• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary Meeker v. Timothy J. Smith and Kris J. Smith Docket Number: 2004-015012 Attomeys: For Claimant(s): Robert Cohen - New York, NY For Respondent(s): Glen Gitomer - Radnor, PA Date Filed: 1/2/2004 First Scheduled: 05/07/2004 Decided: 11/5/04 Case Summary: Claimant Mary Meeker a research analyst with Morgan Stanley, Inc. seeks an order of expungemen

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Matthew Bobman v. Salomon Smith Bamey Docket Number: 2004-015010 Attomeys: For Clainiaiit(s): James H. Shenwick - New York, NY For Respondent(s): Stephen L. Saxl - New York, NY Date Filed: 2/3/2004 First Scheduled: 6/17/2004 Decided: 8/25/2004 Case Summary: Customer v. Member Firm alleging recommendations and investment advice based upon false stock researc

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ehrenkrantz King Nussbaum, Inc. v. Correspondent Services Corporation Docket Number: 2004-014936 Attomeys: For Claimant(s): Robert M. Bursky - Garden City, NY For Respondent(s): Howard A. Fischer - New York, NY Vincent Oliva - New York, NY Date Filed: 1/14/2004 First Scheduled: 06/01/2004 Decided: 10/20/2004 Case Summary: Non-Member Claimant Firm alleges th

NASD Dispute Resolution Arbitration No. 01-03632 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Wolf (Claimant) vs. Homblower & Weeks, Inc. (Homblower), and Alfred Blair Blaikie, HI (Blaikie) Case Number: 01-03632 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Barbara Wolf ("Claimant"): George D.F. Lambom, Esq., South Hampton, New York. Respondent Homblower & Weeks,

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 00-01237 Name of Respondent Joseph Travis Hardy REPRESENTATION OF PARTIES For Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant": Pamela P. Warnement, Senior Vice President and Deputy General Counsel, Wachovia. Respondent Joseph Travis Hardy ("Hardy"), hereinafter referred to a

I New York Stock Exchange In the Matter of Arbitration Between Case: Linda Catlett v Salomon Smith Bamey, Inc. Docket Number: 2004-014921 Attomeys: For ClaimantCs): A. Daniel Woska - Oklahoma City, OK For ResponcleDt(s): Dairell C. Martin, Esq. - San Francisco, CA Date Filed: 1/8/2004 First Scheduled: 7/19/2004 Dedded: S'/st/o'^ Case Summary: Claimant alleges negligence, misrqnresentation and grossly unsuitable investment rec

'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary D. Adams v. Morgan Stanley Dean Witter and Paul Andrews, Jr. Docket Number: 2004-014919 Attorneys: For Claimant(s): Andrew Waldron - Oklahoma City, OK For Respondent(s): Helene J. Jepson - San Francisco, CA Date Filed: 1/7/2004 First Scheduled: 11/09/2004 Decided: 11/24/2004 Case Summary: Claimant alleges negligence, misrepresentations and grossly unsuitable in

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. William M. Bergan Docket Number: 2004-014913 Attomeys: For Claimant(s): Carrie L. Chelko - Philadelphia, PA For Respondent(s): William Bergan - Boston, MA William M. Bergan - Milton, MA Date Filed: 1/6/2004 First Scheduled: 12/14/2004 Decided: 12/14/2004 Case Summary: Member Firm Claimant alleges breach of contract and non-pay

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name ofClaimants Dennis Manson and Melissa Krueger and 96-02168 Name of Respondents Dwi Bosworth Incorporated Michael Mullins John Appel ^ REPRESENTATION OF PARTIES Dennis Manson and Melissa Krueger ("Claimants") were represented by Rebecca E. Bender, Esq., Bender & Ford, P.A., Minneapolis, Minnesota. Dam Bosworth Incorporated ("Responde

# 'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert L. Lane v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas H. Freeman Docket Number: 2003-014857 Attomeys: For Claimant(s): Andrew J Waldron - Oklahoma City, OK For Respondent(s): Elena C Parent - Atlanta, GA Date Filed: 12/8/2003 First Scheduled: 12/17/2004 Decided: 2/18/05 Case Summary: Customer claimant alleges unsuitability, failure t