i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Judith A. Martin-Hume v. Gabrielle T. Smith, Morgan Stanley Docket Number: 2003-011987 Attomeys: For Claimant(s): Judith Hume - Englewood, NJ For Respondent(s): William Peterson - New York, NY Gabriele Smith - Yonkers, NY Date Filed: 6/19/2003 First Scheduled: 9/10/2003 Decided: 12/10/2003 Case Summary: Customer claimant asserts that she specificall

• NYSE New York Stocic Exchange In the Matter of Arbitration Between Case: Walter Malmstrom v. Merrill Lynch Attorneys: For Ciaimant(s): Walter Malmstrom - Roslyn, NY For Respondent(s): Robert Baker - Boston, MA DateFiled: 6/12/2003 First Scheduled: 10/1/03 Decided: /c/z. y/< ^3 Case Summary: Claimant asserts that he purchased Tyco stock based on Merrill Lynch's analyst "Strong Buy" recommendation. The claim alleges that Merri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Carty & Company, Inc. Case No. 01-03704 Names of Respondents Calton & Associates, Inc. Curtis Jones Hearing Site: Memphis, Tennessee REPRESENTATION OF PARTIES For Carty & Company, Inc. hereinafter referred to as "Claimant": Scott T. Beall, Esq. of Tate, Lazarini & Beall, Memphis, TN. For Calton & Associates, Inc. ("Calton") and Curtis Jones

i NYSE New Yoric Stocic Exchange In the Matter of Arbitration Between Case: William Garry Forster v. UBS PaineWebber Attorneys: For Claimant(s): William Forster - Tyne and Wear, England For Respondent(s): Heather Wright - New York, NY Date Filed: 6/3/2003 First Scheduled: 9/15/03 Decided: Jlf-^-r-/ E.-C7 03" Case Summary: Customer alleges that he instructed the respondent to sell his Alcatel shares if the price fell b

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bret Tuckman v. Edith Teicher .Attomeys: For Claimant(s): Neil B. Salomon Esq. - West Palm Beach, FL For Respondent(s): John E. Lawlor Esq. - Mineola, NY Date Filed: 04/23/2003 First Scheduled: 10/09/2003 Decided: 10/9/03 Case Summary: Registered representetive requests agreed upon expungement from CRD Record of reference to NYSE case number 2001-009217. Prod

Case Information i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bret Tuckman v. Helene Landsberg Attorneys: For Claimant(s): Neil Salomon - West Palm Beach, FL For Responcient(s): John Lawlor - Mineola, NY For 3rd Party: Date Filed: 4/23/2003 First Scheduled: 10/7/2003 Decided: lol^,^^^^ Case Summary: Registered representative requests agreed upon expungement from CRD record of reference to NYSE

Wew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bret Tuckman v. Adam Ginsburg Attorneys: For Claimant(s): Nell B. Solomon Esq. - West Palm Beach, FL For Respondent(s): Delmer C. Gowing Esq. - Delray Beach, FL Date Filed: 04/23/2003 First Scheduled: 08/08/2003 Decided: BISIIOO3 Case Summary: Registered representative requests agreed upon expungement from CRD record of reference to NYSE Case #2001-00$)036.

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary Silvestro, individual, as custodian for Michelle Silvestro, and as co-trustee of the Mary Silvestro Revocable Trust, and Michelle Silvestro v Merrill Lynch, Pierce, Fenner & Smith, Inc., Salomon Smith Barney, Daniel Michael Sweeney Docket Numben 2003-011766 Attomeys: For Gaimant(s): Christine M. Bae - New York, NY For Respondent(s): Alejandro Schwed, Jr. - New Yor

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Annette Benedict v Helen Hofftnan, Menill Lynch Attorneys: For C!2ln'ian:(s): Annette Benedict - Bronx, NY For Respondent(s): Elyse N. Post Esq. - New Yorl< . NY Date Filed: 04/14/2003 First Scheduled: 07/30/2003 Decided: y/-sr(c^ Case Summary: Customer alleges that the respondent did not cash out of her investments although she repeatedly requested that her

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Christopher Morath v. BT Alex Brown and Christopher S. Carlin Docket Number: 2003-011694 Attomeys: For Claimant(s): Debra G. Speyer - Philadelphia, PA For Respondent(s): Daniel J. Donovan, Esq. - Baltimore, MD Christopher Freeze - New York, NY Date Filed: 4/8/2003 First Scheduled: 07/02/2004 Decided: 05/27/2005 Case Summary: Claimant alleges uns