•NYSE WwrYoikaiodcEpAgy In tb* MSTH*** «iif AAhnitlwi Betmem One; SangjfoHav.MoigroSBnley^Deaa'VtrinerJaiietHaibFnidmddSeaxri^ W.Dam^ow Oackw2a02-D10356 FnCldiiiBiiiCa): Erwin Cofaii-Chic^o,IL FoirBeipagidc9Bt(«): Bmethernlu-Oua^ll, Steve M. Mafiat - OilcBgo, n. Dirie Hied: 6/10/2002 Km SdHdnlob 02/25/2003 Deddedb J / / 7 / () (;, Cue Svaunaiy: Cnstomer dannant alleges unauthorized iniiMcdans» diuzaing, yjdiaSam oSSRD

r I NYSE ew York Stock Exchange k Matter of Arbitration Between ase: Paul Mouldenhauer Jr. and Lisa Mouldenhauer, individually, and as Trustees of the Mouldenhauer 1999 Revocable Trust v. Morgan Stanley Dean Witter and David Owen Earle iQcket: 2002-010196 ttomeys: For Claimant(s): For Respondent(s): Alan W. Sparer - San Francisco, CA Micah R. Jacobs - San Francisco, CA Eric G. Wallis - Oakland, CA )ate Filed: 4/17/2002 First

I IMYSE New York Stock Exchange I the Matter of Arbitration Between Case: Joe and Carol Ann Friscia v PaineWebber, Inc. and Michael Hack Docket Number: 2002-011026 Attomeys: For Clainiant(s): Al Lemke - Santa Cruz, CA For Respondent(s): Eric Wallis - Oakland, CA Date Filed: 11/12/2002 First Scheduled: 5/11/2004 Decided: 6/2/2004 Case Summary: Claimants, customers, have alleged that respondent breached their fiduciary duty by maki

i IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Theodore C. Gregory, IRA v. Merrill Lynch, Pierce Fenner & Smith, Inc. Docket Number: 2002-011014 Attomeys: For Claimant(s): Morgan Bentley -, Debra Speyer - Philadelphia, PA For Respondent(s): William Mahoney, Jr. - Philadelphia, PA Date Filed: 11/12/2002 First Scheduled: 5/17/2004 Decided: .',|,' .'.'i^'j Case Summary: Public customer claimant agains

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Suzanne L. Yerdon v. Salomon Smith Bamey, Inc. Docket Number: 2002-011001 Attomeys: For Claimant(s): Tracy Pride Stoneman - Westcliffe, CO For Respondent(s): Hugo Hilgendorff IV - New York, NY Date Filed: 11/6/2002 First Scheduled: 12/15/2003 Decided: May 12, 2004 Case Summary: Customer claimant alleges negligence, violations of federal and state securities

i New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott, LLC v. John D. Conaboy Docket Number: 2002-010986 Attomeys: For Claimant(s): Adam Miller - Margate, FL For Respondent(s): John Conaboy - Ft. Lauderdale, FL Date Filed: 11/25/2002 First Scheduled: 4/15/2004 Decided: 4/15/04 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note. Product: Promi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Albert W. King, J. Denise King and The King Family Revocable Trust and 01-03439 Phoenix, Arizona Name of Respondents A. G. Edwards & Sons, hie. REPRESENTATION OF PARTIES Albert W. King, J. Denise King and The King Family Revocable Trust ("Claimants") were represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. At the hearing

I NYSE ''TSE Regulation the Matter of Arbitration Between Case: Lillian Portnoy, individually and as Successor Trustee of the Portnoy Living Trust v. UBS PaineWebber Inc. and Prudential Securities, Inc. Docket: 2002-010981 Attomeys: For Claimant(s): Mark M. Hathaway - Los Angeles, CA For Respondent(s): John Cotton - Los Angeles, CA Michael Firestein - Los Angeles, CA Date Filed: 11/1/2002 First Scheduled: 11/15/2005 Decided: ^ //3 /o

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Inc. v. Todd R. Newman Docket Number: 2002-010902 Attomeys: For Claimant(s): Steven Gomberg - Chicago, IL For Respondent(s): Richard Levan - Philadelphia, PA Date Filed: 10/9/2002 First Scheduled: 3/10/2004 Decided: ^y^/^r Case Summary: Claimant, member firm, alleges the respondent, a former registered representative, owes a balance

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James Medford, Alta Medford, Gary Ewing, Inez Ewing, Gary Goree and Judy Goree v. Merrill Lynch, Pierce, Fenner & Smith Inc.; George Fritz Stahmer, III; Jeffrey W. Hendley and Thomas Klucsarits Docket Number: 2002-010870 Attomeys: For Claimant(s): Kenneth Siegel - Denver, CO For Respondent(s): Thomas Swigert - Minneapolis, MN Date Filed: 10/7/2002 First Schedul