• ) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ruby McMillin v. Pmdential Financial, Inc. Docket Number: 2003-014457 Attomeys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Aime Bentley McCray - Richmond, VA John Barr - Richmond, VA Date Filed: 9/9/2003 First Scheduled: 6/15/2004 Decided: 7/5/2004 Case Summary: Claimant customer brings the following causes of action

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Josephthal & Company, Inc. n/k/a Oppenheimer & Co., inc. vs. Edward Moldaver Doclcet Number: 2003-012247 Attomeys: For Clainiant(s): Evelyn Bukchin - New York, NY For Respondent(s): Ruthann G. Niosi - New York, NY Date Filed: 9/2/2003 First Scheduled: 02/06/2004 Decided: 11/22/2004 Case Simimary: Member Firm vs. Registered Rep (former employee) seeking to recov

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James H. Hudspeth v. Morgan Stanley Dean Witter, Randy Martin, Brian Kinney and Andy Stark Docket Number: 2003-012230 Attorneys: For Claimant(s): Charles Wuest - Kingwood, TX For Respondent(s): Julie L. Portera - Birmingham, AL Date Filed: 8/26/2003 First Scheduled: 12/10/2004 Decided: 1/05/2005 Case Summary: Customer Claimant alleges unsuitability, ove

ilNYSE New York Stock Exchange ID the Matter of Arbitration Between Case: James W. Lee v. Morgan Stanley Dean Witter and Ray Powell Docket Number: 2003-012229 Attomeys: For ClaimantCs): Milton Fried - Kingwood, TX Debra Hayes - Kingwood, TX For Respondent(s): Julie Glynn - New Yoik, NY Date Filed: 8/26/2003 First Scheduled: 3/23/2004 Decided: 07/25/2004 Case Siumnary: Claimant, a public customer, alleges breach of fiduciaiy d

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George Demellier v. CitiGroup Global Markets Inc., f/k/a Salomon Smith Bamey, Joseph Jones and Charles Sawicki Docket Number: 2003-012219 Attomeys: For Claimant(s): Tim B. Wright - Stuart, FL For Respondent(s): Neil B. Solomon - West Palm Beach, FL Date Filed: 8/6/2003 First Scheduled: 11/29/2004 Decided: Case Summary: Customer claimant alleges unsu

NASD Dispute Resolution Arbitration No. 01-03610 Award Page 1 of 9 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edith M. Adkins, Margaret E. Ackley, Dennis F. Carper & Patricia E. Carper, Franklin Donnaker, John Nourse Trust, Doris J. Teeters, Ernestine A. Brown, Dale E. Church & Karen G. Church, Stephen N. Haines & Marsha F. Haines, Phyllis A. Kotcamp, David E. Johnson & Eleanor J. Johnson and Robert R. Roach (Claimants)

i NYSE New York Stock Exchange ID tbe Matter of Arbitration Between Case: Christopher Galati v. Deutsche Bank Securities, Inc. Docket Number: 2003-012223 Attomeys: For Clainiant(s): Blaine H. Bortnick - New York, NY For Respondent(s): Heidi L. Swartz - New York, NY Date Filed: 8/21/2003 First Scheduled: 07/21/2004 Decided: 09/08/2004 ( Case Summary: Claimant, a registered representative and former employee, alleges wrongf

'NYSE yew York Stock Exdiwe* In the Matter of Arbitratian Between Case: Mazie E. "Kxagja. asd'James £. Knight v. Mctrgan Stanley, Matthew McBxteo and leffieyGxeeo Dockei Numben 20QS-012212 Attomeys: For ClafanaiitCs): James Kni^ - Laiayette EQU. PA For Xlespatideut(a): Jofie C9^ - New Yodc. NY Date nied: 8/21/2003 First Scheduled: 4/27/2004 Declded;07/06/2004 Case'Summaiy: Claimants cusiomers seek csonyposatniy damages as the

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roeland Caris v. Morgan Stanley Dean Witter, Lance Hubney Docket Number: 2003-012197 Attomeys: For Claimant(s): Robert Zatorski - Saddle Brook, NJ For Respondent(s): Howard Sendrovitz - New York, NY David Travin - New York, NY Date Filed: 8/18/2003 First Scheduled: 7/13/2004 Decided: 7/14/2004 Case Sununary: Claimant, a public customer, alleges unsu

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cathy B. Hart and Kevin Hart v. Merrill Lynch, Pierce, Fenner &. Smith Incorporated and Steven R. Coleman Docket Number: 2003-012190 Attomeys: For Claimant(s): Charles S. Wuest - Kingwood, TX Celeste Chiaramonte - Kingwood, TX For Respondent(s): Jack D. Ballard - Houston, TX Arm Ryan Robertson - Houston, TX Date Filed: 8/5/2003 First Scheduled: 8/3/2004