• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Thomas Marsoner v Salomon Brothers International Operations, Inc., Salomon Brothers, Inc., and Salomon Smith Barney, Inc., Salomon, Inc., Citigroup, Inc. and Travelers, Inc. Docket Number: 2002-010011 Attorneys: For Claimant(s): David Wechsler - New York, NY For Respondent(s): Mark Lemer - New York, NY Date Filed: 3/1/2002 First Scheduled: 8/27/2003 Decided

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert H. Walsh, and Barden, Carol Lynch, v. First Union Securities and Ray Gibson Docket Number: 2002-009958 Attomeys: For Claimant(s): Hayden Bums - Houston, TX For Respondent(s): Retta Miller - Dallas, TX Date Filed: 2/19/2002 First Scheduled: 4/1/1000 S'J^ -7/a^^^^^ Decided: 05/25/2004 Case Summary: Claimants, public customers, allege failure to

^ NYSE Reauiaiion NYSE Regulation In the Matter of Arbitration Between Case: Arthur Douse v. Quick & Reilly Inc. Docket 2002-009977 Attomeys: For Claimant(s): Mark A. Tepper - Ft. Lauderdale, FL For Respondent(s): Bennett Falk - Miramar, FL Date Filed: 2/25/2002 First Scheduled: 04/23/2003 Decided: 6/29/2006 Case Summary: Customer Claimant alleges unsuitable trading in "extremely risky naked calls and puts", misrepresentation, fraud, failure to

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Leon A. Wiatrak v Collins & Company & John P. Collins, Jr. Docket Number: 2002-009978 Attomeys: For Claimant(s): Bertram Izant - San Francisco, CA For Respondent(s): Edward Zusman - San Francisco, CA Date Filed: 2/19/2002 First Scheduled: 3/9/2004 Decided: 4/01/2004 Case Summary: Claimant, a former employee, alleges that respondent wrongfully terminated his en^iloy

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gregory J. Ward v. Merrill Lynch Pierce Fenner & Smith and Raymond Andre Docket Number: 2002-009967 Attomeys: For Claimant(s): Anthony Hom - New York, NY For Respondent(s): G. Jeffrey Boujoukos - Philadelphia, PA Date Filed: 2/4/2002 First Scheduled: 3/18/2003 Decided: (^/Z^^/^ Y Case Summary: Customer alleges that member fimi and registered representative

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sam Mandelker v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-009936 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 2/15/2002 First Scheduled: 9/8/2003 Decided: -^/z^/< rY Case Summary: Customer claimant alleges breach of contract, fail

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Harold Maurin v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-009934 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 2/15/2002 First Scheduled: 9/8/2003 Decided: ^/^f/CY Case Summary: Customer claimant alleges breach of contract, f

Award NASD Dispute Resolution In the Matters of the Arbitration Between: Robert Geringer, Claimant v. Dormer Corporation International, Western Securities Clearing Corp., Equity. Trust Advisors, Inc., Jeffrey L. Baclet, William H. Seals, Rebecca Wilson, David S. DaDal, and Donna Bartlett Lawson, Respondents Dormer Corporation International and Jeffrey L. Baclet, Counter-Claimants v. Robert Geringer, Counter-Respondent Dormer Corporation International an

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sera Larondelle SEP IRA and Sera Larondelle vs. Jeffrey Ortiz and Bear Steams & Company, Inc. Docket Number: 2002-009775 Attomeys: For Claimant(s): G. Lynn Thorpe - New Rochelle, NY For Respondent(s): Robert Shimberg - Tampa, FL Date Filed: 1/9/2002 First Scheduled: 5/19/2004 Decided: 6/14/2004 Case Summary: Customers vs. Member Firm and Registered Rep alleging

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Phil Fonfara, Martin Gately, John Ott, William Sias, Robert Sniezek, Jr., Robert Stidham, Mark Zanelli and Burton Bachrach v Prudential Securities, Inc. Docket Number: 2001-009461 Attomeys: For Claimant(s): Jeffrey Liddle - New York, NY For Respondent(s): Thomas Kavaler - New York, NY Date Filed: 9/7/2001 First Scheduled: 11/5/2002 Decided: v5'/zv/o^ Case S