i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Shelley Nadell v. Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch Asset Management, L.P., and Robert D. Finan Docket Number: 2003-012122 Attomeys: For Claimant(s): Jenice Malecki - New York, NY For Respondent(s): Angela Turiano - New York, NY David Libowsky - New York, NY Date Filed: 7/24/2003 First Scheduled: 2/9/2004 Dedded: 2/26/2004 J

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joy Reid Morgan and Joy Reid Morgan IRA, (Claimant) v. First Union Securities, Inc. and Neil R. Collins (Respondents) Case Number. 01-3451 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Joy Reid Morgan and Joy Reid Morgan IRA, hereinafter referred to as "Claimant": Harry S. Miller, Esq., and Matthew Turtle, Esq., Perkins, Smith & Cohen,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Klosek v. Prudential Securities, Inc. Docket Number: 2003-012043 Attorneys: For Claimant(s): WilUam Dahill - New York, NY For Respondent(s): Ronald Wolf- New York, NY Date Filed: 7/2/2003 First Scheduled: 1/26/2004 Dedded: 1/20/2004 Case Summary: Customer, a claimant, alleges that respondent, a member firm, purchased specific stock at a full do

' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Leonard M. Singer v Salomon Smith Barney Inc, and Herman Bruckner Dodcet 2003-012000 Attorneys: For Claimant(s): Richard Goren - Framingham, MA For Respondent(s): Sandra Sue McQuay - Boston, MA Date Filed: 6/30/2003 First Sdieduled: 02/13/2006 Dedded: 11/15/2006 Case Summary: Customer claimant alleges failure to follow instructions and issue checks resulting in an inabi

• * NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Evette Mayo v. Morgan Stanley Dean Witter, UBS Financial Services Inc. and John Yates Dodset 2003-011991 Attorneys: For Qaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Jeffrey W. Willis - Atlanta, GA Wen Huntchinson - Charlotte, NC Date Filed: 6/23/2003 First Scheduled: 06/06/2005 Dedded: 9/08/2006 Case Summary: Customer claimant alleges unsuita

I i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Greene Denison vs. Charles Schwab, Inc. Docket Number: 2003-011977 Attomeys: For Claimant(s): John Greene Denison - Newport Beach, CA For Respondent(s): Geoffrey Moore - San Francisco, CA Date Filed: 6/9/2003 First Scheduled: 3/15/2004 Decided: 4/2/2004 Case Summary: Customer vs. Member Firm, in a dispute involving an investment of 200 shares of

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John A. Yapaola v. Goldman, Sachs & Co. Docket Number: 2003-011964 Attomeys: For Claimant(s): Jonathan Lagemaim - New York, NY For Respondent(s): Michael Dell - New York, NY Date Filed: 6/17/2003 First Scheduled: 3/8/2004 Dedded: 3/8/2004 Case Summary: Customer, claimant, contends that Goldman Sachs Investment Bankers, influenced the objectivity o

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kenneth Blumenstein vs. UBS PaineWebber, Inc. Docket Number: 2003-011917 Attomeys: For Claimant(s): Steven Caruso - New York, NY For Respondent(s): Kenneth Crowley - New York, NY Date Filed: 6/4/2003 First Scheduled: 11/20/2003 Decided: 4/7/2004 Case Summary: Customer vs. Member Firm alleging improper and unlawful conduct, misrepresentations and omissio

iPNYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerald Tyre Hendrix, Jr. v. Wachovia Securities, Inc, Richard E. Jones v. Gerald Tyre Hendrix, Jr. Docket 2003-011915 Attomeys: For Claimant(s): For Respondent(s): Gerald Tyre Hendrix - Brevard, NC Charles E. Johnson - Charlotte, NC James M. Kimzey - Brevard, NC Date Filed- 5/19/2003 First Scheduled: 09/22/2004 Dedded: 2/27/2006 Case Summary: Registered Rep

I NYSE New York Stock Exchange ) In the Matter of Arbitration Between Case: Robert T. Wozniak ttee, Barbara Wozniak ttee. Rev. Trust dated 4/24/96 vs. Salomon Smith Bamey, Stan Dwight and John Hanenburg, III Docket Number: 2003-011913 Attomeys: For Claimant(s): Robert Wozniak - Scottsdale, AZ For Respondent(s): Jennifer P. Nore - Phoenix, AZ Date Filed: 6/4/2003 First Scheduled: 5/13/2004 Decided: 5/14/2004 Case Summary: Cust