A NYSE NYSE Regulation the Matter of Arbitration Between i Case: Bobbie Hutchinson v Merrill Lynch, Pierce, Fenner & Smith, Inc. and Cande L. Collins Docket: 2003-014849 Attomeys: For Claimant(s): Bobbie Hutchinson - Seattle, WA For Respondent(s): David E. Bamberger - New York, NY Date Filed: 12/8/2003 First Scheduled: 07/27/2005 Decided: 2/15/2007 Case Summary: Customer claimant alleges negligence, unsuitability, inappropriate use of margin

) I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Johnson & Gloria Adewumi v Merril Lynch Docket Number: 2003-012165 Attomeys: For Claimant(s): Kristin Bays - Conroe, TX For Respondent(s): Hayden Bums - Houston, TX Date Filed: 7/31/2003 First Scheduled: 1/14/2004 Decided: 2/16/2004 Case Summary: Claimant, customers, allege that respondent, a member firm, wrongfully transferred fiinds out of t

) ) I IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities V. Randal Popp Docket Number: 2003-011406 Attomeys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Randal Popp - Stewart Manor, NY Date Filed: 2/14/2003 First Scheduled: 5/19/2004 Decided: 5/19/2004 Case Summary: Claimant alleges the respondent defaulted on his loan obligation. Product: Promiss

( ) •NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frances C. Walsh vs. Pmdential Securities, Inc. and William Paul Miller, Jr. Docket Number: 2003-011392 Attomeys: For Claimant(s): Frances Walsh - New York, NY David Mishkin - 69006 Lyon, France, For Respondent(s): Jordan Becker - New York, NY Date Filed: 2/12/2003 First Scheduled: 6/19/2003 Decided: 6/16/2004 Case Summary: Customer vs. Member Firm a

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marie C. Grasso v. Salomon Smith Bamey Docket Number: 2003-011390 Attomeys: For Claimant(s): Richard Levenstein - Stuart, FL For Respondent(s): Stephen Mendelsohn - Boca Raton, FL Date Filed: 2/7/2003 First Scheduled: 5/13/2004 Decided: 5/17/04 Case Summary: Customer claimant alleges unsuitable trading in equities and mutual fiinds, violation of Flo

I NYSE New York Stock Exchange ( \ the Matter of Arbitration Between Case: Smith Revocable Living Trust, Edward L.C. Smith and Andrea G. Smith, Tmstees v. Morgan Stanley Dean Witter & Co., and Eric Heit Docket Number: 2003-011304 Attomeys: For Claimant(s): Al Lemke - Santa Cruz, CA For Respondent(s): Jesse Simpson - Phoenix, AZ Date Filed: 1/6/2003 First Scheduled: 4/21/2004 Decided: 5/21/2004 Case Summary: Claimants, cus

Stipulated Award NASD In the Matter of the Arbitration Between: Jorge Alberto Carrizo and Adriana Carrizo, JTWROS, Claimants v. UBS PaineWebber, Inc., Santiago D. Valenzuela, and Sergio Garcia Granados, Respondents Case Number: 01-03458 Hearing Site: Boca Raton, Florida For Jorge Alberto Carrizo and Adriana Carrizo, JTWROS. hereinafter referred to as "Claimants": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, FL. For Respondents UBS

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Emma Lou Sayer as Personal Representative of the Estate of Gertrude B. Miller Case No, 00-01218 Names of Respondents GKN Securities Corp. Kenny Securities Corp. Merit Capital Associates, Inc. Tradeway Securities Group, Inc. Harvey Charles Goldman REPRESENTATION OF PARTIES For Emma Lou Sayer as Personal Representative of the Estate of Gertrude B. M

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Burton Saltzman, Trustee, Dave"s Eagle Supermarket, Inc., Salaried Employees Pension Plan 6/1/78 v. Lehman Brothers, Inc., John Goodman and S. G. Cowen Securities Corp. Docket: 2003-011297 Attomeys: For Claimant(s): Edgar H. Boles - Pepper Pike, OH For Respondent(s): Christopher M. Burky - Chicago, IL Robert N. Rapp - Cleveland, OH Date Filed: 1/14/2003 First Scheduled

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles Scott Allen vs. Merrill Lynch Docket Number: 2003-014893 Attomeys: For Claimant(s): Samuel Feldman - Roseland, NJ For Respondent(s): Steven G. Leventhal - Brooklyn, NY Date Filed: 12/23/2003 First Scheduled: 6/8/2004 Decided: 6/8/2004 Case Summary: Customer v. Member Firm, in a dispute involving Pfizer options, alleging that after confirming his