i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frances C. Devorak and Joseph T. Devorak vs. Charles Fernandez and A.G. Edwards & Sons, Inc. Docket Number: 2003-014791 Attomeys: For Claimant(s): Frances C. Devorak - Spring Hill, FL For Respondent(s): James C Browning, Jr. - St. Louis, MO Date Filed: 11/21/2003 First Scheduled: 3/8/2004 Decided: 3/29/2004 Case Summary: Customers v. Registered Rep and

• I NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Theris Trupos v. Morgan Stanley and Charles Bishop Docket 2003-014785 Attomeys: For Claunant(s): Paul B. Rodgers, III - Columbia, SC For Respondent(s): Todd A. Zuckerbrod - West Palm Beach, FL Date Filed: 1/20/2004 First Scheduled: 11/15/2005 Dedded: 11/21/2006 Case Summary: Customer Claimant alleges unauthorized trading, unsuitability, breach of fiduciary duty, b

NYSE Arbitration Case # Page 1 of 2 « • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group f/k/a Prudential Securities Inc. v. Bryan K. Lemonds v. Prudential Equity Group f/k/a Prudential Securities Inc. Docket 2003-014778 Attomeys: For Gaimant(s): Gary I. Blackman - Chicago, IL For Respondent(s): Siobhan M. Murphy - Chicago, IL Date Filed: 11/17/2003 First Scheduled: 12/13/2005 Dedded: 03

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary Metzgar v. Salomon Smith Bamey, Inc. Docket Number: 2003-014761 Attomeys: For C]aimant(s): Charles Wuest - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 11/10/2003 First Scheduled: 5/7/2004 Decided: 5/5/04 Case Summary: Claimant, customer, allege Respondents was negligent, failed to supervise, misrepresented claimant's ac

B NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Murphy 8c Durieu v. Todd Haufler, Shawn Hegedus, Joseph Tomasello, Michael Lidowitz and Joseph Romeo Docket 2003-014738 Attomeys: For Claimant(s): James Moriarty - Stamford, CT For Respondent(s): Joseph Robert Tomasello - Patchogue, NY Michael Lidowitz - Lake Ronkonkoma, NY Shawn Hegedus - Mount Sinai, NY Date Filed: 11/6/2003 First Scheduled: 09/21/2004 Dedded: „^

Page 1 of2 • NYSE Reguto NYSE Regulation In the Matter of Arbitration Between Case: Norman Apotheker v A.G. Edwards & Sons, Inc. and Paul C. Hills, Jr. Docket2003-014728 Attomeys: For Gaimant(s): G. Lynn Thorpe - New Rochelle, NY For Respondent(s): Matthew Salamon - St. Louis, MO Robert A. Buhlman - Boston, MA Date Filed- 10/21/2003 First Scheduled: 12/20/2004 Decided: 7/yA Case Summary: Customer claimant alleges unsuitable inves

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: G. Todd Ralstin v. Edward D. Jones Docket Number: 2003-011989 Attomeys: For Gaimant(s): Daniel Woska - Oklahoma City, OK For Respondent(s): William J. Travis - St. Louis, MO Date Filed: 6/23/2003 First Scheduled: 12/14/2004 Dedded: ///-j/cisr- Case Summary: Claimant customer alleges unsuitable investment recommendations, failure to diversify, breach of

I NYSE NYSE Regulation In the Matter of Arbitration Between Case: Patricia Sgambati v. Moors 8c Cabot, Inc. & Charles White Docket 2003-014718 Attomeys: For Claimant(s): Ellen Kramer - Cleveland, OH James B. Rosenthal - Cleveland, OH For Respondent(s): Robert N. Rapp - Cleveland, OH Sander A. Rikleen - Boston, MA Date Filed: 12/3/2003 First Scheduled: 12/13/2005 Decided: Pj ^// Q Q Case Summary: Customer claimant alleges breach of fiduci

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John F. Nestico and Janet A. Vanca-Nestico v Merrill Lynch Pierce Feimer & Smith Incorporated Docket Number: 2003-014703 Attomeys: For Claimant(s): Peter Pizzi - Roseland, NJ For Respondent(s): Brian Donnelly - Florham Park, NJ Date Filed: 10/29/2003 First Scheduled: 5/11/2004 Decided: 6/8/2004 Case Summary: Claimants, public customers, had discretionary ac

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Hogan Family Foundation, Inc., Claimant v. Bane of America Securities LLC (f/k/a Nationsbanc Montgomery Securities LLC), Ian Mausner and Michael Grable, Respondents Case Number: 01-03455 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant The Hogan Family Foundation, Inc.: Jeanne E. Irving, Esq. Hennigan, Bennett & Dorman Los Angeles