• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John A. Gordon vs. Morgan Stanley Dean Witter Docket Number: 2003-014872 Attomeys: For Claimant(s): John A. Gordon - Bamegat, NJ For Respondent(s): Richard Smith - New York, NY Date Filed: 12/18/2003 First Scheduled: 6/24/2004 Decided: 6/24/2004 Case Summary: Customer v. Member Firm alleging unsuitable investments, mismanagement and gross negligence. Claima

r^w NYSE ' York Stock Exchange In the Matter of Arbitration Between Case: Billy Joe Gotten and BiUie Y. Gotten v. Merrill Lynch, Pierce, Fenner 8c Smith, Inc. and Gary R. Davis Docket 2003-014867 Attomeys: For Claimant(s): Celeste M. Chiaramonte - Kingwood, TX For Respondem(s): Bill Powell Guest - Oklahoma City, OK Date Filed: 12/16/2003 First Scheduled: 12/13/2005 Dedded: 2/11/2006 Case Summary: Customer Claimants allege breach of fiduciary dut

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Francyn Caiozzo-Schneider, as Tmstee of the Francyn Caiozzo-Schneider Revocable Trust vs. Advest, Inc., and James Montalto Docket Number: 2003-014840 Attomeys: For Claimant(s): Edward H. Glenn, Jr. - New York, NY For Respondent(s): Cynthia Feigin - White Plains, NY Date Filed: 12/4/2003 First Scheduled: 4/23/2004 Decided: 6/15/2004 Case Summary: Custome

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Charles B. Westgate v. RBC Dain Rauscher, Tucker Anthony, Inc., and Keith B. Schollard Docket:2003-014832 Attorneys: For Claunant(s): Thomas H. Tucker - Duxbury, MA For Respondent(s): Joel D. Davidson - Northvale, NJ Date Filed: 12/1/2003 First Scheduled: 01/24/2006 Dedded: 8/7/2006 Case Summary: Customer Claimant alleges unsuitabOity, failure to supervise, violations of NA

\ ^ ISrVSE Requlation NYSE Regulation In the Matter of Arbitration Between cSe: Nasser M. Akhras v. Salomon Smith Barney, Sumaya Musa and Citibank/CitiGroup Docket: 2003-014820 Attomeys: For Claimant(s): Peter J. Porrata - San Juan, PR For Respondent(s): Alejandro Schwed - New York, NY Date Filed: 11/28/2003 Furst Scheduled: 04/19/2005 Dedded: 11/06/2006 Case Summary: Claimant, a customer, alleges Respondent engaged in excessive trading,

' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Glenn W. Atkinson, Sr. v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bill Cariker Docket: 2003-014812 Attorneys: For Claimant(s): Darrell Steidley - Kingwood, TX For Respondent(s): David E. Bamberger - New York, NY DateFQed: 11/25/2003 First Scheduled: 12/28/2005 Dedded: 5/10/2006 Case Summary: Customer Claimant alleges overconcentration, unsuitabUity, breach of fiduda

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kaye D. Jacobs v Lehman Brothers, S.G. Cowen Securities Corp and as successor to Cowen & Co. Docket Number: 2003-014807 Attomeys: For Claimant(s): John Jacobs - Chicago, IL For Respondent(s): Lloyd S. Clareman, Esq. - New York, NY Date Filed: 11/24/2003 First Scheduled: 6/10/2004 Decided: UJ:isJo i Case Summary: Claimant brings action pursuant to th

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bernard Kraft v. Salomon Smith Bamey Docket Number: 2003-014805 Attomeys: For Claimant(s): James Shenwick - New York, NY For Respondent(s): Ann Parry - New York, NY Date Filed: 11/21/2003 First Scheduled: 02/20/2004 Dedded: 06/oi/2004 Case Summary: Claimant, a customer, alleges Respondent invested in Global Crossing telecom stocks based on the resea

Award NASD In the Matter of the Arbitration Between: Alan Kreitman, Claimant v. Development Corporation for Israel, Gideon Patt, Joel Gutterman, David Levy, Mark Ruben, Yifat Regev, Kathryn R. Burstein, Arlene J. Lurie and Alan Feldstein, Respondents Case Number: 01-03456 Hearing Site: Boca Raton, FL REPRESENTATION OF PARTIES For Alan Kreitman, hereinafter referred to as Claimant: Thomas L. Romeo, Esq., Ft Lauderdale, FL, until November 13, 2002, at

^4YSE tork Stock Exchange dhe Matter of Arbitration Between jase: Oppenheimer & Co., Inc. (f/k/a Fahnestock & Co.) v. David B. Thomas )ocket2003-014798 Lttomeys: For Gaimant(s): David Clouston - Dallas, TX For Respondent(s): David B. Thomas - Houston, TX Date Filed: 11/19/2003 First Scheduled: 12/08/2004 Dedded: 1/9/2006 ]ase Summary: Member firm claimant alleges breach of contract in connection with the failure to repay the balance due m a prom