\'SE ArbitnUion Case #2004-015370 Paae 1 ot 1 UYSE ;^7ork Stock Exc Exchange the Matter of Arbitration Between ise: Malcolm D. Mclver v. A.G. Edwards 8c Sons, Inc. acket Numben 2004-015370 .tomeys: >r Claimant(s): Charles C. Hunter Kingwood, TX >r Respondent(s): lames Browning, Jr. - St. Louis, MO )ate Filed: 5/3/2004 First Scheduled: 09/20/2005 Dedded: ^JZT^/^S ase Siunmary: Customer Claimant alleges breach of fiduci

jitration Case #2004-015247 Page 1 of2 NYSE ^ew York Stock Exchange I the Matter of Arbitration Between Case: Citigroup Global Markets v. Aaron A. Stevenson, Jr. Docket Number 2004-015247 Attorneys: For Claimant(s): Gregory Crochet - Atlanta, GA For Respondent(s): Aaron A. Stevenson - Hialeah, FL DateFiled: 4/5/2004 First Scheduled: 04/27/2005 Dedded: 9/7/2005 Simunary: Member Firm Claimant alleges breach of contract and non-

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03529 Michael Rini and Lora Rini Names of the Respondents Hearing Site: Boca Raton, FL Morgan Stanley Dean Witter, Inc. and Roxann G. Romano REPRESENTATION OF PARTIES For Michael Rini and Lora Rini, hereinafter collectively referred to as "Claimants": Kenneth S. Sandier, Esq., Kenneth S. Sandier, P.A., Hollywood, Florida. For Resp

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group, LLC v. Jonathan S. Melnicoff Docket Number. 2004-015192 Attomeys: For Claimant(s): Barry Standig - Ft. Lauderdale, FL For Respondent(s): Arthur C. Koski - Boca Raton, FL DateFiled: 3/23/2004 First Scheduled: 05/24/2005 Dedded: 8/30/2005 Case Smnmary: Member firm alleges breach of contract in connection with failure to repay the balance

: ./bitration Case #2004-015114 Page 1 of 2 >NYSE ew York Stodc Exchange 1 the Matter of Arbitration Between Case: Brian K. Deanhardt Dora H. Deanhardt v. A.G. Edwards 8c Sons, Inc., Mr. Hunter Fleming Docket Number. 2004-015114 Attomeys: For Claimant(s): Nicholas Thomas - Raleigh, NC For Respondent(s): Nuviah Shirazi - St. Louis, MO DateFiled: 2/18/2004 First Scheduled: 12/14/2004 Dedded: 8/4/2005 "^fcsr ^nniiiiary: rJaimant all

^NYSE New York Stock Exchange le Matter of Arbitration Between 1^ Case: David Coxe v. Pershing, L.L.C. f/k/a/ Donaldson, Lufkin and Jenrette Securities Corp., and Frank Smith Docket Number: 2004-015036 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Dean Booth - Atlanta, GA Nikole J. Crosby - Dallas, TX Date Filed: 2/5/2004 First Scheduled: 08/25/2005 Dedded: 8/25/2005 WB( e Summary: Claimant,

•NYSE NYSE Regulation In the Matter of Arbitration Between Case: Fahnestock 8c Co., Inc. v. Frank G. Mazzola v. Fahnestock 8c Co., Inc. Docket: 2004-015031 Attorneys: For Claimant(s): William E. Mahoney, Jr. - Philadelphia, PA For Respondent(s): Jordan Kam - New York, NY Date Filed: 2/5/2004 First Scheduled: 07/26/2005 Decided: 6/20/2007 Case Summary: Member Firm claimant seeks to recover amounts allegedly due under the terms of four pro

^ NYSE New York Stock Exchange In the Matter of Arbitration Between % se: Marilyn Reed v. Merrill Lynch Pierce, Fenner & Smith, Inc. and John Tucker Docket Number: 2003-014855 Attomeys: For Claimant(s): Geoffrey J. Gempeler - Denver, CO For Respondent(s): Alan S. Rafterman - New York, NY DateFiled: 12/9/2003 First Scheduled: 08/02/2005 Dedded: 09/23/2005 Case Stunmary: Claimant, a customer, alleges respondent over-concentrated her eq

i NYSE New York Stodk: Exdsange In the Matter of Aibitration Between Case: Hask L Piager and Bedi R. Piagex, individually a&d as; Co-tntstett of Family Trusts, v Lehman Brothers, lac and Akh&rdKinch Dodcet Number: 2002-010500 Aitoxneys! For Qainsmtls): Kevin M- Hyan - Chicago. U.- hsi ItespondaitCs): Steven J. Honuuio - Chicago, 0. DaK Eiod: 7/32/2002 Fasi SdudiilBd: 05/07/2003 Decided: 12/29/05 Case Sumrnat)-: Customer daimanu a

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Terence Meelian v. Direct Brokerage, Inc., and Kevin McNally Docket Number: 2005-016023 Attorneys: For Gainiant(s): Kevin S. Koplin - New York, N^' For Respondent(s): Anne Eniko Eniko Henils - Old Bridge, N] Kevin E, McNallv - New York, NY DateFiled: 3/11/2005 First Scheduled: 12/06/2005 Dedded: 12/6/2005 Case Sununary: Claimant Allied Member alleges breach of