• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William E. Frantz and James Frassetto, as Trustees of the Jack C. Stein Revocable Trust v. Morgan Stanley Dean Witter, Inc. and Robert V. Hunt, Individually Docket 2004-015088 Attomeys: For Claimant(s): Robert Sommers - Atlanta, GA For Respondent(s): Michael Manning - New York, NY Date Filed: 2/25/2004 Fu^t Scheduled: 07/15/2005 Dedded:3/21/2006 Case Summary: Claim

> • • i NYSE Regulation NYSE Regulation In tiie Matter of Arbitration Between Case: Cynthia Sherwood v. Michael Mallonee and Morgan Stanley Dean Witter Docket2002-011108 Attorneys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Christine A. Kendrick - San Francisco, CA DateFiled: 11/24/2002 First Scheduled: 10/20/2004 Dedded: ^/z-&/^^ Case Summary: Customer daimant alleges unsuitable stock recommendations, unauthorized t

^bitiation - case #2004-015852, Jack Hoffman v. Morgan Stanley, Inc... Page 1 of 2 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Jack Hoffman v. Morgan Stanley, Inc. and Paul Malloy Docket: 2004-015852 Attomeys: For Gaimant(s): Robert A. Flagler, Esq. - Norman, OK For Respondent(s): Ronald E. Wood - Los Angeles, CA Date Filed: 11/24/2004 First Scheduled: 05/30/2006 Dedded: v /^ ^/o C, Case Summary: Customer daimant

t NYSE York Stock Exc Exchange In the Matter of Arbitration Between Case: William C. Mar\'in v. Waher J. Zachrich Living Trust Dodcet Number: 2004-015895 Attorneys: For Claimant(s): Allan N. Taffet - New York, NY For Respondent(s): John McGuire - New York, NY DateFiled: 12/8/2004 Fu-st Scheduled: 10/19/2005 Dedded: / / / 2 / / ^ j " Case Stunmary: Claimant registered representative seeks an

NYSE Arbitration Case # Page 1 of 2 .. ^ ' ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Brent and Susan Cornman v. Salomon Smith Barney, Inc. Docket 2004-015842 Attomeys: For Gaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Ffled: 11/17/2004 Fust Scheduled: 02/17/2006 Dedded: y-li f/^^j^ Case Summary: Customer Claimants allege unsuitable investments in mutual funds

i NYSE New York Stock Exchange In the Matier of Arbitration Between Case: Sharon Huang v. Morgan Stanley Dean Witter, Inc. Docket Number: 2004-015766 Attomeys: For Gaimant(s): Jeff Musselwhite - Kingwood, TX For Respondent(s): Todd Zuckerbrod - West PalmBeach, FL Date Ffled 10/18/2004 Fust Scheduled: 08/30/2005 Dedded: 11/22/2005 Case Summary: Customer claimant alleges overconcentration in speculative tech stocks, unsuitability,

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lester and Melanie Sant v. Salomon Smith Bamey, Inc. Docket Number 2004-015753 Attomeys: For Gaimant(s): David Mee - Kingwood, TX Geoffrey J. Gempeler - Denver, CO For Respondent(s): Stephen D. BeU - Denver, CO Date Ffled 10/11/2004 First Scheduled 09/13/2005 Dedded: 9/15/2005 « ise Summary: Customer Claimants allege breach of fiduciary duty, breach of cont

Page 1 of2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert D. Schmidt vs. Morgan Stanley, Dean Witter and Jack Lorenz Docket 2004-015704 Attomeys: For Gaimant(s): H.Thomas Fehn - Los Angeles, CA For Respondent(s): David Maurer - San Francisco, CA Date Ffled 8/23/2004 Fust Scheduled: 11/15/2005 Dedded ;L) ;3 j O C Case Summary: Customer daimant seeks lost profits for an alleged failure to recommend he diversif

* NYSE Regulation NYSE Regulation In tiie Matter of Aibitration Between Case: Citigroup Global Markets Holdings, Inc. v Matthew Reid Docket 2004-015651 Attorneys: For Gaimant(s): Gregory R Crochet - Atianta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Matthew A. Reid - Duette, FL Date Ffled 8/9/2004 First Scheduled 02/07/2006 Dedded 8/9/2006 Case Summary: Member Firm Claimant alleges breach of contract and non-payment of promissory no

I NYSE ^ew York Stock Exchange n the Matter of Arbitration Between nthel 2ase: Wachovia Securities, LLC. v. Edward Mazoyer 3ocket2004-015614 Vttomeys: For Claimant(s): Renan I. Sugarman - Chicago, IL For Respondent(s): Eugene L. Small - New York, NY Date Ffled 7/30/2004 First Scheduled: 12/21/2005 Dedded 3/31/20O6 Zase Sununary: Member firm claimant alleges breach of contract and seeks to recover from a former employee, egistered represe