I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Melissa E. Welch v. Morgan Stanley Dean Witter and John Martino Docket Number: 2002-010582 Attomeys: For Claimant(s): Melissa Welch - Nokesville, VA Carol Luttati - New York, NY For Respondent(s): John West - Baltimore, MD Date Filed: 8/2/2002 First Scheduled: 3/6/2003 Decided: 3/22/04 Case Summary: Claimant alleges that respondents' distribution fr

'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roberta Felchlin and Edward Denker vs. H&R Block Financial Advisors, Inc. and Daoud Georgis Docket Number: 2002-010570 Attomeys: For Claimant(s): Edward Glenn - New York, NY For Respondent(s): Donald Wray - Detroit, MI Date Filed: 8/8/2002 First Scheduled: 3/18/2003 Decided: 6/16/2004 Case Summary: Customer vs. Member Firm and Registered Rep alleging fraud, secu

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Edward Morawiec, Maria Morawiec, and Donna Morawiec, v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Stamatios K. Tzemis Docket Number: 2002-010546 Attomeys: For Claimant(s): Michael Gilmore - Mineola, NY For Respondent(s): David Libowsky - New York, NY Date Filed: 7/26/2002 First Scheduled: 5/7/2003 Decided: 03/09/2004 Case Summary: Claimants, Public

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Frank J. Goldman, Howard E. Goldman and Kirk Huddles Docket Number: 2002-010509 Attomeys: For Claimant(s): Robert A.W. Boraks - Washington, DC For Respondent(s): Robert Shaffer, III - Baltimore, MD Date Filed: 7/24/2002 First Scheduled: 2/26/2003 Decided: 05/05/2004 Case Summary: Claimant, a Member Firm, alleges brea

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: RBC Dain Rauscher Inc. v Wedbush Morgan Securities Inc. Docket Number: 2002-010495 Attomeys: For Qaimant(s): Nancy Hendrickson - Chicago, IL For Respondent(s): Bruce Campbell - Portland, OR Justin Sawyer - Portland, OR Date Filed: 7/19/2002 First Scheduled: 01/29/2003 Dedded: 10/10/2005 Case Siunmary: Member Firm Claimant alleges Member Firm tortiously inte

NYSE SE Regulation e Matter of Arbitration Between Case: 627(f) claimant v. TD W&terhouse Investor Services, Inc. Docket: 2002-0 M)476 Attomeys: ForClaimant(s): Self-represented - Los Angelas, CA For Respondent(s): John Erickson - Los Angeles, CA Date Filed: 6/27/2002 First Scheduled: 09/14/2005 Decided: 4-03-07 Case Summary: Customer claimant alleges breach of fiduciary duty, fraud, negligence and violations of California Securities Law

J NYSE Regulation WrSE Regulation In the Matter of Arbitration Between Case: Evelyn Chernikoff v. Morgan Stanley Dean Witter and Bruce Marks v. Bruce Marks Docket 2002-010475 Attomeys: For Gaimant(s): For Respondent(s): For TUrd Party: Julie Vaccarelli - Cleveland, OH Michael A. Gross - Cleveland, OH Bruce Marks - Lyndhurst, OH Date Filed: 7/15/2002 First Scheduled: 06/17/2003 Decided: 8/17/2006 Case Summary: Customer claiman

•NYSE NYSE Regulation In the Matter of Arbitration Between Case: Clara K. Jacoby TR U/A/D 4-27-82, Matthew Jacoby, Barbara Adelstein and Samuel K. ]acoby, Trustees v. Morgan Stanley Dean Witter and Robert Fisher Docket: 2002-010472 Attomeys: For Claimant(s): Frank Sloan - Mandeville, LA For Respondent(s): Mark Parmelee - New York, NY Date Filed: 7/12/2002 First Scheduled: 01/13/2004 Decided: -^ /;? 5?/ c r\ Case Summary: Customer Claiman

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Mark J. Russo, Trustee for Mark J. Russo Trust vs. Morgan Stanley Dean Witter, Scott Svirsky and Douglas Wiley Docket 2002-010471 Attorneys: For Claimant(s): Charles E. Lobb - Houston, TX D. Michael Bitz - Miami, FL For Respondent(s): Peter W. Homer - Miami, FL Date Filed: 7/9/2002 First Scheduled: 09/11/2003 Decided: 2/5/2007 Case Summary: Customer Claimant alleges

* NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George Fortunato, Jacqueline Fortunato and Ann Marie Fortunato v Merrill Lynch and George Smith Docket Number: 2002-010462 Attomeys: For Clainiant(s): Edward Glenn - New York, NY For Respondent(s): Dominick Evangelista - New York, NY Date Filed: 6/27/2002 First Scheduled: 1/26/2004 Decided: 5/27/04 Case Summary: Claimant, a public customer, alleges the foll