i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Steven Michael Feinberg v. Salomon Smith Barney and Ralph LaPorta and Catherine E. Galgano Docket Number: 2002-010852 Attomeys: For Claimant(s): Stephen Murakami - Jericho, NY For Respondent(s): Michael Farkas - New York, NY Date Filed: 10/8/2002 First Scheduled: 2/12/2004 Decided: Case Siunmary: C V. mf and rr alleges failure to timely process and exec

"NYSE NYSE Regulation In the Matter of Arbitration Between Case: Anthony and Ming Wu v Morgan Stanley DW Inc. and Jack Halley Docket: 2002-010789 Attomeys: For Claimant(s): Steve A. Buchwalter - Encino, CA For Respondent(s): Kevin K. Fitzgerald - Los Angeles, CA _ Y. Date Filed: 9/10/2002 First Scheduled: 03/22/2005 Decided Illr/oi. Case Summary: Customer claimants alleges unsuitable investments, churning, violations of federal and Calif

•NYSE New York Stock Exchange In tlie Matter of Arbitration Between Case: Daniel Griffin v Edward D. Jones & Co. and Robert Schachner Docket Number: 2002-010788 Attomeys: For Claimant(s): Erwin Cohn - New York, NY For Respondent(s): Lisa Nielsen - St. Louis, MO Date Filed: 9/23/2002 First Scheduled: 9/24/2003 Decided: -^/py/oY Case Summary: Customer against member firm and registerd representative for unsuitable investments,

i NYSE New York Stock Excliange In the Matter of Arbitration Between Case: Jon A. Graber, v. Lehman Brothers Inc. Docket Number: 2002-010778 Attomeys: For Claimant(s): Ethan Brecher - New York, NY For Respondent(s): Robert Holtzman - New York, NY Date Filed: 9/26/2002 First Scheduled: 3/22/2004 Decided: 04/29/2004 Case Summary: Claimant, a registered representative alleges a bonus dispute, unjust enrichment and wrongful t

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. David Wetzel Docket Number: 2002-010767 Attomeys: For Claimant(s): Douglas Stone - New York, NY For Respondent(s): David Wetzel - Wichita, KS Date Filed: 9/23/2002 First Scheduled: 5/25/2004 Decided: 5/25/04 Case Summary: Member firm claimant alleges breach of employment agreement and non payment of promissory note.

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lauris Ffrench, individually, and as Grantor and Beneficiary of the Lauris Ffrench Roth IRA and Joyce Ffrench, individually, and as Grantor and Beneficiary of the Joyce Ffrench Roth IRA v. Raymond James 8i Associates, Inc., George Arthur Murphy, Jr., and Thomas Michael Walrond, Jr. Docket Number: 2002-010724 Attorneys: For Clalmant(s): Glenn Gitomer - Radnor, PA Fo

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kathryn Farina v. Prudential Securities Inc., (n/k/a Prudential Financial) and Kevin A. Lynar Docket Number: 2002-010723 Attorneys: For Claimant(s): Neil Sussman - New York, NY For Respondent(s): Brian McDonough - New York, NY Date Filed: 9/9/2002 First Scheduled: 6/24/2003 Decided: 12/24/03 Case Summary: The Statement of Claim alleges unsuitability

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. EMC. CASE: 01-343S PJ Perry and Gayle L. Perry, Claimants vs. John Healy and Ralph Merhi, Respondents. ATTORNEYS: ~~~ Claimants, PJ Perry and Gayle L. Perry, appeared Pro Se., Homestead, FL. Respondent, Ralph Merhi, appeared Pro Se., Forth Lauderdale, FL. Respondent, John T. Healy did not submit an answer to the Statement of Claim. DATE FILED: June 28, 2001 CASE SUMMARY: Claimants alleged that R

i NYSE New York Stock Excliange In the Matter of Arbitration Between Case: Phillip Dascher M.D., as Trustee for the Phillip Dascher M.D., P.A. Money Purchase Pension Plan v Merrill Lynch Pierce Feimer Smith Inc. and Merrill Lynch & Company Docket Number: 2002-010708 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 9/3/2002 First Scheduled: 4/23/2004 Decided: 5

• NYSE New York Stock Exchange In tlie Matter of Arbitration Between Case: Carmine Bedotto and Wilson Wallace, as Trustees of the Bedotto and Wallace, MD, P.A. Profit Sharing Plan and Trust #2 v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Docket Number: 2002-010707 Attomeys: For CIainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 9/3/2002 First Scheduled D