'•• NYSE Regulatior, NYSE Regulation In the Matter of Arbitration Between Case: Dade County Fire Fighters Insurance Trust Fund v. Morgan Stanley DW Inc, Morgan Stanley Distributors, Inc., Morgan Stanley Dean Witter & Co., and Douglas B. Schrager Docket 2003-014543 Attomeys: For Qaimant(s): Joseph Beasly - Miami, FL For Respondent(s): Bradford D. Kaufinan - West Palm Beach, FL Holly R. Skolnick - Miami, FL DateFiled: 9/19/2003 First Scheduled: 05

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas F. White & Co., Inc. n/k/a Acument Securities, Inc. Name of the Respondents Invest Tech, Inc. and Ilene Schwartz Case Number: 01-03512 Hearing Site: Philadelphia, Pennsylvania OF PARTTF.S Claimant Thomas F. White & Co., Inc. a'k/a Acument Securities, Inc., hereinafter referred to as '"Claimant", was represented by Michael G. Bolgatz, E

«.« -/ • NYSE NYSE Regulation In the Matter of Arbitration Between Case: Joseph Padovano, Jr., v. Seldon Clarke and 508 Securities, Inc. Docket: 2006-016652 Attorneys: For Claimant(s): Joseph Padovano - Ramsey, NJ For Respondent(s): Seldon Clarke - New York, NY Sddon Clarke - New York, NY DateFiled: 12/15/2006 First Scheduled: 03/21/2007 Case Summary: Product Claim: Claim: Punitive: Atty Fees: Deposit: Award

' NYSE Reguiation NYSERqsQiation In the Matter of Arbitration Between Case: John E Bowman v. A.G. Edwards & Sons, Inc. Docket 2006-016641 Attorneys: For QainiantCs): John £. Bowman - League Cit>', TX For Respondmtd): Dennis J. Capriglione - St. Louis, MO DateFiled: 11/21/2006 First Sdieduled: 06/19/2007 Decided: 7/27/2007 Caac Summary: Claimant, a pubEc customer, alleges unsuitabflity and misrepresentation with respect to an investment in Sun of

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Adrian Heller v. UBS Financial Services Docket 2006-016628 Attorneys: For Claimant(s): Adrian Heller - New York, NY For Respondent(s): Tracey Salmon-Smith - New York, NY Date Ffled: 11/8/2006 First Scheduled: 01/26/2007 Dedded: 1/26/2007 Case Summary: Claimant, a public customer, aUeges unsuitability, breach of fiduciary duty and misrepresentation with respect to the re

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Rodolfo Hirschfeld v. MerriU Lynch, Josefina Ramirez Ribas, Antonio J. Murzi Arias and Alejandro Velez Docket 2006-016624 Attomeys: For Claimant(s): Roldofo Hirschfeld - Caracas, — For Respondent(s): Benjamin J. Biard - Miami, FL Date Ffled: 10/27/2006 First Scheduled: 03/02/2007 Dedded: 03/22/2007 Case Siunmary: Customer Claimant aUeges unauthorized trading, fa

• NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Thomas M. Quinn v. UBS Financial Services Inc. (f/k/a PaineWebber) Docket 2006-016596 Attorneys: For Qaimant(s): Thomas M. Quinn - Adanta, GA For Respondent(s): Erin M. Naftali - New York, NY Date Ffled: 9/13/2006 Fust Scheduled: 12/21/2006 Dedded: 1/12/2007 Case Summary: Customer Claimant aUeges Respondent was negligent in it's failure to provide timely access to impor

5 • NYSE NYSE Regulation Ij^^e Matter of Arbitration Between Case: Ernie H. Goetzman v. Morgan Stanley Dean Witter, Inc. Docket 2006-016577 Attomeys: For Claimant(s): Sandra L. Malkin - Atlanta, GA For Respondent(s): Jamie H. Schupp - Chicago, IL Date Ffled: 8/16/2006 First Scheduled: 07/10/2007 Decided: 8/13/2007 Case Summary: Customer claimant alleges breach of fiduciary duty, breach of contract, violations of NYSE and NASD rules, fira

^ NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Mark A. O'Brien v. Morgan Stanley Dean Winer and Joseph Ausanio Docket 2006-016574 Attomeys: For Claimant(s): Mark A. O'Brien - Highland Mflls, NY For Respondent(s): Andrew H. Lipton - Purchase, NY Date Ffled: 8/10/2006 Phst Scheduled: 01/08/2007 Dedded: Case Simixnaiy: Gaimant, a public customer, alleges unsuitabflity, negligence and hJivie to supervise with respect to

IMYSE Reguiaricn ..VSE Regulation L^e Matter of Arbitration Between Case: Banc of America Specialist, Inc. v. FJG Securities, Inc. Docket 2006-016572 Attomeys: For Claimant(s): James M. Moriarty - Stamford, CT For Respondent(s): Frederick J. German - Lincroft, NJ Date Ffled: 8/7/2006 First Scheduled: 03/28/2007 Decided: 4/10/2007 Case Summary: Claimant, member firm, alleges respondent, member firm, failed to pay invoices for charges incurred in