFiled: 7/15/2002 First Scheduled: 04/29/2005 Decided: S'fl^l^f Case Summary: Customer claimant alleges unsuitable investments

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert C. Hoover, Cecilia F. Hoover, Whitney S. Hoover, Cecilia F. Hoover as Custodian for Robert C. Hoover III v Morgan Stanley and Michael Foreman Attomeys: For Claimant(s): Theodore Griffinger, Jr. - San Francisco, CA For Respondent(s): Eric Wallis - Oakland, CA For 3rd Party: Date Filed: 7/8/2002 First Scheduled: 4/8/2003 Decided: 10/16/2003 Case Su

Award NASD Dispute Resolution In ttie Matter ol tne/vrbitration between: Names of the Claimants Case Number: 01-03751 Barbara Gahr Timothy Gahr Name of the Respondent Hearing Site: Boca Raton, Florida Securities America, Inc. REPRESENTATION OF PARTIES For Barbara Gahr ("BG") and Timothy Gahr ("TG") hereinafter collectively referred to as "Claimants": Debra A. Jenks, Esq., Dobin & Jenks, LLP, Jupiter, Florida. For Securities America, Inc. ("S

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gloria Sozzi v. Janney Montgomery Scott, LLC and Steven Ross Hauer Attorneys: For Claimant(s): Daniel Dugan - Philadelphia, PA For Respondent(s): Paula ShafFner - Philadelphia, PA For 3rd Party: Date Filed: 7/15/2002 First Scheduled: 2/4/2003 Decided: £^//^/O 5 Case Summary: Claimant, a public customer, alleges the respondents: acted fraudulently; in breach of

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Cataletto v. Prudential Securities Incorporated, l^ary Ellen Kay and Douglas Culver Attorneys: For Claimant(s): Robert Weiss - Jericho, NY Rena Spiewak - Jericho, NY For Respondent(s): Kevin Deloatch - New York, NY Andrew Sidman - New York, NY Brain Amery - New York, NY Date Filed: 7/8/2002 First Scheduled: 8/13/2003 Decided: 12/12/03 Case Summ

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rabih Khoury v Banc of America Securities, LLC Docket Number: 2002-010442 Attorneys: For Clainiant(s): David Wechsler - New York, NY For Respondent(s): Joseph Baumgarten - New York, NY Date Filed: 7/1/2002 First Scheduled: 6/17/2003 Decided: IZJj^'/^ ? Case Summary: Registered representative against member firm for failure to pay bonuses for 2000 an

i NYSE New Yoric Stocic Exchange In the Matter of Arbitration Between Case: James Dineen and Phyllis Dineen and The Dineen Living Trust vs. Fahnestock & Company and Morgan Stanley Dean Witter vs. John Piwowarczyk Attorneys: For Claimant(s): Seth Lipner - Garden City, NY For Respondent(s): Eric Shames - New York, NY James Yellen - New York, NY f^ark McKane - Washington, DC Date Filed: 7/2/2002 First Scheduled: 7/28/2003 Decide

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Axel Norstedt v. Morgan Stanley Dean Witter, Michael Bock and Gary T. Guglielmo Attomeys. For Claimant(s): Sidney W. Jackson, III Esq. - Mot)lle, AL For Respondents): David J. Feingold Esq. - Palm Beach Gardens, FL Peter Fruin Esq. - Birmingham, AL Decided: 09/16/2003 Date Filed: O6/I8/2002 First Scheduled: 08/18/2003 Case Summary: Claimant, a public customer all

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lehrer Family Partnership Co., Ltd. And Theodor Lehrer, Claimants v. FLP Gilmour & Associates, J.P. Turner & Co., LLC, Steven G. Botta, Jeff Sondak, and Michael Formisano, Respondents. Case Number: 00-01243 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For the Lehrer Family Partnership Co., Ltd. And Theodor Lehrer, hereinafter referred to as "Claimants"