/^bitration - case #2003-014695, Elizabeth Ann Parks v. Morgan Stanl Page 1 of 2 " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Elizabeth Ann Parks v. Morgan Stanley Dean Witter, Inc. and Robert A. Davis Jr. Docket 2003-014695 Attorneys: For Clainiant(s): Paul N. Young - Los Angeles, CA For Respondent(s): Mukya Porter - San Francisco, CA Date Filed: 10/17/2003 Furst Scheduled: 10/12/2004 Dedded: )) j ^ J ^ ^ Case Su

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Roy B. Thompson, Trustee and the Thorpe Charitable Remainder Unitrust v. Leonel Federico and Morgan Stanley Dean Witter Docket 2003-012249 Attorneys: For Gainiant(s): Amy Bogran - Lake Oswego, OR For Respondent(s): Jonathan Robbins - San Francisco, CA Date Filed: 7/16/2003 First Scheduled: 09/27/2005 Dedded: 9/12/2006 Case Stunmary: Customer Claimant alleges negligence,

• NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Grover C. Churchill v. Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Peter Humphreys, HM Group Docket 2003-014688 Attomeys: For Claimant(s): Charles Hunter - Houston, TX Milton H. Fried - Houston, TX For Respondent(s): Peter W. Humphreys - Tucson, AZ Date Filed- 10/24/2003 First Scheduled: 02/21/2006 Decided:04/06/200 7 Case Summary: Claimant, a public cu

Arbitration - case //2003-014658, Oppenhcimer & Co. v Tlieodore Papado Page 1 of2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer 8c Co. v Theodore Papadopoulus v CIBC World Markets Corp. Docket:2003-014658 Attomeys: For Gaimant(s): Theodore R Snyder - New York, NY For Respondent(s): David A. Stein - New York, NY Date Filed: 10/20/2003 First Scheduled: 05/16/2006 Dedded: ijtl of Case S

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Armand F. Cortese, Patricia Corlese, Amanda Lange Cortese, Armand Cortese MD TTEE Profit Sharing Plan U/A/0 1/4/94, Armand Cortese MD TTEE Money Purchase Plan U/A/D l/4/94,Armand Cortese Cust for Kevin Armand Cortese UTMA/NY v. Morgan Stanley DW, Inc. Docket Number: 2003-014622 Attomeys: For Claimant(s): Howard Meyers - New York, NY For Respondent(s): Howard M.

'Arbitration - case #2003-014607. Prudential Hquiiy Group. Inc.. t/k Pace 1 of2 » NYSE neguiaxy- NYSE Regulation In the Matter of Arbitration Between Case: Prudential Equity Group, Inc., f/k/a Prudential Securities Inc. vs. Robert W. Lester vs. Prudential Equity Group, Inc., f/k/a Prudential Securities Inc. Docket: 2003-014607 Attomeys: For Qaimant(s): Marc S. Dobin - Jupiter, FL For Respondent(s): April 1. Halle - Ft. Lauderdale, FL Date Fi

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald Dean Walter and Rachel Ann Walter v. UBS PaineWebber, Inc. Docket Number: 2003-014598 Attomeys: For Claimant(s): Charles Wuest - Kingwood, TX For Respondent(s): Tracey Salmon-Smith - New York, NY Date Filed: 10/6/2003 First Scheduled: 1/30/2004 Decided: 4/20/2004 '•) Case Summary: Claimants, public customers, allege respondent made unsuitab

; I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray Inc. v. Steven C. Haman Docket Number: 2003-014547 Attomeys: For ClaimaDt(s): Nathan Brenna - Mirmeapolis, MN For Respondent(s): Steven Haman - Fargo, ND (PRO SE) Date Filed: 9/29/2003 First Scheduled: 4/12/2004 Decided: 4/12/2004 Case Summary: Claimant member firm alleges that Respondent registered representative breach

IMYSE New York Stock Exchange In the Matter of Arbitration Between IPase: Ramon Becce, Andrew Presti, Wayne Naegele and Ray-X Management Services, Inc. v. Bank of America Securities, LLC f/k/a Nations Banc, Montgomery Securities, LLC, and Richard Lucian Grande Docket 2003-014478 Attomeys: For Claimant(s): For Respondent(s): John T. McGuire - New York, NY Gerald B. Kline - Atlanta, GA Michael P. Gilmore - Mineola, NY Scott T. Beall - Memp

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salvatore Spaltro vs. Northport Securities Inc. Docket Number: 2003-014458 Attomeys: For Claimant(s): Salvatore Spaltro - Bayoime, NJ For Respondent(s): John Lovi - New York, NY • ^ Date Filed: 9/4/2003 Case Summary: Alleged failure to pay commissions First Scheduled: 4/8/2004 Dedded: 4/8/2004 Product: Other Market: NYSE Claim Data