IN ARBITRATION BEFORE THE NATIONAL ASSOCIATION OF SECURITIES :DE? In the Matter of the Arbitration Between: jjj ,; : !H ;.' MAY - q DOUGLAS E. ANDERSON, § j " § j .... Claimant, § \ ^AS^r y - § I ------ ' " v. § NASD-DR No. 01-03636 § CARTY & COMPANY, INC. and § JOHN A. HEARN, § § Respondents . § STIPULATED AWARD REPRESENTATION OF PARTIES Claimant,, Douglas E. Anderson, was represented by Attorney

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lue Ella Webb v. Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2004-015403 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): David Bamberger - New York, NY Date Filed: 5/12/2004 First Scheduled: 7/16/04 Decided: 8/12/2004 Case Summary: Customer Claimant alleges negligence, misrepresentation and unsuitable investment

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert and Mariana Fernandez v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Docket Number: 2004-015368 Attomeys: For C]ainiant(s): Brace Cain - Kingwood, TX For Respondeiit(s): Alan S. Rafterman - New York, NY Date Filed: 5/3/2004 First Scheduled: Decided: 2/22/2005 Case Summary: Claimants allege that member firm made recommendation including advice, suggestio

I I i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Albert Kooreman v. Salomon Smith Bamey, Inc. Docket Number: 2004-015365 Attomeys: For Claimant(s): Brace Cain - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 5/4/2004 First Scheduled: 11/05/2004 Decided: //^/^jT Case Summary: Claimant, public customer, alleges the firm recommended unsuitable technology stocks, failed t

I NYSE .^few York Stock Exchange In the Matter of Arbitration Between Case: Corinne Klare v. Salomon Smith Bamey, Inc. Docket Number: 2004-015353 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 5/5/2004 First Scheduled: 08/09/2004 Decided: 12/10/2004 Case Summary: Claiinants, customers, allege respondent mismanaged, made unsuitable investments in technology

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alice Lewis and David B. Lewis v. Morgan Stanley Dean Witter & Co., Inc. Docket Number: 2004-015350 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Helene Jepson - Califomia, CA Date Filed: 4/27/2004 First Scheduled: 07/23/2004 Decided: 10/28/2004 Case Summary: Claimants, customers, allege respondent mismanaged, made unsuitable i

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Suzanne L. Lowry, v. A.G. Edwards & Sons, Inc. Docket Number: 2004-015347 Attomeys; For ClaimaDt(s): Milton H. Fried, Jr. - Kingwood, TX For Respondent(s): James C. Browning, Jr. - St. Louis, MO Date Filed: 5/5/2004 First Scheduled: 03/15/2005 Decided: 03/18/2005 Case Summary: Customer claimant alleges negligence, misrepresentations, unsuitability, viol

I NYSE i^ew York Stock Exchange In the Matter of Arbitration Between Case: Emie and Edith Corwin v. Merrill Lynch, Pierce, Fenner & Smith Docket Number: 2004-015345 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Jennifer Lossia McManus - Detroit, MI Date Filed: 4/19/2004 First Scheduled: 09/07/2004 Decided: 09/14/2004 Case Summary: Claimants, public customers, allege misrepresentation, unsuitability,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marilyn Torrez v. Salomon Smith Bamey Docket Number: 2004-015332 Attomeys: For Claimant(s): Debra Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 4/5/2004 Rrst Scheduled: 7/19/2004 Decided: 7/20/2004 Case Summary: Customer against member for unsuitability. Product: Market: NYSE Claim Data: Claim: Punitive

• NYSE NefK York Stock Exdiange tu the Matter of Arbitratioh Boweea Case: Pat^Bouloukos v. Memll LynchPierce;, Fenner & Snitb, lac. Docket Number: 2004-015331 Atiotneys: For ClaimantCs): Deibxa Brewer I^Qres - Kingwood. TX For Respondeat(5): JdhnL. Hood -BPBSO» TX Date Plied: 4/1/2004 Rrst Scheduled: 6/28/04 Decided: 10/4/04 Case Summaiy: CoBtomer against member £em &r neg^gcnce^ xnisrepresmtation aad unsuitable mvesimcDts.