____________________________________________________________________________________ National Association of Securities Dealers 9509 Key West Avenue Rockville, MD 20850 (800) 289-9999 October 14, 2005 NASD BROKERCHECK RESPONSE TO REQUEST FOR INFORMATION The Board of Governors of the National Association of Securities Dealers, Inc. (NASD) has adopted a public disclosure policy which permits certain types of disciplinary information on NASD member firms and their associated persons to be available to the general public. Section 15A(i) of the Securities Exchange Act of 1934, as amended, requires registered securities associations to respond to inquiries regarding disciplinary actions involving its members and their associated persons. NASD believes that the general public should have access to information which will help them in their determination whether to conduct or continue to conduct business with an NASD member or any of the member's associated persons. 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In certain limited circumstances, disclosure information may not be available through NASD BrokerCheck within the usual timeframe, but will be made available as soon as practicable. 10. Consistent with policies and procedures approved by the Securities and Exchange Commission (SEC), NASD will disclose information on individuals and brokerage firms, through NASD BrokerCheck, for two years after the termination of the individual's or brokerage firm's NASD registration. Disclosure information reported to NASD after an individual or brokerage firm has terminated may not have been reviewed by the brokerage firm or individual; in addition, brokerage firms and individuals who are no longer registered are not required to independently report such information. 11. NASD BrokerCheck includes only information provided to CRD. In substantially all cases, the information provided through NASD BrokerCheck represents the verbatim record as it was reported to NASD. However, in certain limited circumstances, NASD combined information about a single event that was reported by different sources (e.g., a record reporting information on an event that was submitted by a brokerage firm may contain information reported on the same event that was submitted by a regulator). This condition occurred when the data in the Legacy CRD system was converted (i.e., reformatted and transferred) to Web CRD, the Internet-based Central Registration Depository. This condition affects a small percentage of records reported to NASD prior to August 1999. These converted records contain information that was reported to NASD in accordance with appropriate reporting protocols applicable to the source filers (e.g., brokerage firms and regulators); however, because of the combination of information from different reporting sources, a record disclosed through NASD BrokerCheck may not reflect the actual filing submitted to NASD. 12. The "Individual Broker comments," "Brokerage Firm comments" and "Regulator comments" appear verbatim as they were provided to CRD via Forms U-4, U-5, and U-6. These comments were not written by NASD and have not been edited by NASD in any way. NASD reserves the right to redact customer names, confidential customer information, or offensive or potentially defamatory language from an NASD BrokerCheck Report consistent with policies and procedures approved by the SEC. TC 02.1 General Information About this Report This report has been generated because you have requested information about an NASD Member Firm through NASD BrokerCheck. The information contained within this report has been provided by NASD brokerage firm and securities regulators as part of the securities industry's registration and licensing process. An NASD BrokerCheck report for a Brokerage Firm consists of: 1) a Report Summary; 2) General Administrative Information, which includes the Types of Business the Brokerage Firm is engaged in, the Brokerage Firm's Legal Status, and the Brokerage Firm's Approved Registrations. The report also includes the Brokerage Firm's Disclosure Event information, if any. NASD BrokerCheck discloses the following information on brokerage firms: * the brokerage firm's name, CRD number, SEC identification number, "applicant name" or legal name, NASD district office which oversees the brokerage firm, and the brokerage firm's main and mailing addresses * the types of business in which the brokerage firm is currently engaged * details of the brokerage firm's legal status (i.e, corporation, partnership, etc.), state or country and date of formation, and its fiscal year end * all approved registrations * disclosure matters involving certain criminal charges and convictions, regulatory actions, civil judicial actions, and certain financial actions (e.g., bankruptcies, unsatisfied judgment/liens.) When evaluating this report, please keep in mind that a number of items may involve pending actions or allegations that may be contested and have not been resolved or proven. The items may, in the end, be withdrawn or dismissed, or resolved in favor of the brokerage firm, or concluded through a negotiated settlement with no admission or conclusion of wrongdoing. Also remember that the information in this report is not the only resource you should consult. It is recommended that you learn as much as possible about the brokerage firm from other sources. Ask for references. Ask family members or friends who already have established investment business relationships. Get in touch with local consumer and investors groups. Should you have any questions concerning information contained within this report, call (800) 289-9999 - a toll-free NASD BrokerCheck hot-line operated by NASD - or visit NASD Web Site at www.nasd.com. When calling or visiting the NASD Web Site, the information you will need includes the brokerage firm's name or CRD number. For definition of terms contained within this report or answers to Frequently Asked Questions, visit the Glossary or FAQs sections of NASD BrokerCheck at www.nasd.com. NASD BrokerCheck Report Printing Instructions The report contained below can be printed as is. However, unless the following steps are taken, the report may not print with the headers aligned or the text may run off the page. For the following report to be printed correctly, the following formatting steps must be completed: 1) Copy the text of the report into a text editor. 2) Delete these instructions down to and including the first dashed line. 3) Set the Font for the entire report to Courier, 8 point. 4) Set the left and right margins to 0. 5) Set the top and bottom margins to 0. Because every printer allows a different number of lines per page, the margins may have to be adjusted differently to get the headers to line up at the top of each page. The document is formatted to print 90 lines per page at the specified font. 6) Print the report. -------------------------------------------------------------------------------- NASD BrokerCheck October 14, 2005 Page 1 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 ******************************************************************************** REPORT SUMMARY ******************************************************************************** ************************************************************ Administrative Information: ************************************************************ Admin Information: Information that is required to be reported to NASD by brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). The administrative information contained in this report includes: (a) types of business the brokerage firm is engaged in; (b) legal status (e.g., corporation, partnership, sole proprietorship, limited liability company, etc.), state/country of formation unless legal status is sole proprietorship, date of formation, and month in which the brokerage firm's fiscal year ends; and (c) all approved registrations with the SEC, NASD and state securities commissions. Types of Business: 20 Legal Status: 1 Registrations: 63 ************************************************************ Disclosure Events: Yes ************************************************************ Disclosure Event: Information that is required to be reported to NASD by individual brokers via Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). Some disclosure events may have multiple reporting sources. For example, some information required to be reported by an individual broker via Form U-4 may also be reported on the individual broker's record by a brokerage firm via Form U-5 (Uniform Termination Notice for Securities Industry Registration) and/or by a regulator via Form U-6 (Uniform Disciplinary Action Reporting Form). If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the individual broker's NASD BrokerCheck report. Similarly, some information required to be reported by a brokerage firm via Form BD may also be reported on the brokerage firm's record via Form U-6. If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the brokerage firm's NASD BrokerCheck report. Criminal Actions: 0 Regulatory Actions: 140 Civil Judicial Actions: 0 Arbitrations: 1129 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 NASD BrokerCheck October 14, 2005 Page 2 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 ******************************************************************************** ADDRESS/GENERAL INFORMATION ******************************************************************************** This section provides the brokerage firm's name, CRD number, SEC number, Applicant Name on Form BD, NASD District where the brokerage firm is located, and the brokerage firm's main and mailing addresses. Applicant Name on Form BD: MORGAN STANLEY DW INC. SEC Number: 8-014172 Prior Business Names: DEAN WITTER REYNOLDS INC. MORGAN STANLEY DEAN WITTER Business Phone Number: 201-830-5055 Main Office Address Located in NASD District: 9-Woodbridge 2000 WESTCHESTER AVE LD PURCHASE, NY 10577 Mailing Address HARBORSIDE FINANCIAL CENTER, 34 EXCHANGE PLACE PLAZA 2, 2ND FLOOR, C/O NATIONAL REGISTRATION JERSEY CITY, NJ 07311 ******************************************************************************** TYPES OF BUSINESS ******************************************************************************** This section lists the type(s) of business that the brokerage firm is currently engaged in as reported on the Form BD. Broker or dealer selling corporate debt securities Broker or dealer retailing corporate equity securities over-the-counter Exchange member engaged in exchange commission business other than floor activities Government securities broker Government securities dealer Investment advisory services Broker or dealer making inter-dealer markets in corporate securities over-the-counter Mutual fund retailer Mutual fund underwriter or sponsor Broker or dealer selling interests in mortgages or other receivables Municipal securities broker Municipal securities dealer Put and call broker or dealer or option writer Solicitor of time deposits in a financial institution Broker or dealer selling tax shelters or limited partnerships in primary distributions Broker or dealer selling tax shelters or limited partnerships in the secondary market Trading securities for own account Underwriter or selling group participant (corporate securities other than mutual funds) Broker or dealer selling variable life insurance or annuities Effects transactions in commodity futures, commodities, commodity options as broker for others or dealer for own account ******************************************************************************** LEGAL STATUS ******************************************************************************** This section details the brokerage firm's legal status (i.e, corporation, limited partnership, etc.), state or country where formed, date of formation, and the month the brokerage firm's fiscal year ends. Legal Status: CORPORATION State/Country of Formation: DE Date of Formation: 04/14/1968 Fiscal Year End: NOV ******************************************************************************** REGISTRATIONS ******************************************************************************** This section provides the jurisdictions in which the brokerage firm is registered or licensed to do business, the category of each registration, and the date on which the registration was granted. Jurisdiction/SRO Category Status As Of Date AK Broker Dealer Approved 04/27/1974 AL Broker Dealer Approved 10/22/1981 NASD BrokerCheck October 14, 2005 Page 3 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGISTRATIONS(cont.) Jurisdiction/SRO Category Status As Of Date AMEX Broker Dealer Approved 02/25/1988 AR Broker Dealer Approved 11/30/1979 AZ Broker Dealer Approved 02/17/1984 BSE Broker Dealer Approved 10/01/1980 CA Broker Dealer Approved 01/01/1970 CBOE Broker Dealer Approved 06/17/1981 CHX Broker Dealer Approved 01/03/1978 CO Broker Dealer Approved 02/01/1983 CT Broker Dealer Approved 09/03/1968 DC Broker Dealer Approved 04/21/1983 DE Broker Dealer Approved 10/06/1981 FL Broker Dealer Approved 04/27/1983 GA Broker Dealer Approved 09/21/1981 HI Broker Dealer Approved 09/03/1968 IA Broker Dealer Approved 07/12/1983 ID Broker Dealer Approved 10/29/1981 IL Broker Dealer Approved 08/29/1968 IN Broker Dealer Approved 10/20/1981 ISE Broker Dealer Approved 05/22/2000 KS Broker Dealer Approved 09/01/1968 KY Broker Dealer Approved 07/16/1982 LA Broker Dealer Approved 04/20/1983 MA Broker Dealer Approved 07/31/1981 MD Broker Dealer Approved 10/03/1981 ME Broker Dealer Approved 02/08/1984 MI Broker Dealer Approved 02/02/1983 MN Broker Dealer Approved 07/15/1982 MO Broker Dealer Approved 07/15/1983 MS Broker Dealer Approved 10/14/1981 MT Broker Dealer Approved 04/20/1983 NASD Broker Dealer Approved 10/16/1936 NC Broker Dealer Approved 07/15/1982 ND Broker Dealer Approved 10/21/1981 NE Broker Dealer Approved 10/08/1981 NH Broker Dealer Approved 02/01/1983 NJ Broker Dealer Approved 07/12/1983 NM Broker Dealer Approved 10/07/1981 NSX Broker Dealer Approved 02/24/1993 NV Broker Dealer Approved 07/14/1983 NY Broker Dealer Approved 01/02/1985 NYSE Broker Dealer Approved 11/17/1982 OH Broker Dealer Approved 07/16/1982 OK Broker Dealer Approved 07/17/1982 OR Broker Dealer Approved 10/24/1981 PA Broker Dealer Approved 09/17/1968 PCX Broker Dealer Approved 03/24/1992 PHLX Broker Dealer Approved 10/30/1968 PR Broker Dealer Approved 09/01/1984 RI Broker Dealer Approved 02/01/1983 SC Broker Dealer Approved 10/28/1981 SD Broker Dealer Approved 07/15/1982 SEC Broker Dealer Approved 10/30/1968 TN Broker Dealer Approved 08/17/1981 TX Broker Dealer Approved 07/22/1983 UT Broker Dealer Approved 04/21/1983 VA Broker Dealer Approved 09/22/1981 VT Broker Dealer Approved 02/13/1984 WA Broker Dealer Approved 04/20/1983 WI Broker Dealer Approved 02/02/1953 WV Broker Dealer Approved 09/30/1981 WY Broker Dealer Approved 07/12/1983 NASD BrokerCheck October 14, 2005 Page 4 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 ******************************************************************************** REGULATORY ACTIONS ******************************************************************************** DISCLOSURE INFORMATION This section lists regulatory actions that were reported to CRD and are disclosable through NASD BrokerCheck. Disclosable regulatory actions include formal proceedings initiated by a regulatory authority (i.e., a state securities agency, NASD, New York Stock Exchange, foreign regulatory body, etc.) for a violation of investment-related rules or regulations. In addition, revocations or suspensions of an individual broker's authority to act as an attorney, accountant or federal contractor will appear here. Some of the fields in this section of the report may be blank if the information was not provided to CRD. ** OCCURRENCE COUNTS ** 140 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Reporting Source: The form through which details of the regulatory action was reported to CRD. * Date Reported: The date the regulatory action was reported to CRD. * Initiated By: The name of the securities regulator that initiated the regulatory action (e.g., regulator, foreign financial regulatory authority, self-regulatory organization, federal agency such as SEC, state, etc.). * Date Initiated: Date the regulatory action was initiated. * Docket/Case Number: Docket or case number of the regulatory action. * Employing Brokerage Firm: Brokerage Firm where individual broker was employed when activity occurred that led to the regulatory action. * Allegations: Allegations made against the individual broker leading to the regulatory action. * Current Status: The current status of the regulatory action (i.e., pending, on appeal or final). * Resolution: The resolution of the regulatory action (e.g., acceptance, waiver and consent; decision; decision and order of offer of settlement; order; settled; etc.). * Resolution Date: The date the regulatory action was resolved. * Sanction Details: Additional details regarding any sanctions ordered. * Summary: A summary of the details related to the regulatory action. ******************************************************************************** ******* REGULATORY ACTION (1 of 140) ******* Reporting Source: Regulator (Form U-6) Date Reported: 09/28/2005 Initiated By: WISCONSIN Date initiated: 09/06/2005 Docket/ Case Number: S-05073 Allegations: CONSENT ORDER OF ASSESSMENT WAS ISSUED FOR FAILURE TO TIMELY RESPOND TO A REQUEST FROM THE STAFF OF WI DEPT. OF FINANCIAL INSTITUTIONS FOR INFORMATION Current Status: Final Resolution: Order Resolution Date: 09/06/2005 Sanctions NASD BrokerCheck October 14, 2005 Page 5 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: THE SUM OF $3000.00 SHALL BE PAID AS AN ADMINISTRATIVE ASSESSMENT. Summary: CONSENT ORDER OF ASSESSMENT WAS ISSUED FOR FAILURE TO TIMELY RESPOND TO A REQUEST FROM THE STAFF OF WI DEPT. OF FINANCIAL INSTITUTIONS FOR INFORMATION ******* REGULATORY ACTION (2 of 140) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/15/2005 Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 08/11/2003 Docket/ Case Number: E-2003-53 Allegations: THE MASSACHUSETTS SECURITIES DIVISION COMMENCED AN ACTION AGAINST MORGAN STANLEY DW, INC. ("MSDW") RELATING TO CERTAIN SALES PRACTICES AT MSDW'S BOSTON-BACK BAY BRANCH OFFICE AND OTHER BRANCH OFFICES WITHIN THE COMMONWEALTH OF MASSACHUSETTS. THE ALLEGATIONS FOCUSED ON THE SALE OF PROPRIETARY MUTUAL FUNDS AS WELL AS THE SALE OF MUTUAL FUNDS ISSUED BY CERTAIN MUTUAL FUND COMPANIES WITH WHOM MSDW HAD ENTERED INTO A MUTUAL RELATIONSHIP ("PARTNER FUNDS"). THE SECURITIES DIVISION ALLEGED THAT MSDW IMPROPERLY PROMOTED THE SALE OF PROPRIETARY AND PARTNER FUNDS THROUGH INCREASED SALES COMMISSIONS AND YEAR-END BONUSES, ALLOCATION OF ADDITIONAL TRAVEL AND EXPENSE REIMBURSEMENTS AND BUSINESS DEVELOPMENT MONIES, AND VARIOUS CONTESTS THAT OFFERED REWARDS AND PRIZES. BASED ON THESE PRACTICES, THE SECURITIES DIVISION ALLEGED THAT MSDW VIOLATED SECTIONS 101 AND 204 OF THE UNIFORM SECURITIES ACT RELATING TO ALLEGED MISREPRESENTATIONS AND OMISSIONS, DISHONEST AND UNETHICAL CONDUCT, AND A FAILURE TO SUPERVISE. Current Status: Pending Summary: ON MARCH 27, 2005, AN ORDER WAS ENTERED DISMISSING ALL CLAIMS AGAINST MSDW. A MOTION BY THE MASSACHUSETTS SECURITIES DIVISION FOR RECONSIDERATION OF THAT ORDER IS PENDING. ******* REGULATORY ACTION (3 of 140) ******* Reporting Source: Regulator (Form U-6) Date Reported: 08/05/2005 Initiated By: NASD Date initiated: 08/01/2005 Docket/ Case Number: EAF0301160001 Allegations: NASD CONDUCT RULES 3010 AND 2110- RESPONDENT FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO REVIEW AND MONITOR ITS FEE- BASED BROKERAGE BUSINESS. AS A RESULT, THE RESPONDENT FIRM ALLOWED 3,549 CUSTOMERS IN THEIR CHOICE PROGRAM TO CONTINUE WITHOUT REASSESSING WHETHER THE ACCOUNTS REMAINED APPROPRIATE FOR THEM. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/01/2005 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $1,500,000.00 Resolution NASD BrokerCheck October 14, 2005 Page 6 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED, FINED $1,500,000 AND MUST PAY $4,640,582 IN RESTITUTION TO CUSTOMERS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/08/2005 Initiated By: NASD Date initiated: 11/18/2004 Docket/ Case Number: EAF0301160001 Allegations: NASD FOUND THAT MORGAN STANLEY DW, INC. VIOLATED NASD RULES 3010 AND 2110 BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO REVIEW AND MONITOR ITS FEE-BASED BROKERAGE BUSINESS BETWEEN JANUARY 2001 AND DECEMBER 2003. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/01/2005 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $1,500,000.00 Resolution Details: N/A Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND FINDINGS. THE FIRM WAS CENSURED AND FINED $1.5 MILLION, AND AGREED TO THE PAYMENT OF RESTITUTION TO 3,549 CUSTOMERS IN THE TOTAL AMOUNT OF APPROXIMATELY $4,640,582, PLUS INTEREST AT THE RATE SET FORTH IN SECTION 6621(A)(2) OF THE INTERNAL REVENUE CODE, 26 U.S.C. 6621(A)(2), FROM DECEMBER 31, 2003 UNTIL THE DATE THE AWC IS ACCEPTED BY NAC. SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION SHALL BE PROVIDED TO NASD STAFF NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THE AWC. IF FOR ANY REASON THE FIRM CANNOT LOCATE ANY CUSTOMER IDENTIFIED IN ATTACHMENT A OF THE AWC AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN SUCH PERIOD, OR SUCH ADDITIONAL PERIOD AGREED TO BY THE STAFF, THE FIRM SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY, OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER IS LAST KNOWN TO HAVE RESIDED. ******* REGULATORY ACTION (4 of 140) ******* Reporting Source: Regulator (Form U-6) Date Reported: 05/06/2005 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 04/19/2005 Docket/ Case Number: 02-49 Allegations: RESPONDENT VIOLATED EXCHANGE RULE 320(B) IN THAT THEY (I)FAILED TO HAVE REASONABLE POLICIES OR PROCEDURES IN PLACE ON 8-6-01 & 8-7-01 TO DETECT OR PREVENT AN EMPLOYEES' ACCOUNT OR RELATED ACCOUNT FROM ENTERING MULTIPLE ODD-LOT ORDERS, RATHER THAN LARGER ROUND LOT ORDERS; AND (II) FAILED TO TAKE STEPS IN A REASONABLY TIMELY MANNER TO REMIND ITS EMPLOYEES OF THEIR CONTINUING OBLIGATION TO ADHERE TO EXCHANGE RULES 205 & 208. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/29/2005 NASD BrokerCheck October 14, 2005 Page 7 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Other Sanctions: CENSURE + $30,000 FINE. Resolution Details: CENSURE + $30,000 FINE. Summary: ANY ADDITIONAL QUESTIONS, PLEASE CONTACT NASD AMEX REGULATION DIVISION- ENFORCEMENT DEPARTMENT *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/04/2005 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/26/2004 Docket/ Case Number: CASE NO. 02-49 Allegations: AMEX ALLEGED, INTER ALIA, THAT MORGAN STANLEY VIOLATED AMEX RULE 320(B) BY FAILING TO HAVE REASONABLE POLICIES AND PROCEDURES IN PLACE ON AUGUST 6 AND 7, 2001 TO DETECT AN ACCOUNT OR RELATED ACCOUNTS FROM ENTERING MULTIPLE ODD LOT ORDERS THAT SHOULD HAVE BEEN AGGREGATED INTO ROUND LOT ORDERS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/19/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Other Sanctions: N/A Resolution Details: N/A Summary: MORGAN STANLEY, WITHOUT ADMITTING OR DENYING LIABILITY, CONSENTED TO THE CENSURE AND FINE DESCRIBED ABOVE. ******* REGULATORY ACTION (5 of 140) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/22/2005 Initiated By: STATE OF ILLINOIS Date initiated: 03/28/2005 Docket/ Case Number: FILE NO. 0300627 Allegations: THE STATE OF ILLINOIS ALLEGES, INTER ALIA, THAT A MORGAN STANLEY FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND SOLD SECURITIES TO A RESIDENT OF ILLINOIS WHILE NOT REGISTERED TO SELL SECURITIES IN ILLINOIS. Current Status: Pending Summary: MORGAN STANLEY RESPECTFULLY SUBMITS THAT THE ALLEGATIONS AGAINST IT ARE WITHOUT MERIT, AND IT INTENDS TO VIGOROUSLY DEFEND AGAINST THIS ADMINISTRATIVE ACTION. ******* REGULATORY ACTION (6 of 140) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/25/2005 NASD BrokerCheck October 14, 2005 Page 8 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: IDAHO DEPARTMENT OF FINANCE Date initiated: 02/08/2005 Docket/ Case Number: N/A Allegations: THE IDAHO DEPARTMENT OF FINANCE IS INVESTIGATING WHETHER A FORMER FINANCIAL ADVISOR OF THE FIRM VIOLATED THE IDAHO SECURITIES ACT AND WHETHER THE FIRM REASONABLY FAILED TO SUPERVISE THIS FINANCIAL ADVISOR. Current Status: Pending Summary: MORGAN STANLEY RECEIVED NOTICE FROM THE STATE OF IDAHO?S DEPARTMENT OF FINANCE REGARDING THE PRELIMINARY FINDINGS OF ITS INVESTIGATION. MORGAN STANLEY INTENDS TO RESPOND TO THESE FINDINGS BY MARCH 7, 2005. NO FORMAL ACTION HAS BEEN TAKEN BY THE STATE OF IDAHO AS OF THE DATE OF THIS FILING. ******* REGULATORY ACTION (7 of 140) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/11/2005 Initiated By: DELAWARE SECURITIES DIVISION Date initiated: 12/23/2003 Docket/ Case Number: DOCKET NUMBER: 02-2-6 Allegations: UNAUTHORIZED AND UNSUITABLE TRADING (INCLUDING FAILURE TO SUPERVISE FINANCIAL ADVISOR) IN THE ACCOUNTS OF ROBERT AND CAROL APPLEGATE BETWEEN APPROXIMATELY JULY 1998 TO DECEMBER 2001. Current Status: Final Resolution: Settled Resolution Date: 08/31/2005 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: MONETARY PAYMENT OF $650,000 PAYABLE TO ROBERT AND CAROL APPLEGATE Resolution Details: ON AUGUST 31, 2005 ALL PARTIES AGREED TO SETTLE THE COMPLAINT PURSUANT TO A CONSENT ORDER IN WHICH ALL PARTIES AGREED THAT MORGAN STANLEY WOULD PAY A $50,000 FINE TO THE STATE OF DELAWARE AND PAY $650,000 TO ROBERT AND CAROL APPLEGATE, AND THE COMPLAINT WOULD BE DISMISSED AGAINST ALL RESPONDENTS WITH PREJUDICE. THE PAYMENTS WILL BE MADE ON OR ABOUT SEPTEMBER 30, 2005. MR.. ECONOMOU AND MR.. COUGHLIN DID NOT CONTRIBUTE TO THESE PAYMENTS. Summary: ON AUGUST 31, 2005 THE REGULATORY ACTION WAS DISMISSED AGAINST MSDW, MR.. ECONOMOU AND MR.. COUGHLIN WITH PREJUDICE BASED UPON A SETTLEMENT AGREEMENT, WHICH REQUIRED MSDW TO PAY THE STATE OF DELAWARE $50,000 AND TO PAY ROBERT AND CAROL APPLEGATE $650,000. MSDW WILL SATISFY THESE PAYMENTS ON OR ABOUT SEPT. 30, 2005. MESSRS. ECONOMOU AND COUGHLIN DID NOT CONTRIBUTE TO THESE PAYMENTS. ******* REGULATORY ACTION (8 of 140) ******* Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/25/2005 Initiated By: DELAWARE DIVISION OF SECURITIES Date initiated: 02/18/2005 Docket/ NASD BrokerCheck October 14, 2005 Page 9 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Case Number: CASE NO. - 01-6-1 Allegations: DISHONEST AND UNETHICAL BUSINESS PRACTICE Current Status: Pending Summary: ******* REGULATORY ACTION (9 of 140) ******* Reporting Source: Regulator (Form U-6) Date Reported: 03/16/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 12/03/2004 Docket/ Case Number: HPD#: 04-184 Allegations: **12/3/04**STIPULATION OF FACTS AND CONSENT TO PENALTY FILED BY NYSE DIVSION OF ENFORCEMENT & PENDING.CONSENTED TO FINDINGS:(1)VIOLATED NYSE RULES 401 & 476(A)(6) IN THAT IT FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICE & ENGAGING IN CONDUCT INCONSISTED WITH JUST & EQUITABLE PRINCIPLES OF TRADE BY FAILING TO ENSURE THE DELIVERY OF PROSPECUTSES IN CONNECTION WITH CERTAIN SALES OF REGISTERED SECURITIES IN VIOLATION OF 5(B)(2) OF THE SECURITIES ACT OF 1933;(2) VIOLATED NYSE RULE 476(A)(11) BY FAILING TO TIMELY AND ACCURATELY FILE DAILY PROGRAM TRADING REPORTS;(3) VIOLATED NYSE RULE 440B AND REGULATION 10(A)-1 PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934 BY ERRONEOUSLY EXECUTING CERTAIN SELL ORDERS ON A MINUS TICK FOR SECURITIES IN WHICH THE FIRM HELD A SHORT POSITION;(4)VIOLATED NYSE RULE 351 IN THAT IT FAILED TO TIMELY SUBMIT FORMS RE-3 IN CONNECTION WITH CERTAIN MATTERS, INCLUDING THE SETTLEMENTS OF CERTAIN PUBLICLY-FILED LITIGATION AND BROKER-DEALER ARBITRATIONS; (5) VIOLATED EXCHANGE RULE 345 AND REGULATIONS 17F-2 AND 17A-3(12)(I) PROMULGATED UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 IN THAT THE FIRM HIRED CERTAIN INDIVIDUALS WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION THAT RENEDERED THEM UNQUALIFIED FOR ASSOCIATION WITH A BROKER-DEALER; AND FAILED TO FILE FINGERPRINT CARDS FOR CERTAIN OF ITS EMPLOYEE WHO WERE NON-REGISTERED;(6)VIOLATED EXCHANGE RULE 123C BY FAILING TO COMPLY WITH REQUIREMENTS GOVERNING THE ENTRY AND/OR CANCELLATION OF CERTAIN MARKET-ON-CLOSE AND LIMIT-ON-CLOSE ORDERS;(7) VIOLATED NYSE RULES 472, 342.16 AND 342.17 IN THAT THE FIRM FAILED TO ADEQUATELY REVIEW, MONITOR AND SUPERVISE CERTAIN INCOMING AND/OR OUTGOING COMMUNICATIONS, INCLUDING E-MAILS & FAXES, OF REGISTERED REPRESENTATIVES &/OR BRANCH MANAGERS; FAILED TO ADEQUATELY IMPLEMENT CERTAIN WRITTEN POLICIES AND PROCEDURES; & FAILED TO APPROPRIATELY DOCUMENT CERTAIN OF ITS SUPERVISORY MONITORING AND REVIEW OF COMMUNICATIONS WITH THE PUBLIC**CONTINUED AT 13C** Current Status: Final Resolution: Decision Resolution Date: 01/07/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $13,000,000.00 Other Sanctions: CONSENT TO CENSURE, $13 MILLION FINE, AND AN OFFER OF OPPORTUNITY TO CLIENTS TO RESCIND CERTAIN PURCHASES OF SECURITIES. Resolution Details: **FROM #7**(8)VIOLATED NYSE RULE 342(A)&(B)BY FAILING TO REASONABLY SUPERVISE AND IMPLEMENT ADEQUATE CONTROLS OVER CERTAIN OF ITS OPERATIONAL TRADING REGULATORY REPORTING & TECHNOLOGICAL ACTIVITIES.THE FIRM CONSENTED TO THE IMPOSITION BY THE NYSE OF THE SANCTION OF A CENSURE A $13 MILLION FINE & CONSENTED TO OFFERING THE OPPORTUNITY TO THOSE CLIENTS WHO SHOULD HAVE RECEIVED A PROSPECTUS DURING THE PERIOD JUNE 2003 TO SEPTEMBER 2004, THE OPPORTUNITY TO RESCIND THOSE PURCHASES IN A RESCISSION OFFER THAT COMPLIES IN ALL RESPECTS WITH THE FEDERAL SECURITIES LAWS. **12/9/04**DECISION 04-184 ISSUED BY NYSE HEARING PANEL. DECISION:(1)VIOLATED NYSE RULES 401 & 476(A)(6) IN THAT IT FAILED TO ADHERE TO THE PRINCIPLES OF NASD BrokerCheck October 14, 2005 Page 10 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) GOOD BUSINESS PRACTICE & ENGAGING IN CONDUCT INCONSISTENT WITH JUST & EQUITABLE PRINCIPLES OF TRADE BY FAILING TO ENSURE THE DELIVERY OF PROSPECTUSES IN CONNECTION WITH CERTAIN SALES OF REGISTERED SECURITIES IN VIOLATION OF SECTION 5(B)(2) OF THE SECURITIES ACT OF 1933.(2)VIOLATED EXCHANGE RULE 476(A)(11) BY FAILING TO TIMELY & ACCURATELY FILE DAILY PROGRAM TRADE REPORTS.(3)VIOLATED NYSE RULE 440B AND REGULATION 10(A)-1 OF THE SECURITIES NYSE ACT OF 1934 BY ERRONEOUSLY EXECUTING CERTAIN SELL ORDERS ON A MINUS TICK FOR SECURITIES IN WHICH THE FIRM HELD A SHORT POSITION. (4)VIOLATED NYSE RULE 351 IN THAT IT FAILED TO TIMELY SUBMIT FORMS RE-3 IN CONNECTION WITH CERTAIN MATTERS, INCLUDING THE SETTLEMENTS OF CERTAIN PUBLICLY-FILED LITIGATION & BROKER-DEALER ARBITRATIONS.(5)VIOLATED NYSE RULE 345 AND REGULATIONS 17F-2 AND 17A-3(12)(I) PROMULGATED UNDER THE SECURITIES & NYSE ACT OF 1934 IN THAT THE FIRM HIRED CERTAIN INDIVIDUALS WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION THAT RENEDERED THEM UNQUALIFIED FOR ASSOCIATION WITH A BROKER-DEALER; AND FAILED TO FILE FINGERPRINT CARDS FOR CERTAIN OF ITS EMPLOYEES WHO WERE NON-REGISTERED.**CONTINUED AT #14** Summary: **FROM 13C**(6) VIOLATED EXCHANGE RULE 123C BY FAILING TO COMPLY WITH REQUIREMENTS GOVERNING THE ENTRY AND/OR CANCELLATION OF CERTAIN MARKET-ON-CLOSE AND LIMIT-ON-CLOSE ORDERS.(7)VIOLATED EXCHANGE RULES 472, 342.16 AND 342.17 IN THAT THE FIRM FAILED TO ADEQUATELY REVIEW, MONITOR AND SUPERVISE CERTAIN INCOMING AND/OR OUTGOING COMMUNICATIONS, INCLUDING E-MAILS AND FAXES, OF REGISTERED REPRESENTATIVES AND/OR BRANCH MANAGERS; FAILED TO ADEQUATELY DOCUMENT CERTAIN OF ITS SUPERVISORY MONITORING AND REVIEW OF COMMUNICATIONS WITH THE PUBLIC.(8)VIOLATED EXCHANGE RULE 342(A) AND (B) BY FAILING TO REASONABLY SUPERVISE & IMPLEMENT ADEQUATE CONTROLS OVER CERTAIN OF ITS OPERATIONAL, TRADING, REGULATORY REPORTING & TECHNOLOGICAL ACTIVITIES. CENSURE, A $13 MILLION FINE AND THE FIRM CONSENTS TO OFFERING, TO THOSE CLIENTS WHO SHOULD HAVE RECEIVED A PROSPECTUS DURING THE PERIOD JUNE 2003 TO SEPTEMBER 2004, THE OPPORTUNITY TO RESCIND THOSE PURCHASES IN A RESCISSION OFFER THAT COMPLIES IN ALL RESPECTS WITH THE FEDERAL SECURITIES LAWS. **1/7/05**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT:MICHELE VAN TASSEL 212-656-5340 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/02/2005 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 12/03/2004 Docket/ Case Number: HPD#04-184 Allegations: ALLEGED VIOLATIONS BY MORGAN STANLEY & CO INCORPORATED AND/OR MORGAN STANLEY DW INC. OF (1) EXCHANGE RULES 401 AND 476(A)(6) BY FAILING T ENSURE DELIVERY OF PROSPECTUSES IN CONNECTION WITH CERTAIN SALES OF SECURITIES;(2) EXCHANGERULE 476(A)(11) BY FAILING TO TIMELY AND ACCURATELY FILE DAILY PROGRAM TRADE REPORTS;(3) EXCHANGE RULE 440B AND REGULATION 10A-1 OF THE EXCHANGE ACT BY ERRONEOUSLY EXECUTING CERTAIN SELL ORDERS ON A MINUS TICK FOR SECURITIES IN WHICH THE FIRM HELD A SHORT POSITION;(4) EXCHANGE RULE 351 BY FAILING TO TIMELY SUBMIT RE-3 IN CONNECTION WITH CERTAIN MATTERS;(5)EXCHANGE RULE 345 AND EXCHANGE ACT REGULATIONS 17F-2 AND 17A-3(12)(I) BY HIRING CERTAIN INDIVIDUALS SUBJECT TO STATUTORY DISQUALIFICATION AND FAILING TO FILE FINGERPRINT CARDS FOR CERTAIN NON-REGISTERED EMPLOYEES;(6) EXCHANGE RULE 123C BY FAILING TO COMPLY WITH REQUIREMENTS CONCERNING CERTAIN MARKET-ON-CLOSE AND LIMIT-ON-CLOSE ORDERS;(7)EXCHANGE RULE 472, 342.16 AND 342.17 CONCERNING SUPERVISION OF CERTAIN INCOMING AND/OR OUTGOING COMMUNICATIONS; AND (8) EXCHANGE RULE 342(A) AND (B) BY FAILING TO REASONABLY SUPERVISE CERTAIN ACTIVITES. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/07/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $13,000,000.00 Resolution Details: CENSURE AN $13,000,000. NASD BrokerCheck October 14, 2005 Page 11 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Summary: WITHOUT ADMITTING OR DENYING GUILT, MORGAN STANLEY & CO. INCORPORATED AND MORGAN STANLEY DW INC. CONSENTED TO A CENSURE, A FINE $13,000,000, AND TO OFFER THOSE CLIENTS WHO SHOULD HAVE RECEIVED A PROSPECTUS DURING THE PERIOD JUNE 2003 TO SEPTEMBER 2004, THE OPPORTUNITY TO RESCIND THOSE PURCHASES. ****** REGULATORY ACTION (10 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/04/2005 Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 07/14/2003 Docket/ Case Number: E-2003-31 Allegations: ON JULY 14, 2003, THE MASSACHUSETTS SECURITIES DIVISION FILED AN ADMINISTRATIVE COMPLAINT AGAINST THE FIRM, ALLEGING THE FIRM MADE A ?FALSE FILING? IN CONNECTION WITH A LETTER DATED MAY 8, 2003 SENT IN RESPONSE TO ORAL INQUIRIES MADE BY THE DIVISION. ON DECEMBER 29, 2004, THE FIRM PAID AN ADMINISTRATIVE FINE IN THE AMOUNT OF $25,000 TO RESOLVE ALL ISSUES RELATING TO THE ADMINISTRATIVE COMPLAINT, HAVING WAIVED AN OPPORTUNITY FOR HEARING. Current Status: Final Resolution: Order Resolution Date: 09/27/2004 Sanctions Ordered: Monetary/Fine Monetary Amount: $25,000.00 Other Sanctions: N/A Resolution Details: FINE IS IN THE AMOUNT OF $25,000 LEVIED AGAINST THE FIRM AND PAID ON DECEMBER 29, 2004. Summary: ON JULY 14, 2003, THE MASSACHUSETTS SECURITIES DIVISION FILED AN ADMINISTRATIVE COMPLAINT AGAINST THE FIRM, ALLEGING THE FIRM MADE A ?FALSE FILING? IN CONNECTION WITH A LETTER DATED MAY 8, 2003 SENT IN RESPONSE TO ORAL INQUIRIES MADE BY THE DIVISION. ON DECEMBER 29, 2004, THE FIRM PAID AN ADMINISTRATIVE FINE IN THE AMOUNT OF $25,000 TO RESOLVE ALL ISSUES RELATING TO THE ADMINISTRATIVE COMPLAINT, HAVING WAIVED AN OPPORTUNITY FOR HEARING. ****** REGULATORY ACTION (11 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/14/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 12/03/2004 Docket/ Case Number: HPD#: 04-185 Allegations: **12/3/04**STIPULATION OF FACTS AND CONSENT TO PENALTY EXECUTED.ALLEGATIONS:1.VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO PROVIDE FOR:A.APPROPRIATE SUPERVISORY CONTROL OF CERTAIN BUSINESS ACTIVITIES INCLUDING OPENING NEW ACCOUNTS, DOCUMENTING AND EXECUTING TRANSFERS OF CUSTOMER FUNDS, VERIFYING INFORMATION NECESSARY TO PROCESS WIRE TRANSFERS AND INCOMING FUNDS, AND FOLLOWING UP SUSPICIOUS ACTIVITY IN CUSTOMER ACCOUNTS;AND B.THE PROPER IMPLEMENTATION OF ADEQUATE SYSTEMS AND PROCEDURES TO ENSURE ADEQUATE SUPERVISION OF CERTAIN REGISTERED REPRESENTATIVES, OPERATIONS STAFF AND MANAGERS, AS WELL AS PROCEDURES GOVERNING ESTABLISHING CUSTOMER ACCOUNTS, VERIFYING INFORMATION RELATING TO THE ONGOING CONDUCT OF THOSE CUSTOMER ACCOUNTS, AND THE TRANSFER OF CUSTOMER AND OTHER FUNDS;2. VIOLATED EXCHANGE RULE 405 IN THAT IT FAILED TO: A.USE DUE DILIGENCE TO LEARN THE ESSENTIAL NASD BrokerCheck October 14, 2005 Page 12 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) FACTS RELATIVE TO CERTAIN CUSTOMER ACCOUNTS, AND ORDERS CARRIED BY THE ORGANIZATIONS; AND B.SUPERVISE DILIGENTLY ACCOUNTS HANDLED BY REGISTERED REPRESENTATIVES.3.VIOLATED EXCHANGE RULE 44 AND REGULATION 17A-3 PROMULGATED UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 IN THAT IT FAILED TO MAINTAIN COMPLETE AND ACCURATE BOOKS AND RECORDS RELATED TO THE ABOVE MATTERS. SANCTION:CENSURE AND A FINE IN THE AMOUNT OF $6,000,000. Current Status: Final Resolution: Decision Resolution Date: 01/07/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,000,000.00 Resolution Details: **DECISION 04-185 - ISSUED BY THE NYSE HEARING PANEL SANCTION:CONSENT TO CENSURE AND $6 MILLION FINE.VIOLATIONS: 1.VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO PROVIDE FOR:A.APPROPRIATE SUPERVISORY CONTROL OF CERTAIN BUSINESS ACTIVITIES INCLUDING OPENING NEW ACCOUNTS, DOCUMENTING AND EXECUTING TRANSFERS OF CUSTOMER FUNDS, VERIFYING INFORMATION NECESSARY TO PROCESS WIRE TRANSFERS AND INCOMING FUNDS, AND FOLLOWING UP SUSPICIOUS ACTIVITY IN CUSTOMER ACCOUNTS;AND B.THE PROPER IMPLEMENTATION OF ADEQUATE SYSTEMS AND PROCEDURES TO ENSURE ADEQUATE SUPERVISION OF CERTAIN REGISTERED REPRESENTATIVES, OPERATIONS STAFF AND MANAGERS, AS WELL AS PROCEDURES GOVERNING ESTABLISHING CUSTOMER ACCOUNTS, VERIFYING INFORMATION RELATING TO THE ONGOING CONDUCT OF THOSE CUSTOMER ACCOUNTS, AND THE TRANSFER OF CUSTOMER AND OTHER FUNDS; 2. VIOLATED EXCHANGE RULE 405 IN THAT IT FAILED TO: A.USE DUE DILIGENCE TO LEARN THE ESSENTIAL FACTS RELATIVE TO CERTAIN CUSTOMER ACCOUNTS, AND ORDERS CARRIED BY THE ORGANIZATIONS; AND B.SUPERVISE DILIGENTLY ACCOUNTS HANDLED BY REGISTERED REPRESENTATIVES. 3.VIOLATED EXCHANGE RULE 44 AND REGULATION 17A-3 PROMULGATED UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 IN THAT IT FAILED TO MAINTAIN COMPLETE AND ACCURATE BOOKS AND RECORDS RELATED TO THE ABOVE MATTERS. Summary: **01/07/05**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT:MICHELE VAN TASSEL 212-656-5340 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/02/2005 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 12/03/2004 Docket/ Case Number: HPD#:04-185 Allegations: ALLEGED VIOLATIONS BY MORGAN STANLEY & CO. INCORPORATED AND/OR MORGAN STANLEY DW INC. OF (1)EXCHANGE RULE 342 BY FAILING TO PROVIDE FOR APPROPRIATE SUPERVISON OF CERTAIN BUSINESS ACTIVITES AND BY FAILING TO PROVIDE FOR PROPER IMPLEMENTATION OF ADEQUATE SYSTEMS AND PROCEDURES TO ENSURE ADEQUATE SUPERVISION OF CERTAIN CUSTOMER ACCOUNTS; (2) EXCHANGE RULE 405 BY FAILING TO USE DUE DILIGENTLY ACCOUNTS HANDLED BY TWO REGISTERED REPRESENTATIVES; AND (3)EXCHANGE RULE 440 AND REGULATION 240.17A-3 OF THE EXCHANGE ACT BY FAILING TO MAINTAIN COMPLETE AND ACCURATE BOOKS AND RECORDS RELATED TO THIS MATTER. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/07/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,000,000.00 Resolution Details: $6,000,000 FINE AND CENSURE. Summary: WITHOUT ADMITTING OR DENYING GUILT, MORGAN STANLEY & CO INCORPORATED AND MORGAN STANLEY DW INC. CONSENTED TO A CENSURE AND A FINE OF $6,000,000. NASD BrokerCheck October 14, 2005 Page 13 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (12 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/18/2004 Initiated By: NASD Date initiated: 11/03/2004 Docket/ Case Number: C07040089 Allegations: MSRB RULE G-15(A)(I)(C)(2)(A) - MORGAN STANLEY DW INC. EFFECTED MUNICIPAL BOND PURCHASES FOR PUBLIC CUSTOMERS INVOLVING ESCROWED-TO-MATURITY MUNICIPAL BOND ISSUES FOR WHICH THE TRADE CONFIRMATIONS FAILED TO DISCLOSE THAT THE BONDS WERE CALLABLE PRIOR TO MATURITY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/03/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $100,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $100,000, AND REQUIRED FOR THE IDENTIFIED BOND ISSUES THAT HAVE NOT YET MATURED OR BEEN CALLED BY THE ISSUERS, WITHIN 90 DAYS OF THE DATE OF ACCEPTANCE OF THIS AWC, FOR EACH BOND ISSUE SCHEDULED TO MATURE SIX MONTHS OR MORE FROM THE DATE OF ACCEPTANCE OF THE AWC TO: ADVISE EACH OF THE PURCHASERS, IN WRITING, OF THE CALL FEATURE OF THE BONDS; OFFER THE PURCHASERS THE OPPORTUNITY TO RESCIND THEIR PURCHASE AT NO COST AND RECEIVE THIER INITIAL INVESTMENT BACK; AND WITHIN 120 DAYS FROM THE DATE OF ACCEPTANCE OF THE AWC, PROVIDE NASD WITH SATISFACTORY PROOF OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO OFFER RESCISSION TO THE AFFECTED PURCHASERS. THE FIRM HAS ALREADY PAID $211,510.94 IN RESTITUTION, PLUS INTEREST, TO THE PURCHASERS OF THE ESCROWED-TO-MATURITY BONDS THAT WERE CALLED PRIOR TO MATURITY. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/09/2004 Initiated By: NASD Date initiated: 01/08/2003 Docket/ Case Number: C07040089 - AWC Allegations: FAILURE TO DISCLOSE ON THE CONFIRMATION STATEMENTS FOR 258 ESCROW-TO-MATURITY MUNICIPAL BOND PURCHASES, FROM 1997 THROUGH 2002, THAT THE BONDS WERE CALLABLE PRIOR TO MATURITY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/03/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $100,000,000.00 Other Sanctions: WITHIN 90 DAYS OF THE DATE OF ACCEPTANCE OF THE AWC, THE FIRM WILL CONTACT IN WRITING THOSE CUSTOMERS WHO PURCHASED CERTAIN IDENTIFIED BONDS AND WILL INFORM THEM OF THE CALL FEATURES OF NASD BrokerCheck October 14, 2005 Page 14 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) THE BONDS, OFFER THEM RESCISSION, AND WITHIN 120 DAYS OF THE ACCEPTANCE OF THE AWC THE FIRM WILL PROVIDE SATISFACTORY PROOF TO THE NASD OF ITS REASONABLE AND DOCUMENTED EFFORTS TO COMPLY WITH THE ABOVE. Resolution Details: THE FINE HAS NOT YET BEEN PAID. Summary: IN RESPONSE TO A REVIEW BY THE NASD INTO WHETHER CERTAIN ESCROW-TO-MATURITY BOND CONFIRMATIONS RECEIVED BY MORGAN STANLEY DW CUSTOMERS, DID NOT ADEQUATELY INDICATE THAT THE BOND COULD BE CALLED PRIOR TO ITS MATURITY DATE, MORGAN STANLEY SUBMITTED, AND ON NOVEMBER 3, 2004 THE NASD ACCEPTED, AN AWC. WITHOUT ADMITTING OR DENYING ANY VIOLATION OF MSRB RULE G-15(A)(I)(C)(2)(A), MORGAN STANLEY DW INC. HAS AGREED TO A CENSURE AND A FINE OF $100,000. FURTHER, THE FIRM HAS PAID RESTITUTION TO CLIENTS WHOSE BONDS HAVE BEEN CALLED PRIOR TO MATURITY, AND HAS AGREED TO OFFER RESCISSION TO REMAINING AFFECTED CUSTOMERS. IN ADDITION, THE FIRM HAS UPGRADED ITS SYSTEMS AND CORRECTED THE TECHNICAL PROBLEMS THAT AFFECTED THE RELEVANT MUNICIPAL BOND CONFIRMATIONS. ****** REGULATORY ACTION (13 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/30/2004 Initiated By: NASD Date initiated: 07/26/2004 Docket/ Case Number: C9A040034 Allegations: ARTICLE V, SECTIONS 2(C), 3(B) OF NASD'S BY-LAWS, NASD RULES 2110, 3010 - MORGAN STANLEY DW INC. FILED AT LEAST 1,136 LATE AMENDMENTS TO FORMS U4 AND AT LEAST 681 LATE AMENDMENTS TO FORMS U5; AND THE FIRM'S SUPERVISORY PROCEDURES AND SYSTEMS WERE NOT REASONABLY DESIGNED TO ENSURE TIMELY COMPLIANCE WITH ITS ARTICLE V REPORTING OBLIGATIONS: FAILED TO EXPEDITIOUSLY AND ACCURATELY IDENTIFY ALL MATTERS THAT REQUIRED FILING FORM U4/U5 AMENDMENTS AND TRACK THE FILINGS TO ENSURE THEY WERE TIMELY MADE; FAILED TO CLEARLY ASSIGN RESPONSIBILITIES AND TASKS TO THE VARIOUS DEPARTMENTS AND PERSONNEL WHO WERE CHARGED WITH ENSURING TIMELY FILING; FAILED TO ENSURE THAT ALL DEPARTMENTS AND PERSONNEL FOR TIMELY FILINGS COOPERATED WITH EACH OTHER AND WERE HELD ACCOUNTABLE FOR THE PERFORMANCE OF THEIR ASSIGNED TASKS WITHIN CLEARLY DEFINED TIME PERIODS; AND FAILED TO ALLOCATE OR DEVOTE SUFFICIENT RESOURCES ENCOMPASSING PERSONNEL AND OTHER RESOURCES TO ENSURE TIMELY FILING OF FORMS U4/U5. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/26/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,200,000.00 Other Sanctions: PROHIBITION UNDERTAKINGS Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $2.2 MILLION, AND PROHIBITED, 15 BUSINESS DAYS AFTER ISSUANCE OF THIS AWC, FROM REGISTERING ANY ASSOCIATED PERSONS, IN A NON-SUPERVISORY SALES CAPACITY, FOR FIVE BUSINESS DAYS. THE FIRM SHALL ALSO RETAIN WITHIN 45 DAYS OF THE ISSUANCE OF THE AWC AN INDEPENDENT CONSULTANT ACCEPTABLE TO NASD TO REVIEW AND MAKE WRITTEN RECOMMENDATIONS FOR REVISION OF THE FIRM'S POLICIES, PRACTICES, AND SUPERVISORY AND COMPLIANCE PROCEDURES AND SYSTEMS IN CONNECTION WITH ITS ARTICLE V REPORTING OBLIGATIONS; THE CONSULTANT SHALL ALSO REVIEW FIRM RESOURCES TO ASSESS THE ADEQUACY OF SUCH RESOURCES AND MAKE WRITTEN RECOMMENDATIONS CONCERNING THE FIRM'S RESOURCE NEEDS TO COMPLY WITH ARTICLE V REPORTING OBLIGATIONS. THE FIRM SHALL COOPERATE FULLY WITH THE CONSULTANT AND PROVIDE ACCESS TO ITS FILES, BOOKS, RECORDS, AND PERSONNEL AS REASONABLY REQUESTED FOR THE REVIEW. AT THE CONCLUSION OF THE REVIEW, WHICH SHALL BE NO MORE THAN 90 DAYS AFTER CONSULTANT RETAINED, THE CONSULTANT NASD BrokerCheck October 14, 2005 Page 15 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SHALL SUBMIT TO THE FIRM AND NASD A WRITTEN REPORT DETAILING THE CONSULTANT'S DETEMINATIONS AND RECOMMENDATIONS.THE CONSULTANT'S DETETMINATIONS AND RECOMMENDATIONS SHALL BE BINDING UNLESS, WITHIN 14 DAYS AFTER ISSUANCE OF THE REPORT, THE FIRM OR NASD ADVISES THE CONSULTANT AND THE OTHER PARTY, IN WRITING, THAT IT CONSIDERS ANY DETERMINATION OR RECOMMENDATION TO BE INAPPROPRIATE AND STATES IN WRITING THE REASONS FOR ITS OBJECTION. THE PARTIES SHALL ATTEMPT TO REACH AN AGREEMENT WITHIN 45 DAYS, AND IF UNABLE TO DO SO, THE CONSULTANT'S RECOMMENDATIONS AND DETERMINATIONS SHALL BE BINDING. THE FIRM SHALL IMPLEMENT THE RECOMMENDATIONS NO LATER THAN 90 DAYS AFTER ISSUANCE OF THE REPORT AND, WITHIN 120 DAYS AFTER ISSUANCE OF THE REPORT, AN OFFICER OF THE FIRM SHALL CERTIFY TO NASD THAT THE FIRM HAS IMPLEMENTED EACH OF THE RECOMMENDATIONS. CONTINUED Summary: WITHIN 60 DAYS OF THE ISSUANCE OF THE AWC, THE FIRM SHALL AMEND ITS WRITTEN SUPERVISORY PROCEDURES TO DESIGNATE ONE OR MORE REGISTERED PRINCIPALS WHOSE RESPONSIBILITIES ARE TO OVERSEE THE FIRM'S COMPLIANCE WITH ARTICLE V REPORTING OBLIGATIONS. FOR EACH SUCH REGISTERED PRINCIPAL, THE WSPS WILL IDENTIFY HIS/HER IMMEDIATE SUPERVISOR - WHO SHALL BE EITHER THE FIRM'S CHIEF COMPLIANCE OFFICER OR ANOTHER PERSON THE FIRM BELIEVES IS OF AT LEAST AN EQUIVALENT POSITION - AND THE SUPERVISORY CHAIN. WHILE THE CONSULTANT HAS BEEN RETAINED, AND FOR TWO YEARS FOLLOWING HIS/HER WORK, THE CONSULTANT MAY NOT BE EMPLOYED BY THE FIRM, ITS AFFILIATES, ITS EMPLOYEES, AGENTS, PRINCIPALS, AGENTS, OR DIRECTORS. FOR ONE YEAR AFTER THE FIRM CERTIFIES THAT IT HAS IMPLEMENTED THE CONSULTANT'S RECOMMENDATIONS, AN OFFICER OF THE FIRM SHALL CERTIFY IN WRITING EACH MONTH TO NASD WHETHER IT FILED ALL FORMS U4/U5 IN A TIMELY MANNER WITH NASD FOR ALL REPORTBLE MATTERS KNOWN TO THE FIRM OR REASONABLY DISCOVERABLE BY THE FIRM DURING THAT PERIOD. FOR ANY REQUIRED FILINGS NOT SUBMITTED TIMELY, AN OFIFCER SHALL PROVIDE A DETAILED WRITTEN EXPLANATION. 90 DAYS AFTER ISSUANCE OF THIS AWC, AN OFFICER SHALL CERTIFY IN WRITING THAT THE FIRM HAS REVIEWED ALL INSTANCES FROM 1/1/02 THROUGH 3/04 REQUIRING AMENDED REPORTING AND THAT TO THE BEST OF ITS KNOWLEDGE, FILED ALL SUCH REPORTS. WITHIN 100 DAYS OF ISSUANCE OF CONSULTANT'S REPORT, AN OFFICER OF THE FIRM SHALL CERTIFY IN WRITING THAT THE FIRM HAS REVIEWED ITS SUPERVISORY SYSTEMS AND PROCEDURES AND HAS ESTABLISHED SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REQUIREMENTS OF ARTICLE V REPORTING OBLIGATIONS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/01/2004 Initiated By: NASD Date initiated: 11/21/2003 Docket/ Case Number: C9A040034 Allegations: FAILURE TO FILE TIMELY AMENDMENTS TO FORMS U4 AND U5 FROM JANUARY 2002 THROUGH MARCH 2004, PERTAINING TO, AMONG OTHER THINGS, CUSTOMER COMPLAINTS, TERMINATIONS FOR CAUSE AND REGULATORY ACTIONS; AND FAILURE TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN PROCEDURES REASONABLY DESIGNED TO ENSURE FULL COMPLIANCE WITH ITS REPORTING OBLIGATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/26/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,200,000.00 Other Sanctions: COMMENCING FIFTEEN BUSINESS DAYS FROM THE DATE OF THE AWC, THE FIRM IS PROHIBITED FROM REGISTERING ANY ASSOCIATED PERSONS IN A NON-SUPERVISORY SALES CAPACITY FOR 5 BUSINESS DAYS. THE FIRM ALSO AGREED TO VARIOUS UNDERTAKINGS INCLUDING THE RETENTION OF AN INDEPENDENT CONSULTANT. Resolution Details: THE FINE WAS $2,200,000 AND WAS PAID ON AUGUST 2, 2004. IT WAS ASSESSED ENTIRELY AGAINST THE APPLICANT. Summary: DURING THE PERIOD OF JANUARY 2002 THROUGH MARCH 2004 THE FIRM FAILED TO TIMELY FILE CERTAIN AMENDMENTS TO FORMS U4 AND U5 NASD BrokerCheck October 14, 2005 Page 16 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) PERTAINING TO, AMONG OTHER THINGS, CUSTOMER COMPLAINTS, TERMINATIONS FOR CAUSE AND REGULATORY ACTIONS. THE FIRM ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN PROCEDURES REASONABLY DESIGNED TO ENSURE FULL COMPLIANCE WITH ITS REPORTING OBLIGATIONS. ****** REGULATORY ACTION (14 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/10/2005 Initiated By: NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION Date initiated: 06/17/2004 Docket/ Case Number: COM03-18, 18A, INV03-27 Allegations: BROKER AGENT SOLD UNREGISTERED NONEXEMPT SECURITIES. FAILED SUPERVISION. RESPONDENT ENGAGED IN ILLEGAL NONCASH COMPENSATION ARRANGMENTS. RESPONDENT'S ARBITRATION AGREEMENT CONTAINED AN ILLEGAL CHOICE OF LAW PROVISION. RESPONDENT FAILED TO PROVIDE INFORMATION RESPONSIVE TO BUREAU INQUIRY IN A TIMELY MANNER. Current Status: Final Resolution: Consent Resolution Date: 04/07/2005 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $425,000.00 Other Sanctions: RESCISSION. COSTS OF $10000.00. UNDERTAKINGS. Resolution Details: SAME AS ABOVE. Summary: STATE ALLEGED THAT RESPONDENT'S BROKER AGENT SOLD UNREGISTERED NONEXEMPT STOCKS, SOME OF WHICH WERE PENNEY STOCKS. RESPONDENT FAILED TO SUPERVISE THE AGENT. RESPONDENT ENGAGED IN ILLEGAL NONCASH COMPENSATION SALES CAMPAIGNS SOME OF WHICH FOCUSED ON PROPRIETARY PRODUCTS OF THE RESPONDENT. RESPONDENT'S ARBITRATION AGREEMENT CONTAINED A PROVISION REQUIRING NEW YORK APPLY TO ANY PROCEEDING. SAID PROVISION IS CONTRARY TO RSA 421-B. RESPONDENT DID NOT ADMIT OR DENY THE ALLEGATIONS. RESPONDENT FAILED TO PROVIDE INFORMATION RESPONSIVE TO BUREAU INQUIRY IN A TIMELY MANNER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/13/2005 Initiated By: STATE OF NEW HAMPSHIRE, DEPARTMENT OF STATE, BUREAU OF SECURITIES REGULATION Date initiated: 06/22/2004 Docket/ Case Number: COM03-018, COM 03-018A, INV03-027 Allegations: THE ACTION ALLEGES THAT THE FIRM VIOLATED NEW HAMPSHIRE LAW, SRO RULES AND FEDERAL SECURITIES LAW DUE TO THE SALES BY A SINGLE BROKER OF STOCKS NOT PROPERLY REGISTERED UNDER NH BLUE SKY LAWS, VIOLATIONS OF FIRM RULES BY THAT BROKER IN HIS OWN ACCOUNTS AND HOLDING OF CERTAIN NATIONAL AND LOCAL SALES CAMPAIGNS. Current Status: Final Resolution: Consent Resolution Date: 04/07/2005 Sanctions Ordered: Monetary/Fine Monetary Amount: $425,000.00 NASD BrokerCheck October 14, 2005 Page 17 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Other Sanctions: CEASE AND DESISTCOST OF INVESTIGATION - $10,000 -UNDERTAKINGS: RETAIN AN INDEPENDANT CONSULTANT TO REVIEW CERTAIN COMPLIANCE AND POLICY PROCEDURES, PROVIDE RESCISSION WITH RESPECT TO CERTAIN TRANSACTIONS, AND NOTIFY NEW HAMPSHIRE RESIDENTS OF CERTAIN RIGHTS WITH RESPECT TO ARBITRATION AGREEMENTS AND THE EFFECT OF NEW HAMPSHIRE LAW ON RESULTING PROCEEDINGS. Resolution Details: $212,500 OF FINE AND $10,000 FOR COSTS WERE PAID ON 4/1/2005, REMAINING PORTION OF FINE TOTALLING $212,500 IS DUE ON 9/1/2005. Summary: ON JUNE 18, 2004, THE NEW HAMPSHIRE BUREAU OF SECURITIES FILED AN ADMINISTRATIVE COMPLAINT AGAINST THE FIRM, ALLEGING VIOLATIONS OF NEW HAMPSHIRE LAW AND SRO RULES. ON APRIL 7, 2005, A CONSENT AGREEMENT WAS ISSUED WHICH RESOLVED ALL ISSUES RELATING TO THE COMPLAINT, HAVING WAIVED AN OPPORTUNITY FOR HEARING. THE FIRM AGREED TO A $425,000 FINE, A CEASE AND DESIST ORDER, TO PAY $10,000 FOR THE COST OF INVESTIGATION, AND TO COMPLY WITH A VARIETY OF UNDERTAKINGS, INCLUDING RETAIN AN INDEPENDANT CONSULTANT TO REVIEW CERTAIN COMPLIANCE AND POLICY PROCEDURES, PROVIDE RESCISSION WITH RESPECT TO CERTAIN TRANSACTIONS, AND NOTIFY NEW HAMPSHIRE RESIDENTS OF CERTAIN RIGHTS WITH RESPECT TO ARBITRATION AGREEMENTS. ****** REGULATORY ACTION (15 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/20/2004 Initiated By: NASD Date initiated: 07/16/2004 Docket/ Case Number: CAF040053 Allegations: NASD RULE 2110, IM-10100 - MORGAN STANLEY DW INC. FAILED TO COMPLY WITH DISCOVERY OBLIGATIONS UNDER THE CODE OF ARBITRATION PROCEDURE OR UNDER OTHER APPLICABLE SELF-REGULATORY CODES OF ARBITRATION IN SEVEN ARBITRATION PROCEEDINGS AND FAILED TO PRODUCE DOCUMENTS SOUGHT BY THE CLAIMANT IN EACH CASE. AFTER DOCUMENTS HAD NOT BEEN PRODUCED IN MOST OF THE PROCEEDINGS, MOTIONS TO COMPEL WERE FILED BY THE CLAIMANTS AND GRANTED BY THE ARBITRATION PANELS, AND ORDERS WERE ISSUED BY THE PANELS REQUIRING THE FIRM TO PRODUCE DOCUMENTS BY SPECIFIC DATES, AND DESPITE THE ORDERS, THE FIRM FAILED TO PRODUCE DOCUMENTS AS REQUIRED. THE ARBITRATION PANELS SANCTIONED THE FIRM FOR THESE DISCOVERY VIOLATIONS ON AMOUNTS RANGING FROM $1,000 TO $25,000. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/16/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $250,000, AND REQUIRED TO, WITHIN 30 DAYS OF ISSUANCE OF THIS AWC, TO NOTIFY ALL COUNSEL HANDLING ARBITRATION PROCEEDINGS FOR THE FIRM OF THE FIRM'S POLICY TO COMPLY WITH DISCOVERY REQUIREMENTS AND TO COMPLY WITH ALL ORDERS OF ARBITRATION PANELS RELATING TO DISCOVERY OBLIGATIONS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY AN ATTORNEY WITH MANAGEMENT RESPONSIBILITIES IN THE LAW DIVISION OF THE FIRM OF ANY ORDER BY AN ARB PANEL GRANTING A MOTION TO COMPEL AND REQUIRING THE FIRM TO PRODUCE DOCUMENTS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY A MANAGING DIRECTOR WITH RESPONSIBILITY FOR LITIGATION OF ANY INSTANCE WHERE AN ARB PANEL HAS SANCTIONED THE FIRM FOR VIOLATION OF DISCOVERY OBLIGATIONS OR FOR FAILURE TO COMPLY WITH AN ORDER OF THE ARB PANEL REGARDING DISCOVERY MATTERS. THE MANAGING DIRECTOR SHALL REVIEW SUCH INSTANCES TO ENSURE THE APPROPRIATE STEPS ARE TAKEN. AT SIX MONTHS AND ONE YEAR FROM DATE OF THIS AWC, THE FIRM SHALL CONFIRM TO NASD NASD BrokerCheck October 14, 2005 Page 18 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) THAT THE FIRM HAS COMPLIED WITH THESE PROCEDURES AND INFORM NASD ON THOSE DATES OF ANY REVIEW BY THE MANAGING DIRECTOR AND ANY ACTIONS TAKEN IN RESPONSE TO SUCH REVIEW. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/29/2004 Initiated By: NASD Date initiated: 07/16/2004 Docket/ Case Number: CAF040053 Allegations: THE NASD ALLEGED THAT THE FIRM VIOLATED NASD RULE 2110 AND/OR IM10100 IN SEVEN ARBITRATION PROCEEDINGS BY NOT TIMELY PROVIDING DOCUMENTS SOUGHT BY CLAIMANTS IN DISCOVERY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/16/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: THE FIRM IS REQUIRED TO NOTIFY ALL COUNSEL HANDLING ARBITRATION PROCEEDINGS OF ITS POLICY TO COMPLY WITH DISCOVERY OBLIGATIONS AND ALL DISCOVERY ORDERS OF ARBITRATION PANELS; ESTABLISH A REVIEW PROCEDURE REGARDING ALL DISCOVERY SANCTIONS AND ARBITRATION ORDERS COMPELLING DISCOVERY; AND CONFIRM COMPLIANCE WITH THESE OBLIGATIONS TO THE NASD SIX MONTHS AND ONE YEAR FROM THE DATE OF THE AWC. Resolution Details: THE FINE WAS PAID CHECK ON JULY 28, 2004. Summary: PLEASE SEE NUMBER 12 ABOVE. ****** REGULATORY ACTION (16 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/01/2004 Initiated By: NASD Date initiated: 06/28/2004 Docket/ Case Number: C05040040 Allegations: MSRB RULES G-17, G-30(A) - MORGAN STANLEY DW INC. RECEIVED REQUESTS FROM PUBLIC CUSTOMERS TO LIQUIDATE FOUR DIFFERENT MUNICIPAL SECURITY POSITIONS AND CONTACTED A BROKER'S BROKER AND OBTAINED BIDS FOR THE CUSTOMERS' SECURITIES. BASED ON THE BIDS PROVIDED BY THE BROKER'S BROKER, MORGAN STANLEY PURCHASED THE SECURITIES FROM THE CUSTOMERS FOR ITS OWN ACCOUNT AND SOLD THE SECURITIES TO THE BROKER'S BROKER AT A NOMINAL GAIN. IN ALL FOUR INSTANCES, THE PRICES PAID TO THE CUSTOMERS AND RECEIVED BY THE FIRM WERE BELOW THE FAIR MARKET VALUE FOR THE SECURITY IN AMOUNTS RANGING FROM 6.85% TO 35.30%. BY RELYING SOLELY ON THE BIDS PROVIDED BY THE BROKER'S BROKER TO DETERMINE THE FAIR MARKET VALUE OF THE SECURITY, MORGAN STANLEY FAILED TO ENSURE THAT THE TRANSACTIONS WERE EXECUTED AT AGGREGATE PRICES THAT WERE FAIR AND REASONABLE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $20,000.00 NASD BrokerCheck October 14, 2005 Page 19 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW INC.CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM WAS CENSURED, FINED $20,000, AND REQUIRED TO PAY $18,312.50, PLUS INTEREST, IN RESTITUTION TO THE CUSTOMER. SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION SHALL BE PROVIDED TO NASD NO LATER THAN 90 DAYS AFTER ACCEPTANCE OF THE AWC. THE FIRM SHALL ALSO PROVIDE NASD, WITHIN 90 DAYS OF ACCEPTANCE OF THIS AWC, A COPY OF ITS UPDATED WRITTEN SUPERVISORY PROCEDURES AS THEY RELATE TO THE DETERMINATION OF THE FAIR MARKET VALUE OF MUNICIPAL SECURITIES BEING BOUGHT OR SOLD FROM A PUBLIC CUSTOMER. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/08/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. Date initiated: 06/28/2004 Docket/ Case Number: CO5040040 Allegations: NASD ALLEGES THAT, IN FOUR INSTANCES DURING THE PERIOD JULY 19, 2002 - APRIL 24, 2003, THE FIRM RELIED SOLELY ON THE BIDS PROVIDED BY BROKER'S BROKER TO DETERMINE THE FAIR MARKET VALUE OF MUNICIPAL SECURITIES SOLD BY CUSTOMERS. IN SO DOING, THE FIRM FAILED TO ENSURE THAT THE TRANSACTIONS WERE EXECUTED AT AGGREGATE PRICES THAT WERE FAIR AND REASONABLE IN VIOLATION OF MSRB RULES G-17 AND G-30(A). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $20,000.00 Other Sanctions: N/A Resolution Details: A CENSURE AND MONETARY FINE IN THE AMOUNT OF $20,000 WAS ASSESSED AGAINST THE FIRM. ADDITIONALLY THE FIRM SHALL PAY THE CUSTOMERS RESTITUTION IN THE AGGREGATE AMOUNT OF $18,312.50 PLUS INTEREST, WHERE APPROPRIATE. SANCTIONS TO BE EFFECTIVE ON A DATE SET BY NASD. Summary: ****** REGULATORY ACTION (17 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/04/2004 Initiated By: NASD Date initiated: 05/17/2004 Docket/ Case Number: CMS040074 Allegations: NASD RULES 2110, 6955(A) - MORGAN STANLEY DW INC. SUBMITTED REPORTS TO OATS WITH RESPECT TO EQUITY SECURITIES TRADED ON THE NASDAQ STOCK MARKET THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY NASD AND WERE REPAIRABLE; THE SUBJECT REPORTS WERE REJECTED BY THE OATS SYSTEM AND NOTICE OF SUCH REJECTION WAS MADE AVAILABLE TO THE FIRM ON THE OATS WEBSITE. THE FIRM FAILED TO CORRECT OR REPLACE 97.3 PERCENT OF THE SUBJECT REPORTS. Current Status: Final NASD BrokerCheck October 14, 2005 Page 20 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/17/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $7,500. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/28/2004 Initiated By: NASD Date initiated: 05/14/2003 Docket/ Case Number: CMS040074AWC Allegations: FAILURE TO CORRECT REPORTS SUBMITTED TO OATS RE: EQUITY SECURITIES TRADED IN THE NASDAQ, WHICH WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY THE NASD. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/17/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Other Sanctions: N/A Resolution Details: N/A Summary: DURING THE PRIOD OF JANUARY 1, 2003 THROUGH MARCH 31, 2003 THE FIRM SUBMITTED TO OATS 3,523 REPORTS REGARDING TRADING ON THE NASDAQ MARKET THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY THE NASD. THE REPORTS WERE REJECTED BY OATS AND THE FIRM WAS NOTIFIED OF THE REJECTION. THE FIRM DID NOT CORRECT 3,427 OF THE REJECTED REPORTS. ****** REGULATORY ACTION (18 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/01/2005 Initiated By: STATE OF WASHINGTON, DEPARTMENT OF FINANCIAL INSTITUTIONS, SECURITIES DIVISION Date initiated: 11/04/2003 Docket/ Case Number: S-02-030 Allegations: THE SECURITIES DIVISION ENTERED A STATEMENT OF CHARGES ON NOVEMBER 4, 2003 ALLEGING THAT ARUN SARDANA AND MICHAEL T. MORIARTY, REGISTERED SECURITIES SALESPERSONS WITH MORGAN STANLEY DW INC., GAVE THEIR CUSTOMERS UNSUITABLE INVESTMENT ADVICE, WHICH EXPOSED THEM TO HIGH LEVELS OF RISK THAT RESULTED IN SUBSTANTIAL FINANCIAL LOSSES. THE DIVISION ALSO ALLEGED THAT MORGAN STANLEY AND BRANCH MANAGER LORENZO D. ASCOLI FAILED TO PROPERLY SUPERVISE SARDANA AND MORIARTY’S ACTIVITIES BY FAILING TO ACT ON THEIR KNOWLEDGE OF THE HIGH-RISK INVESTMENT STRATEGY THAT THE SECURITIES SALESPERSONS WERE OFFERING. THE DIVISION FURTHER ALLEGED THAT MORGAN STANLEY DID NOT HAVE PROCEDURES REASONABLY DESIGNED TO PREVENT AND DETECT UNSUITABLE INVESTMENT RECOMMENDATIONS BY THEIR SECURITIES SALESPERSONS, ESPECIALLY WITH REGARDS TO APPROVING AND MONITORING MARGIN LOANS. NASD BrokerCheck October 14, 2005 Page 21 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 07/28/2004 Sanctions Ordered: Resolution Details: THE CONSENT AGREEMENT ENTERED INTO BY THE PARTIES SPECIFIES MONETARY PAYMENTS, TRAINING, AND SUPERVISORY REVISIONS WHICH ARE DETAILED BELOW IN THE COMMENT FIELD. Summary: ON JULY 28, 2004, THE SECURITIES DIVISION ENTERED INTO A CONSENT AGREEMENT WITH MORGAN STANLEY DW INC., ARUN SARDANA, MICHAEL T. MORIARTY, AND LORENZO D. ASCOLI. MORGAN STANLEY FILED A CIVIL COMPLAINT IN THURSTON COUNTY SUPERIOR COURT ON MAY 18, 2004 SEEKING ENFORCEMENT OF AN AGREEMENT THAT ALLEGEDLY AROSE DURING NEGOTIATIONS ON THE DIVISION’S STATEMENT OF CHARGES. ON JULY 30, 2004, A FINAL ORDER AND DISMISSAL WAS ENTERED IN THAT COURT DISMISSING THE MATTER WITH PREJUDICE PURSUANT TO THE VALID, BINDING AND ENFORCEABLE AGREEMENT OF THE PARTIES REFERENCED IN THE LAST TWO SENTENCES OF PARAGRAPH 33 OF THE MAY 18, 2004 COMPLAINT. THIS AGREEMENT COMPRISES THE CONSENT AGREEMENT AND THE LETTER TO BE SUBMITTED BY MORGAN STANLEY PROVIDING SUPPLEMENTAL DETAILS, SPECIFYING CERTAIN REVISIONS TO ITS SUPERVISORY POLICIES AND PROCEDURES, AND REFERRING TO SPECIFIC PAGES AND LINES OF THE CONSENT AGREEMENT, WHICH LETTER MORGAN STANLEY DELIVERED TO THE SECURITIES ADMINISTRATOR ON JULY 28, 2004. IN THE CONSENT AGREEMENT, MORGAN STANLEY AGREED TO REVISE ITS SUPERVISORY POLICES AND PROCEDURES TO PROVIDE SUPERVISORS WITH ADDITIONAL TOOLS TO EVALUATE THE SUITABILITY OF ITS CLIENTS’ INVESTMENTS, INCLUDING WITH RESPECT TO MARGIN LOANS AND EQUITY CONCENTRATIONS. MORGAN STANLEY ALSO AGREED TO PROVIDE TRAINING TO ITS FINANCIAL ADVISORS ON MAKING SUITABLE INVESTMENT RECOMMENDATIONS, AND PAY THE FOLLOWING: A DONATION OF $75,000 TO THE INVESTOR PROTECTION TRUST TO PROMOTE INVESTOR EDUCATION IN THE STATE OF WASHINGTON, $100,000 TO REIMBURSE THE DIVISION’S INVESTIGATIVE COSTS, AND $25,000 TO A FORMER CUSTOMER OF SARDANA AND MORIARTY. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/11/2005 Initiated By: STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION Date initiated: 11/04/2003 Docket/ Case Number: S-02-030-04-AG01 Allegations: ALLEGED VIOLATIONS OF SECURITIES LAWS FOR SERVICING ACCOUNTS OF CERTAIN MICROSOFT EMPLOYEES AND THEIR STOCK OPTION HOLDINGS. Current Status: Final Resolution: Settled Resolution Date: 07/28/2004 Sanctions Ordered: Monetary/Fine Monetary Amount: $325,000.00 Other Sanctions: MS AGREED TO REVESE SUPERVISORY POLICES RE: SUITABITY, PROVIDE SPECIAL TRAINING RE: LARGE MARGIN BALANCES FOR F.A'S REGISTERED IN STATE OF WASHINGTON. Resolution Details: N/A Summary: STATE ALLEGES FIRM ALLOWED UNSUITABLE TRADING FOR CONCENTRATED POSITIONS IN ACCOUNTS OF MICROSOFT EMPLOYEES LATE 1999 THROUGH 2001; *$75,000 TO INVESTOR PROTECTION TRUST *$125 TO WASHINGTON STATE SECURITIES DIVISION *$100,000 TO WASHINGTON STATE SECURITIES DIVISION *$25,000 TO CUSTOMER TIFFANY T. ****** REGULATORY ACTION (19 of 140) ****** NASD BrokerCheck October 14, 2005 Page 22 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 12/08/2003 Initiated By: NASD Date initiated: 12/01/2003 Docket/ Case Number: CAF030066 Allegations: SECTION 17(A) OF THE SECURITIES EXCHANGE ACT, SEC RULE 17A-3, NASD RULE 3110 - RESPONDENT MEMBER FAILED TO KEEP ACCURATE BOOKS AND RECORDS RELATED TO ITS BUSINESS DUE TO REGISTERED REPRESENTATIVES IN A BRANCH OFFICE WHO SOLICITED PUBLIC CUSTOMERS TO PURCHASE SHARES IN A START-UP TECHNOLOGY COMPANY FOR WHICH THE FIRM DID NOT PROVIDE RESEARCH. THE REGISTERED REPRESENTATIVES FALSELY RECORDED THESE SOLICITED TRADES AS "UNSOLICITED" IN THE BOOKS AND RECORDS OF THE BRANCH AND, CONSEQUENTLY, OF THE RESPONDENT MEMBER. NEITHER THE BRANCH MANAGER NOR THE FIRM DETECTED OR CORRECTED THE FALSIFICATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/01/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $25,000, AND REQUIRED TO UNDERTAKE TO PREPARE AND IMPLEMENT BY JUNE 1, 2004, WRITTEN PROCEDURES AND COMPUTER EXCEPTION REPORTS THAT ARE REASONABLY DESIGNED TO DETECT AND PREVENT THE MIS-MARKING OF ORDER TICKETS REGARDING THE SOLICITATION OF SECURITIES TRANSACTIONS WITH CUSTOMERS WHERE THE FIRM DOES NOT PROVIDE RESEARCH FOR THE SECURITIES. IN THE INTERIM, THE FIRM UNDERTAKES TO REITERATE TO ITS REGISTERED REPRESENTATIVES THE IMPORTANCE OF ITS POLICIES REGARDING SOLICITED AND UNSOLICITED TRADES. RESPONDENT MEMBER ALSO UNDERTAKES TO PROVIDE NASD WITH A COPY OF THE WRITTEN SUPERVISORY PROCEDURES WITHIN 30 DAYS AFTER THEY ARE IMPLEMENTED TOGETHER WITH A CERTIFICATION THAT THE PROCEDURES HAVE BEEN IMPLEMENTED. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/27/2004 Initiated By: NASD Date initiated: 12/01/2003 Docket/ Case Number: CAFO30066 Allegations: THE NASD ALLEGED THAT THE FIRM VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT, SEC RULE 17A-3, NASD RULE 3110 DUE TO REGISTERED REPRESENTATIVES IN ONE BRANCH OFFICE WHO SOLICITED PUBLIC CUSTOMERS TO PURCHASE SHARES AND FALSELY RECORDED THESE SOLICITED TRADES AS "UNSOLICITED" IN THE BROOKS AND RECORDS OF THE BRANCH AND CONSEQUENTLY OF THE RESPONDENT MEMBER NEITHER THE BRANCH MANAGER NOR THE FIRM DETECTED OR CORRECTED THE FALSIFICATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/01/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 NASD BrokerCheck October 14, 2005 Page 23 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW INC CONSENTED TO THE DESCRIBED SANCTIONS AND THE ENTRY OF FINDINGS. THE FIRM WAS CENSURED, FINED $25,000, AND REQUIRED TO UNDERTAKE TO PREPARE AND IMPLEMENT BY JUNE 1, 2004, WRITTEN PROCEDURES AND COMPUTER EXCEPTION REPORTS THAT ARE REASONABLY DESIGNED TO DETECT AND PREVENT THE MIS-MARKING OF ORDER TICKETS REGARDING THE SOLICITATION OF SECURITIES TRANSACTIONS WITH CUSTOMERS WHERE THE FIRM DOES NOT PROVIDE RESEARCH FOR THE SECURITIES. THE FIRM UNDERTOOK TO REITERATE TO ITS REGISTERED REPESENTATIVES IN THE INTERIM THE IMPORTANCE OF ITS POLICIES REGARDING SOLICITED AND UNSOLICITED TRADES. RESPONDENT MEMBER ALSO AGREED TO PROVIDE NASD WITH A COPY OF THE NEW WRITTEN SUPERVISORY PROCEDURES 30 DAYS AFTER THEY ARE IMPLEMENTED TOGETHER WITH A CERTIFICATION THAT THE PROCEDURES HAVE BEEN IMPLEMENTED. Summary: ****** REGULATORY ACTION (20 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/08/2005 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 11/17/2003 Docket/ Case Number: FILE NO. 3-11335 Allegations: SEC ADMINISTRATIVE RELEASE NO. 33-8339, 34-48789, DATED NOVEMBER 17, 2003; THIS MATTER ARISES FROM MORGAN STANLEY DW'S FAILURE TO DISCLOSE ADEQUATELY CERTAIN MATERIAL FACTS TO ITS CUSTOMERS IN THE OFFER AND SALE OF MUTUAL FUND SHARES, THEREBY VIOLATING SECTION 17(A)(2) OF THE SECURITIES ACT AND RULE 10B-10 UNDER THE EXCHANGE ACT. AT ISSUE IN THIS MATTER ARE TWO DISTINCT DISCLOSURE FAILURES. THE FIRST RELATES TO MORGAN STANLEY DW'S OPERATION OF MUTUAL FUND MARKETING PROGRAMS IN WHICH IT COLLECTED FROM A SELECT GROUP OF MUTUAL FUND COMPLEXES AMOUNTS IN EXCESS OF STANDARD SALES LOADS AND RULE 12B-1 TRAIL PAYMENTS.2 THESE PROGRAMS WERE DESIGNED TO SPECIALLY PROMOTE THE SALE OF THOSE MUTUAL FUNDS WITH ENHANCED COMPENSATION TO INDIVIDUAL REGISTERED REPRESENTATIVES, KNOWN AS FINANCIAL ADVISORS ("FAS"), AND BRANCH MANAGERS AS WELL AS INCREASED VISIBILITY IN ITS EXTENSIVE RETAIL DISTRIBUTION NETWORK. THE SECOND DISCLOSURE FAILURE RELATED TO MORGAN STANLEY DW'S SALES OF CLASS B SHARES OF ITS PROPRIETARY MUTUAL FUNDS IN CONNECTION WITH SALES IN EXCESS OF $100,000. MORGAN STANLEY DW DID NOT ADEQUATELY DISCLOSE AT THE POINT OF SALE, IN CONNECTION WITH ITS RECOMMENDATIONS TO PURCHASE CLASS B SHARES, THAT SUCH SHARES WERE SUBJECT TO HIGHER ANNUAL FEES AND THAT THOSE FEES COULD HAVE A NEGATIVE IMPACT ON THE CUSTOMERS' INVESTMENT RETURN. Current Status: Final Resolution: Order Resolution Date: 11/17/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $25,000,000.00 Other Sanctions: MORGAN STANLEY DW UNDERTAKES THE FOLLOWING: MORGAN STANLEY DW SHALL PLACE AND MAINTAIN ON ITS WEBSITE WITHIN 15 DAYS OF THE DATE OF ENTRY OF THE ORDER DISCLOSURES RESPECTING THE PARTNERS PROGRAM TO INCLUDE, IF APPLICABLE: (I) THE EXISTENCE OF THE PROGRAM; (II) THE FUND COMPLEXES PARTICIPATING IN THE PROGRAM; (III) THE MAXIMUM AMOUNT OF PAYMENT THAT MORGAN STANLEY DW RECEIVES, EXPRESSED IN BASIS POINTS, FOR PARTICIPATION IN THE PROGRAM; (IV) THE SOURCE OF SUCH PAYMENTS (FUND ASSETS, DISTRIBUTOR, UNDERWRITER, ETC.); (V) THE MAXIMUM AMOUNT THAT FAS RECEIVE, EXPRESSED IN BASIS POINTS, FOR RETENTION OF ASSETS IN PROGRAM MUTUAL FUNDS; AND (VI) THAT FAS AND THEIR BRANCH MANAGERS RECEIVE GREATER COMPENSATION FOR THE SALE OF PARTNERS FUNDS' THAN THEY DO FOR NON-PARTICIPATING FUNDS. MORGAN STANLEY DW SHALL MAKE THIS INFORMATION AVAILABLE VIA A HYPERLINK ON THE HOME PAGE OF ITS WEBSITE. WITHIN 45 DAYS OF THE DATE OF ENTRY OF THE ORDER, MORGAN STANLEY DW SHALL NASD BrokerCheck October 14, 2005 Page 24 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) PREPARE A "MUTUAL FUND BILL OF RIGHTS" IN PLAIN ENGLISH, NOT UNACCEPTABLE TO THE COMMISSION'S STAFF, THAT WILL INCLUDE THE DISCLOSURES IN PARAGRAPH A. ABOVE AS WELL AS DISCLOSURES CONCERNING THE DIFFERENCES IN FEES AND EXPENSES CONNECTED WITH THE PURCHASE OF DIFFERENT MUTUAL FUND SHARE CLASSES; WHY CLASS A SHARES ARE MORE APPROPRIATE FOR SOME INVESTORS; AND THE FIRM'S POLICY OF NOT ACCEPTING PURCHASES IN CLASS B SHARES OF $100,000 OR GREATER. WITHIN 75 DAYS OF THE DATE OF THE ENTRY OF THE ORDER, MORGAN STANLEY DW SHALL PLACE THE BILL OF RIGHTS ON ITS WEBSITE; AND SEND THE BILL OF RIGHTS TO ALL CURRENT RETAIL CUSTOMERS, TO ALL NEW RETAIL CUSTOMERS UPON THE OPENING OF AN ACCOUNT, AND TO ALL RETAIL CUSTOMERS ON AN ANNUAL BASIS THEREAFTER. MORGAN STANLEY DW SHALL RETAIN, WITHIN 45 DAYS OF THE DATE OF ENTRY OF THE ORDER, THE SERVICES OF AN INDEPENDENT CONSULTANT NOT UNACCEPTABLE TO THE COMMISSION'S STAFF. MORGAN STANLEY DW SHALL EXCLUSIVELY BEAR ALL COSTS, INCLUDING COMPENSATION AND EXPENSES, ASSOCIATED WITH THE RETENTION Resolution Details: ACCORDINGLY, IT IS HEREBY ORDERED THAT: MORGAN STANLEY DW IS CENSURED. MORGAN STANLEY DW SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT AND RULE 10B-10 UNDER THE EXCHANGE ACT. MORGAN STANLEY DW SHALL PAY, IN ACCORDANCE WITH THE PROVISIONS OF THE DISTRIBUTION PLAN, THE AMOUNT OF $50 MILLION, CONSISTING OF DISGORGEMENT PLUS PREJUDGMENT INTEREST IN THE AMOUNT OF $25 MILLION AND A CIVIL MONETARY PENALTY IN THE AMOUNT OF $25 MILLION (PURSUANT TO SECTION 308 OF THE SARBANES-OXLEY ACT OF 2002). Summary: SECURITIES ACT OF 33-8602, 34-52245, DATED AUGUST 12, 2004; IN THE ORDER, THE COMMISSION FOUND THAT MORGAN STANLEY DW FAILED ADEQUATELY TO DISCLOSE CERTAIN MATERIAL FACTS TO THE ELIGIBLE INVESTORS IN THE OFFER AND SALE OF MUTUAL FUND SHARES, THEREBY VIOLATING SECTION THEREBY VIOLATING SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 AND RULE 10B-10 UNDER THE SECURITIES EXCHANGE ACT OF 1934. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/15/2003 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 11/17/2003 Docket/ Case Number: AD. PRO. FILE NO. 3-11335 Allegations: ALLEGED DISCLOSURE VIOLATIONS IN CONNECTION WITH MARKETING ARRANGEMENTS BETWEEN THE COMPANY AND CERTAIN MUTUAL FUND COMPLEXES AND IN CONNECTION WITH THE OFFER AND SALE OF CLASS B SHARES IN CERTAIN MORGAN STANLEY PROPRIETARY MUTUAL FUNDS IN CONNECTION WITH SALES OF $100,000 OR MORE OF SUCH SHARES IN A SINGLE TRANSACTION. ALSO ALLEGED THAT RECEIPT OF DIRECTED BROKERAGE COMMISSIONS AS PAYMENT FOR SUCH MARKETING ARRANGEMENTS CONTRAVENED THE DICTATES OF NASD RULE 2830(K). Current Status: Final Resolution: Order Resolution Date: 11/17/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure, Cease and Desist/Injunction Monetary Amount: $500,000,000.00 Other Sanctions: SEE 13. Resolution Details: SEE 13 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE COMPANY CONSENTED TO AN ORDER INCLUDING A CENSURE; A CEASE AND DESIST FROM VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 AND RULE 10B-10; AND AN UNDERTAKING TO DISTRIBUTE FOR THE BENEFIT OF CERTAIN CUSTOMERS WHO PURCHASED SHARES OF MUTUAL FUNDS THROUGH THE COMPANY PURSUANT TO MARKETING ARRANGEMENTS THAT ARE SUBJECT OF THE ORDER THE AMOUNT OF $50 MILLION DOLLARS, CONSISTING OF DISORGEMENT PLUS PREJUDGEMENT INTEREST IN THE AMOUNT OF $25,000,000 AND A CIVIL PENALTY OF $25 MILLION. THE COMPANY ALSO MADE CERTAIN OTHER UNDERTAKINGS INCLUDING: (1) PLACING CERTAIN DISCLOSURES ON ITS WEBSITE; (2) PREPARING AND DISTRIBUTING A MUTUAL FUND BILL OF RIGHTS; (3) NASD BrokerCheck October 14, 2005 Page 25 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) PREPARING A PLAN BY WHICH CERTAIN CUSTOMERS' B SHARES CAN BE CONVERTED TO A SHARES; AND (4) RETAINING AND INDEPENDENT CONSULTANT TO REVIEW, AMONG OTHER THINGS, THE COMPLETENESS OF THE DISCLOSURES RESPECTING A CERTAIN MARKETING PROGRAM, CONFORMITY WITH NASD RULE 2830K AND CONFORMITY WITH OTHER OF THE ORDER. ****** REGULATORY ACTION (21 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/19/2003 Initiated By: NASD Date initiated: 11/17/2003 Docket/ Case Number: CAF030060 Allegations: NASD RULE 2830(K) - RESPONDENT MEMBER RECEIVED BROKERAGE COMMISSIONS IN CONNECTION WITH GIVING PREFERENTIAL TREATMENT TO CERTAIN MUTUAL FUND COMPLEXES. THE FIRM OPERATED MUTUAL FUND MARKETING PROGRAMS IN WHICH IT COLLECTED FROM A SELECT GROUP OF MUTUAL FUND COMPLEXES AMOUNTS IN EXCESS OF STANDARD SALE LOADS AND RULE 12B-1 TRAIL PAYMENTS. THE PROGRAMS WERE DESIGNED TO SPECIALLY PROMOTE THE SALE OF THOSE MUTUAL FUNDS WITH ENHANCED COMPENSATION TO INDIVIDUAL REGISTERED REPRESENTATIVES KNOWN AS FINANCIAL ADVISORS AND BRANCH MANAGERS AS WELL AS INCREASED VISIBILITY IN ITS EXTENSIVE RETAIL DISTRIBUTION NETWORK. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/17/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $0.00 Other Sanctions: UNDERTAKINGS Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED, HAS AGREED TO PAY $50 MILLION TO RESOLVE THE SEC PROCEEDINGS, AND HAS AGREED TO UNDERTAKINGS RELATING TO CERTAIN B SHARE PURCHASERS AND TO THE DEVELOPMENT OF MEASURES DESIGNED TO PREVENT A RECURRENCE OF THE UNDERLYING VIOLATIONS. Summary: SIMULTANEOUSLY WITH THIS PROCEEDING, THE SEC INSTITUTED PROCEEDINGS AGAINST THE FIRM FOR INADEQUATELY DISCLOSING INFORMATION IN THE OFFER AND SALE OF MUTUAL FUND SHARES IN VIOLATION OF SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933 AND RULE 10B-10 UNDER THE SECURITIES EXCHANGE ACT OF 1934. THIS INCLUDES THE FIRM'S FAILURE TO ADEQUATELY DISCLOSE PAYMENTS RECEIVED FROM THE PARTICIPANTS IN THE PROGRAMS AND THE ENHANCED COMPENSATION PAID TO ITS SALES FORCE IN CONNECTION WITH THE PROGRAMS. THE FIRM ALSO VIOLATED SECTION 17(A)(2) BY ITS FAILURE TO MAKE ADEQUATE DISCLOSURES AT THE POINT OF SALE REGARDING PURCHASES OF CLASS B SHARES OF ITS PROPRIETARY MUTUAL FUNDS IN EXCESS OF $100,000 IN A SINGLE PURCHASE, WHICH WERE SUBJECT TO DIFFERENT CONTINUING SALES CHARGES THAN CLASS A SHARES IN THE SAME FUND. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/16/2003 Initiated By: NASD Date initiated: 11/17/2003 Docket/ Case Number: CAF 030060 Allegations: ALLEGED VIOLATIONS OF NASD RULE 2830(K) Current Status: Final NASD BrokerCheck October 14, 2005 Page 26 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/17/2003 Sanctions Ordered: Censure Other Sanctions: SEE 13 Resolution Details: SEE 13 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS THEREIN, THE COMPANY AGREED TO THIS ACCEPTANCE WAIVER AND CONSENT SIMULTANEOUSLY WITH THE SEC SETTLEMENT AGREED TO ON THE SAME DAY. ****** REGULATORY ACTION (22 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/18/2003 Initiated By: NASD Date initiated: 09/15/2003 Docket/ Case Number: C10030077 Allegations: NASD RULES 2110, 2820, 2830, 3010 - RESPONDENT MEMBER CONDUCTED SALES CONTESTS IN WHICH THE FIRM DIRECTLY OR INDIRECTLY MADE PAYMENTS OR OFFERS OF PAYMENTS OF NON-CASH COMPENSATION TO ITS ASSOCIATED PERSONS THAT WAS NOT BASED ON THE TOTAL PRODUCTION OF ASSOCIATED PERSONS WITH RESPECT TO ALL MUTUAL FUNDS OR VARIABLE ANNUITIES DISTRIBUTED OR OFFERED BY THE FIRM; IN THE SALES CONTESTS, THE CREDIT RECEIVED WAS NOT EQUALLY WEIGHTED AND EXCLUDED CERTAIN MUTUAL FUNDS, OFTEN NON-PROPRIETARY FUNDS, FOR CONTEST PURPOSES OR GAVE CERTAIN FIRM PROPRIETARY MUTUAL FUNDS OR CERTAIN VARIABLE ANNUITIES GREATER WEIGHT FOR CONTEST PURPOSES. THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF EACH REGISTERED REPRESENTATIVE AND ASSOCIATED PERSON REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE INVESTMENT COMPANY SECURITIES AND VARIABLE CONTRACTS NON-CASH COMPENSATION PROVISIONS OF NASD RULES; AND, ACTING THROUGH AN INDIVIDUAL, FAILED TO REASONABLY SUPERVISE THE FIRM'S FINANCIAL ADVISOR NETWORK WITH A VIEW TOWARD PREVENTING VIOLATIONS OF THE INVESTMENT COMPANY SECURITIES AND VARIABLE CONTRACTS NON-CASH COMPENSATION PROVISIONS OF NASD RULES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/15/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000,000.00 Other Sanctions: UNDERTAKINGS Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY DW, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM WAS CENSURED, FINED $2,000,000, AND ORDERED TO RETAIN AN INDEPENDENT CONSULTANT WITHIN 45 DAYS OF THE EFFECTIVE DATE OF THIS AWC NOT UNACCEPTABLE TO THE NASD DEPT. OF ENFORCEMENT (DOE)TO REVIEW AND MAKE RECOMMENDATIONS FOR REVISION OF THE FIRM'S SUPERVISORY AND COMPLIANCE PROCEDURES AND SYSTEMS IN CONNECTION WITH ITS COMPLIANCE WITH THE NON-CASH COMPENSATION PROVISIONS OF NASD RULES AND REPORT THIS RETENTION OF THE CONSULTANT TO DOE. THE CONSULTANT SHALL BE REQUIRED TO MAKE RECOMMENDATIONS NO LATER THAN 90 DAYS AFTER RETENTION. THE FIRM SHALL IMPLEMENT RECOMMENDATIONS NO LATER THAN 60 DAYS AFTER ISSUANCE OF REPORTAND PROVIDE DOE WITH SATISFACTORY PROOF OF IMPLEMENTATION. WITHIN 30 DAYS OF THE EFFECTIVE DATE OF THIS AWC, THE FIRM SHALL AMEND THE FIRM'S WRITTEN SUPERVISORY PROCEDURES TO DESIGNATE A REGISTERED PRINCIPAL RESPONSIBLE FOR UPDATING AND AMENDING THE FIRM'S COMPLIANCE SYSTEMS AND PROCEDURES TO BE CONSISTENT WITH NASD COMMUNICATIONS RELEVANT TO THE FIRM'S BUSINESS AND SHALL AT NASD BrokerCheck October 14, 2005 Page 27 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ALL TIMES THEREAFTER DESIGNATE A REGISTERED PRINCIPAL WITH THESE RESPONSIBILITIES IN THE FIRM'S WRITTEN SUPERVISORY PROCEDURES. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/28/2003 Initiated By: NASD Date initiated: 09/15/2003 Docket/ Case Number: C10030077 Allegations: BETWEEN OCTOBER, 1999 AND DECEMBER, 2002 THE FIRM ALLEGEDLY VIOLATED THE NON-CASH COMPENSATION PROVISIONS OF NASD CONDUCT RULES 2820 AND 2830 AND ALSO ALLEGEDLY VIOLATED NASD CONDUCT RULES 2110 AND 3010. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/15/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000,000.00 Other Sanctions: UNDERTAKING TO: 1) WITHIN 30 DAYS DESIGNATE A REGISTERED PRINCIPAL TO BE RESPONSIBLE FOR UPDATING COMPLIANCE SYSTEMS AND PROCEDURES: AND 2)WITHIN 45 DAYS RETAIN AN INDEPENDENT CONSULTANT TO REVIEW AND MAKE RECOMMENDATIONS FOR REVISION OF FIRM'S SUPERVISORY AND COMPLIANCE PROCEDURES REGARDING THE NON-CASH COMPENSATION PROVISIONS OF RULES 2820 AND 2830. Resolution Details: N/A Summary: THE FIRM CONSENTED TO THE ACCEPTANCE, WAIVER & CONSENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS THEREIN. ****** REGULATORY ACTION (23 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/11/2003 Initiated By: MARYLAND DIVISION OF SECURITIES Date initiated: 04/07/2003 Docket/ Case Number: 2003-0275 Allegations: BASED UPON THE DIVISION'S INVESTIGATION AND INFORMATION SUBMITTED BY MORGAN STANLEY, THE COMMISSIONER CONCLUDED THAT MORGAN STANLEY FAILED TO TIMELY AMEND THE FORMS U-4 OF 4 REGISTERED REPRESENTATIVES. Current Status: Final Resolution: Consent Resolution Date: 09/11/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: CONSENT ORDER EXECUTED, FINED $1,000.00. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 28 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Date Reported: 10/13/2003 Initiated By: MARYLAND SECURITIES COMMISSIONER Date initiated: 06/25/2003 Docket/ Case Number: 2003-0275 Allegations: ALLEGEDLY FAILED TO AMEND FORMS U-4 OF FORMER REGISTERED REPRRESENTATIVE. Current Status: Final Resolution: Consent Resolution Date: 06/25/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: N/A Summary: AGREED TO CONSENT ORDER AND PAYMENT OF $1,000.00 FINE AFTER CORRECTED FILINGS. ****** REGULATORY ACTION (24 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/28/2003 Docket/ Case Number: CMS030113 Allegations: NASD CONDUCT RULES 2110 AND 3010, NASD MARKETPLACE RULE 6955(A) - RESPONDENT MEMBER TRANSMITTED TO OATS EXECUTION REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATED DATA. SPECIFICALLY, THE REPORTS FAILED TO MATCH TO AN ACT TRADE REPORT. THESE INACCURATE AND/OR IMCOMPLETE REPORTS REPRESENTED 14 PERCENT OF ALL EXECUTION REPORTS TRANSMITTED BY THE FIRM DURING THE REVIEW PERIOD. THE RESPONDENT MEMBER ALSO SUBMITTED TO OATS REPORTS WITH RESPECT TO EQUITY SECURITIES TRADED ON THE NASDAQ STOCK MARKET (THE "SUBJECT REPORTS") THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY NASD. THE SUBJECT REPORTS WERE REJECTED BY THE OATS SYSTEM AND NOTICE OF SUCH REJECTION WAS MADE AVAILABLE TO THE FIRM ON THE OATS WEBSITE. THE FIRM DID NOT CORRECT OR REPLACE THE SUBJECT REPORTS. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF NASD CONCERNING OATS. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR (I) THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE AT THE FIRM TO ENSURE COMPLIANCE WITH THE APPLICABLE RULES; (II) A STATEMENT OF THE STEP(S) THAT SUCH PERSON(S) SHOULD TAKE TO ENSURE COMPLIANCE THEREWITH; (III) A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND (IV) HOW ENFORCEMENT OF SUCH WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED AS THE FIRM. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF NASD BrokerCheck October 14, 2005 Page 29 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $6,000, AND REQUIRED TO UNDERTAKE TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING OATS REPORTING WITHIN 30 BUSINESS DAYS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2003 Initiated By: NASD Date initiated: 04/28/2003 Docket/ Case Number: CMS030113 Allegations: ALLEGED VIOLATIONS OF NASD RULES 2110, 3010 AND 6955 CONCERNING INACCURATE, INCOMPLETE OR INCORRECTLY FORMATTED REPORTS TO THE ORDER AUDIT TRAIL SYSTEM ("OATS") DURING THE PERIOD APRIL 16, 2002 THROUGH JUNE 30 2002 AND FAILURE TO HAVE WRITTEN SUPERVISORY PROCEDURES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $6,000.00 Other Sanctions: N/A Resolution Details: N/A Summary: SEE ITEM 7 ****** REGULATORY ACTION (25 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/18/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/10/2003 Docket/ Case Number: C07030015 Allegations: NASD RULES 2110, 8210 - RESPONDENT MEMBER FAILED TO RESPOND TO NASD REQUESTS FOR DOCUMENTS AND INFORMATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/10/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MORGAN STANLEY CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED AND FINED $25,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/08/2003 Initiated By: NASD NASD BrokerCheck October 14, 2005 Page 30 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Date initiated: 03/10/2003 Docket/ Case Number: CO7030015 Allegations: ALLEGEDLY VIOLATED NASD CONDUCT RULE 2110 AND PROCEDURAL RULE 8210 IN CONNECTION WITH THE EXAMINATION OF A CUSTOMER COMPLAINT BY FAILING TO RESPOND TO REQUESTS FOR DOCUMENTS AND INFORMATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/10/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: N/A Summary: TO RESOLVE THE MATTER AND WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO ENTRY OF THESE SANCTIONS AND TO CERTAIN FINDINGS. ****** REGULATORY ACTION (26 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/26/2003 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/01/2002 Docket/ Case Number: SEC ADMIN PROCEEDING 3-10905 Allegations: WITHOUT APPLICANT ADMITTING OR DENYING THE FINDINGS, ON OCTOBER 1, 2002 THE SEC ENTERED AN ORDER FINDING DEAN WITTER FAILED TO ADEQUATELY SUPERVISE THE TRADING OF A REGISTERED REPRESENTATIVE IN AN OTC STOCK AND DID NOT MAINTAIN ACCURATE BOOKS AND RECORDS BECAUSE OF THE ACTIONS OF THE REGISTERED REPRESENTATIVE. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 10/01/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $500,000.00 Other Sanctions: N/A Resolution Details: SEE ITEM 13 Summary: ON OCTOBER 1, 2002, THE SEC ACCEPTED THE OFFER SETTLEMENT OF DEAN WITTER REYNOLDS INC./MORGAN STANLEY DW INC. WITHOUT ADMITTING OR DENYING THE FINDINGS OF THE ORDER, THE FIRM AGREED TO: 1) PAY A $500,000 PENALTY AND 2) TO CEASE AND DESIST FROM FUTURE VIOLATIONS. ****** REGULATORY ACTION (27 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/26/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/18/2002 Docket/ NASD BrokerCheck October 14, 2005 Page 31 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Case Number: CMS020050 Allegations: NASD CONDUCT RULE 2110, 2860(B)(5)(A),3010,AND 3360 - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE FINDINGS THAT IT FAILED TO FILE REPORTS WITH THE NASD OF POSITIONS OF STANDARDIZED OPTION CONTRACTS; FAILED TO REPORT ITS SHORT INTEREST POSITIONS TO THE NASD FOR SECURITIES; SUBMITTED SHORT INTEREST POSITION REPORTS THAT INCLUDED INACCURATE SHORT INTEREST DATA; AND, ITS SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING THE REPORTING OF SHORT INTEREST AND OPTIONS POSITIONS TO THE NASD. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/18/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Other Sanctions: WITHIN 30 DAYS OF ACCEPTANCE OF THIS AWC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO THE NASD A SIGNED, DATED LETTER, PROVIDING THE FOLLOWING INFORMATION: 1) A REFERENCE TO THIS MATTER; 2) A REPRESENTATION THAT THE FIRM HAS REVISED ITS WRITTEN SUPERVISORY PROCEDURES CONCERNING THE REPORTING OF SHORT INTEREST AND OPTIONS POSITIONS OF THE NASD; AND, 3) THE DATE THE REVISED PROCEDURES WERE IMPLEMENTED. Resolution Details: CENSURED, FINED $25,000, AND WITHIN 30 DAYS OF ACCEPTANCE OF THIS AWC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO THE NASD A SIGNED, DATED LETTER, PROVIDING THE FOLLOWING INFORMATION: 1) A REFERENCE TO THIS MATTER; 2) A REPRESENTATION THAT THE FIRM HAS REVISED ITS WRITTEN SUPERVISORY PROCEDURES CONCERNING THE REPORTING OF SHORT INTEREST AND OPTIONS POSITIONS OF THE NASD; AND, 3) THE DATE THE REVISED PROCEDURES WERE IMPLEMENTED. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/12/2003 Initiated By: NASD REGULATION INC. Date initiated: 03/18/2002 Docket/ Case Number: CMS 020050 Allegations: APPLICANT'S PREDECESSOR IN INTEREST, MORGAN STANLEY DEAN WITTER ON-LINE, ALLEGEDLY FAILED TO REPORT OPTIONS POSITIONS OF 200 OR MORE CONTRACTS BETWEEN OCTOBER 5, 1998 AND JULY 31,2000 AND FAILED TO REPORT ITS SHORT INTEREST POSITIONS BETWEEN OCTOBER 5, 1998 AND JANUARY 31, 2000. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/18/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,500.00 Other Sanctions: N/A Resolution Details: N/A Summary: SEE ITEM 7. THIS AWC RESOLVED ALLEGED REPORTING VIOLATIONS BY A BROKER-DEALER WHICH HAS BEEN MERGED INTO MORGAN STANLEY DW INC. AND NO LONGER EXISTS AS A SEPARATE BROKER-DEALER. ****** REGULATORY ACTION (28 of 140) ****** NASD BrokerCheck October 14, 2005 Page 32 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 07/17/2001 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 06/26/2001 Docket/ Case Number: CMS010102 Allegations: NASD RULE 4613(E) - RESPONDENT MEMBER, A MARKET MAKER IN SECURITIES, WITHOUT MAKING REASONABLE EFFORTS TO AVOID A LOCKED OR CROSSED MARKET BY EXECUTING TRANSACTIONS WITH ALL MARKET MAKERS WHOSE QUOTATIONS WOULD BE LOCKED OR CROSSED, ENTERED BID OR ASKED QUOTATIONS IN THE NASDAQ STOCK MARKET, INC. WHICH CAUSED A LOCKED OR CROSSED MARKET CONDITION TO OCCUR IN EACH INSTANCE Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/26/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: N/A Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2003 Initiated By: NASD REGULATION INC. Date initiated: 06/26/2001 Docket/ Case Number: CMS010102 AWC Allegations: ALLEGEDLY FAILED TO MAKE REASONABLE EFFORTS TO AVOID A LOCKED MARKET IN STOCKS MADE MARKET IN. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/26/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Other Sanctions: N/A Resolution Details: N/A Summary: ****** REGULATORY ACTION (29 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/27/2001 Initiated By: ARIZONA CORPORATION COMMISSION Date initiated: 11/06/1991 Docket/ Case Number: S-2835-I Allegations: SEE ITEM 13. NASD BrokerCheck October 14, 2005 Page 33 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Order Resolution Date: 11/06/1991 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $250,000.00 Other Sanctions: SEE ITEM 13. Resolution Details: SEE ITEM 13. Summary: EFFECTIVE NOVEMBER 6, 1991, DEAN WITTER REYNOLDS INC., WITHOUT ADMITTING OR DENYING LIABILITY, AGREED TO AN ORDER TO CEASE AND DESIST AND ORDER ASSESSING ADMINISTRATIVE PENALTY AND CONSENT TO SAME WITH THE ARIZONA CORPORATION COMMISSION. UNDER THE TERMS OF THE ORDER, DEAN WITTER REYNOLDS INC. CONSENTED TO CEASE AND DESIST FROM VIOLATION OF ARIZONA REVISED STATUTE #44-1991, AGREED TO PAY A $250,000. ADMINISTRATIVE PENALTY, AND AGREED TO INSTITUTE CERTAIN COMPLIANCE UNDERTAKINGS. THE PENALTY WAS PAID UPON ENTRY OF THE ORDER. DEAN WITTER REYNOLDS INC. AGREED TO THE ORDER IN ORDER TO AVOID THE COST OF AND TIME SPENT IN A LENGTHY LITIGATION AS WELL AS THE PUBLICITY THAT OFTEN ACCOMPANIES THE ISSUANCE OF THE REGULATORY COMPLAINT BUT NOT THE FILING OF AN ANSWER THAT MIGHT REBUT THE CHARGES. ****** REGULATORY ACTION (30 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/30/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES Date initiated: 03/22/2001 Docket/ Case Number: CMS010034 Allegations: NASD RULES 2110, 3010, 3320, 4613(B)AND SEC RULE 11AC1-1 - AN ORDER WAS PRESENTED TO THE FIRM AT THE FIRM?S PUBLISHED BID OR PUBLISHED OFFER IN AN AMOUNT UP TO ITS PUBLISHED QUOTATION SIZE. THE FIRM FAILED TO EXECUTE THE ORDERS UPON PRESENTMENT AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION; AND, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING THE SEC AND NASD FIRM QUOTE RULES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/22/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Other Sanctions: UNDERTAKE TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO THE SEC AND NASD FIRM QUOTE RULES WITHIN 30 BUSINESS DAYS OF THE ACCEPTANCE OF THIS AWC BY THE NAC. Resolution Details: CENSURED AND FINED $15,000.00. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/20/2001 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 03/22/2000 Docket/ NASD BrokerCheck October 14, 2005 Page 34 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Case Number: CMS010034 Allegations: FROM APRIL 1 THROUGH SEPTEMBER 30, 1998 ALLEGED FAILURE TO EXECUTE CERTAIN OTC ORDERS AT THE PUBLISHED BID OR PUBLISHED OFFER PRICE. ALLEGEDLY FAILING TO ADEQUATELY SUPERVISE THIS AREA. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/01/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Other Sanctions: SEE ITEM #13 Resolution Details: SEE ITEM #13 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS THE FIRM CONSENTED TO THE CENSURE AND PENALTY AND TO CERTAIN UNDERTAKINGS. ****** REGULATORY ACTION (31 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/30/2000 Initiated By: STATE OF FLORIDA DIVISION OF SECURITIES Date initiated: 11/19/1999 Docket/ Case Number: 2869-S-10/99 Allegations: UNREGISTERED ACTIVITY Current Status: Final Resolution: Stipulation and Consent Resolution Date: 11/19/1999 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $10,000.00 Other Sanctions: THE DEPARTMENT AGREES TO APPROVE THE PENDING APPLICATION Resolution Details: NONE Summary: ****** REGULATORY ACTION (32 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: Initiated By: NYSE DIVISION OF ENFORCEMENT Date initiated: 07/11/2000 Docket/ Case Number: HPD# 00-134 Allegations: **07/11/2000** EXECUTED A STIPULATION AND CONSENT TO PENALTY WITHOUT ADMITTING OR DENYING GUILT, DEAN WITTER CONSENTS TO FINDINGS THAT 1. EXCHANGE RULE 345A IN THAT THE FIRM PERMITTED PERSONS WITH INACTIVE REGISTRATIONS TO PERFORM DUTIES AND FUNCTIONS IN CAPACITIES WHICH REQUIRED REGISTRATION FOR PERIODS RANGING FROM FOUR DAYS TO SIXTEEN MONTHS. 2. VIOLATED EXCHANGE RULE 345.17 IN THAT THE FIRM FAILED TO FILE AND/OR PROMPTLY FILE, FORMS U-5 AND AMENDMENTS TO FORMS U-5 WITH THE NASD BrokerCheck October 14, 2005 Page 35 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) EXCHANGE. 3. VIOLATED EXCHANGE RULE 345.12 IN THAT THE FIRM FAILED TO FILE AND/OR PROMPTLY FILE FORMS U-4 AND AMENDMENTS TO FORMS U-4 WITH THE EXCHANGE. 4. VIOLATED EXCHANGE RULE 351(A) IN THAT THE FIRM FAILED TO REPORT AND/OR PROMPTLY REPORT, REPORTABLE MATTERS TO THE EXCHANGE. 5. EXCHANGE RULE 351(D) IN THAT THE FIRM FAILED TO REPORT, AND/OR FAILED TO PROMPTLY REPORT INFORMATION REGARDING CUSTOMER COMPLAINTS TO THE EXCHANGE. 6. SEC REGULATIONS SECTION 17A-3(A)(6) AND 17A-4 AND EXCHANGE RULES 440 AND 410 IN THAT THE FIRM FAILED TO MAKE AND PRESERVE REQUIRED AND TIMELY RECORDS RELATING TO THE EXECUTION OF CUSTOMER ORDERS. 7. EXCHANGE RULE 342 IN THAT THE FIRM FAILED TO PROVIDE FOR APPROPRIATE PROCEDURES AND CONTROLS AND AN APPROPRIATE SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO ITS OBLIGATION MAKE AND PRESERVE REQUIRED AND TIMELY RECORDS RELATING TO THE EXECUTION OF CUSTOMER ORDERS , TO PROMPTLY AND ACCURATELY REPORT MATTERS TO THE EXCHANGE AND TO ENSURE THAT ITS REGISTERED EMPLOYEES COMPLIED WITH REGISTRATION REQUIREMENTS DEAN WITTER CONSENTED TO THE IMPOSITION BY THE EXCHANGE OF THE PENALTY OF A CENSURE AND A FINE OF $750,000. Current Status: Final Resolution: Decision Resolution Date: 09/29/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $750,000.00 Resolution Details: **08/29/2000** HPD 00-134 ISSUED,DATED AUGUST 16, 2000 BY NYSE HEARING PANEL DECISION: HPD 00-134 THE HEARING BOARD FOUND THAT DEAN WITTER REYNOLDS, INC. VIOLATED EXCHANGERULE 345A BY PERMITTING PERSONS WITH INACTIVE REGISTRATIONS TO PERFORM DUTIES REQUIRING REGISTRATION ; VIOLATED 345.17 BY FAILING TO FILE FORM U-5 AND AMENDMENTS; VIOLATED RULE 345.12 BY FAILING TO FILE FORM U-4S AND AMENDMENTS; VIOLATED RULE 351(A) BY FAILING TO REPORT REPORTABLE MATTERS TO THE EXCHANGE; VIOLATED RULE 351(D) BY FAILING TO REPORT CUSTOMER COMPLAINTS TO THE EXCHANGE; VIOLATED SEC REGS 17A-3(A)(6) AND 17A-4 AND EXCHANGE RULES 440 AND 410 BY FAILING TO MAKE AND PRESERVE REQUIRED RECORDS; AND VIOLATED RULE 342 BY FAILING TO PROVIDE APPROPRIATE PROCEDURES AND CONTROLS. CENSURE AND A $750,000 FINE. Summary: **09/29/2000** THE DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY. CONTACT: PEGGY GERMINO (212) 656-8450. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/19/2000 Initiated By: NEW YORK STOCK EXCHANGE, INC. Date initiated: 07/11/2000 Docket/ Case Number: DECISION 00-134 Allegations: THE FIRM WAS ALLEGED TO HAVE VIOLATED EXCHANGE RULES WITH RESPECT TO CONTINUING EDUCATION REQUIREMENTS, RULE 351-D, FILING OF FORMS U-4, U-5 AND RE-3, AND THE MAKING AND PRESERVING OF RECORDS RELATING TO THE EXECUTION OF CUSTOMER ORDERS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/29/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $750,000.00 Resolution Details: SEE ITEM 13. Summary: WITHOUT ADMITTING OR DENYING LIABILITY AND IN ORDER TO AVOID THE COST AND UNCERTAINTY OF CONTINUED REGULATORY PROCEEDINGS, THE FIRM CONSENTED TO THE NYSE'S HEARING PANEL'S FINDINGS. WITH RESPECT TO CONTINUING EDUCATION, AS A RESULT OF A PROGRAMMING ERROR IN THE FIRM'S COMPUTERIZED NOTIFICATION NASD BrokerCheck October 14, 2005 Page 36 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SYSTEM AND THE FAILURE OF AN ANALYST TO DISCHARGE HER FUNCTIONS PROPERLY, REGISTERED PERSONNEL WERE NOT NOTIFIED OF THEIR REQUIREMENT TO FULFILL THEIR CONTINUING EDUCATION REQUIREMENTS IN A TIMELY MANNER. ****** REGULATORY ACTION (33 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/29/2000 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/28/2000 Docket/ Case Number: REL. 34-43215 Allegations: THE COMMISSION FOUND THAT DEAN WITTER'S SYSTEM REGARDING MUTUAL FUND SWITCHING WAS DEFICIENT AND COULD NOT REASONABLY BE EXPECTED TO PREVENT AND DETECT MUTUAL FUND SWITCHING THAT VIOLATED THE ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS. DEAN WITTER ALSO FAILED REASONABLY TO SUPERVISE THE REGISTERED REPRESENTATIVE. Current Status: Final Resolution: Consent Resolution Date: 08/28/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $200,000.00 Other Sanctions: (1) ORDERED TO REMIT TO CERTAIN CUSTOMERS $276,702 REPRESENTING CHARGES AND OTHER EXPENSES PLUS INTEREST. (2) DEAN WITTER IS ORDERED TO COMPLY WITH ITS UNDERTAKINGS TO (I) MAINTAIN ITS CURRENT PROCEDURES, INCLUDING BUT NOT LIMITED TO PROCEDURES THAT REQUIRE BRANCH MANAGER APPROVAL OF ALL OPEN-END MUTUAL FUND SWITCH TRANSACTIONS IN AN ACCOUNT PRIOR TO THEIR EXECUTION; (II) PROVIDE CERTAIN INFORMATION TO THE BRANCH MANAGER REGARDING THE SWITCH; AND (III) PROVIDE FOR THE GENERATION OF MUTUAL FUND SWITCH LETTERS TO BE SENT TO CUSTOMERS CONTEMPORANEOUSLY WITH THEIR SWITCHES. (3) DEAN WITTER IS ALSO ORDERED TO RETAIN AN INDEPENDENT REVIEW PERSON TO CONDUCT A REVIEW OF DEAN WITTER'S MUTUAL FUND SWITCHING PROCEDURES AND MAKE RECOMMENDATIONS, WHICH DEAN WITTER SHALL ADOPT. Resolution Details: (1) THE ORDER CENSURES DEAN WITTER. (2) A CIVIL MONEY PENALTY OF $200,000. (3) ORDERED TO REMIT TO CERTAIN CUSTOMERS $276,702 REPRESENTING CHARGES AND OTHER EXPENSES PLUS INTEREST. (4) ORDERED TO COMPLY WITH ITS UNDERTAKINGS TO (I) MAINTAIN ITS CURRENT PROCEDURES, INCLUDING BUT NOT LIMITED TO PROCEDURES THAT REQUIRE BRANCH MANAGER APPROVAL OF ALL OPEN-END MUTUAL FUND SWITCH TRANSACTIONS IN AN ACCOUNT PRIOR TO THEIR EXECUTION; (II) PROVIDE CERTAIN INFORMATION TO THE BRANCH MANAGER REGARDING THE SWITCH; AND (III) PROVIDE FOR THE GENERATION OF MUTUAL FUND SWITCH LETTERS TO BE SENT TO CUSTOMERS CONTEMPORANEOUSLY WITH THEIR SWITCHES. (5) DEAN WITTER IS ALSO ORDERED TO RETAIN AN INDEPENDENT REVIEW PERSON TO CONDUCT A REVIEW OF DEAN WITTER'S MUTUAL FUND SWITCHING PROCEDURES AND MAKE RECOMMENDATIONS, WHICH DEAN WITTER SHALL ADOPT. Summary: +08/29/2000+ SEC NEWS DIGEST, ISSUE NO. 2000-165, DATED 08/28/2000, ENFORCEMENT PROCEEDINGS DISCLOSES: ON AUGUST 28, THE COMMISSION ISSUED AN ORDER INSTITUTING PUBLIC PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 19(H) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND MONETARY PENALTIES AGAINST DEAN WITTER REYNOLDS INC. ("DEAN WITTER"). THE COMMISSION FOUND THAT DEAN WITTER'S SYSTEM REGARDING MUTUAL FUND SWITCHING WAS DEFICIENT AND COULD NOT REASONABLY BE EXPECTED TO PREVENT AND DETECT MUTUAL FUND SWITCHING THAT VIOLATED THE ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS. THE ORDER CENSURES DEAN WITTER AND ORDERS IT TO REMIT TO CERTAIN CUSTOMERS $276,702 REPRESENTING CHARGES AND OTHER EXPENSES PLUS INTEREST AND TO PAY A CIVIL MONEY PENALTY OF $200,000. DEAN WITTER IS ALSO ORDERED TO COMPLY WITH CERTAIN UNDERTAKINGS AND TO RETAIN AN INDEPENDENT REVIEW PERSON TO CONDUCT A REVIEW OF DEAN WITTER'S MUTUAL FUND SWITCHING PROCEDURES AND MAKE RECOMMENDATIONS, WHICH DEAN WITTER SHALL ADOPT. DEAN WITTER CONSENTED TO THE ORDER WITHOUT NASD BrokerCheck October 14, 2005 Page 37 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ADMITTING OR DENYING THE COMMISSION'S FINDINGS. (REL. 34-43215) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/10/2003 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/28/2000 Docket/ Case Number: EXCHANGE RELEASE NO. 34-43215 Allegations: SEE 13 Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 08/28/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $200,000.00 Other Sanctions: SEE 13 Resolution Details: SEE 13 Summary: ON AUGUST 28, 2000 THE SEC ACCEPTED THE OFFER OF SETTLEMENT OF DEAN WITTER REYNOLDS, INC. WITHOUT ADMITTING OR DENYING THE FINDINGS OF THE ORDER, DEAN WITTER AGREED TO: 1) A CENSURE 2) A CIVIL PENALTY OF $200,000; 3) PAY $276, 702 TO CERTAIN CUSTOMERS IDENTIFIED BY THE STAFF AND 4) CERTAIN UNDERTAKINGS IN THE ORDER. ****** REGULATORY ACTION (34 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: Initiated By: PA SECURITIES COMMISSION CONTACT: ARLINDA WILLIS (717)783-5177 Date initiated: 11/10/1999 Docket/ Case Number: 9609-01LC Allegations: RESPONDENT ENGAGED IN DISHONEST AND UNETHICAL PRACTICE IN THE SECURITIES BUSINESS IN PENNSYLVANIA. Current Status: Final Resolution: Other Resolution Date: 11/10/1999 Sanctions Ordered: Resolution Details: Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT AGREED TO OFFER OF SETTLEMENT TO 106 PENNSYLVANIA RESIDENTS FOR A TOTAL AMOUNT OF $394,576.50. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 01/29/1994 Docket/ Case Number: DOCKET NO. 9609-01LC NASD BrokerCheck October 14, 2005 Page 38 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: COMMISSION ALLEGED THAT DEAN WITTER SOLD INTERESTS IN CERTAIN REAL ESTATE LIMITED PARTNERSHIPS TO CERTAIN PENNSYLVANIA RESIDENTS FOR WHOM THEY WERE NOT SUITABLE AND THAT DEAN WITTER FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS WITH RESPECT TO CERTAIN DOCUMENTS IN CERTAIN PENNSYLVANIA BRANCHES. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 11/16/1999 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: ON NOVEMBER 16, 1999 DEAN WITTER REYNOLDS INC. ("DEAN WITTER") RECEIVED AN ORDER FROM THE PENNSYLVANIA SECURITIES COMMISSION ("THE COMMISSION") SETTING A PROCEEDING INSTITUTED BY THE COMMISSION PURSUANT TO THE PENNSYLVANIA SECURITIES ACT OF 1972, 70 P.S. SUBSECTION 1-101, ET SEQ. (1972 ACT). THE COMMISSION'S ORDER STATED THAT DEAN WITTER SOLD INTERESTS IN CERTAIN LIMITED PARTNERSHIPS TO CERTAIN PENNSYLVANIA INVESTORS FOR WHOM THEY WERE NOT SUITABLE AND THAT DEAN WITTER FAILED TO MAINTAIN ADEQUATE BOOKS AND RECORDS WITH RESPECT TO CERTAIN DOCUMENTS IN CERTAIN PENNSYLVANIA BRANCHES. SIMULTANEOUSLY WITH THE ISSUANCE OF THE COMMISSION'S ORDER THE COMMISSION ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT. DEAN WITTER'S OFFER WAS MADE WITHOUT ADMITTING OR DENYING THE COMMISSION'S FINDINGS, TO SETTLE THE COMMISSION'S CHARGES. AS PART OF THE SETTELEMENT, DEAN WITTER AGREED TO MAKE AN OFFER OF SETTLEMENT TO THE PENNSYLVANIA INVESTORS. DEAN WITTER IS IN THE PROCESS OF CONCLUDING THESE SETTLEMENTS, PURSUANT TO THE TERMS OF THE ORDER. ****** REGULATORY ACTION (35 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/08/2000 Initiated By: THE NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 02/15/2000 Docket/ Case Number: C10000022 Allegations: 03/02/00GS: MSRB RULE G-3(B) - RESPONDENT MEMBER PERMITTED INDIVIDUALS TO ACT IN THE CAPACITY OF A MUNICIPAL SECURITIES PRINCIPAL WITHOUT THE APPROPRIATE QUALIFICATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/15/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: 09-08-00, $7,500 PAID 3/15/00, INVOICE #00-10-135 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 02/15/2000 Docket/ Case Number: AWC NO. C10000022 Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS THE FIRM NASD BrokerCheck October 14, 2005 Page 39 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) CONSENTED TO FINDINGS THAT IT PERMITTED TWO INDIVIDUALS TO ACT IN THE CAPACITY OF MUNICIPAL SECURITIES PRINCIPAL WITHOUT APPROPRIATE QUALIFICATION BETWEEN SEPTEMBER 1997 TO FEBRUARY 1999. Current Status: Final Resolution: Consent Resolution Date: 02/15/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: DEAN WITTER BELIEVED THAT BOTH DEFICIENCIES RESULTED FROM LOCALIZED PROBLEMS. WHEN THEY WERE DISCOVERED, THEY WERE PROMPTLY REMEDIED AND VARIOUS STEPS TAKEN TO PREVENT RECURRENCE. ****** REGULATORY ACTION (36 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/18/1991 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 07/18/1991 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: ON JULY 25, 1991 THE SEC ANNOUNCED THAT ON JULY 18 PUBLIC ADMINISTRATIVE PROCEEDINGS WERE INSTITUTED PURSUANT TO SECTION 15(B)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AGAINST DEAN WITTER REYNOLDS, INC., A REGISTERED BROKER-DEALER. SIMULTANEOUSLY WITH THE INSTITUTION OF THE PROCEEDINGS, THE COMMISSION ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT WHEREIN RESPONDENT, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ORDER. THE ORDER FINDS THAT FROM 1985 TO OCTOBER 1987, RESPONDENT FAILED REASONABLY TO SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPLOYED IN ITS FORT WORTH, TEXAS SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPLOYED IN ITS FORT WORTH, TEXAS SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPOYED IN ITS FORT WORTH, TEXAS OFFICE WITH A VIEW TOWARD PREVENTING THEIR WILLFUL VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE EXCHANGE ACT. DEAN WITTER CONSENTS TO BEING CENSURED AND AGREED TO CERTAIN UNDERTAKINGS. (REL. 34-29447) ****** REGULATORY ACTION (37 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 09/25/1999 Docket/ Case Number: 1725-S-6/92 NASD BrokerCheck October 14, 2005 Page 40 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: ON SEPTEMBER 25, 1992, THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ISSUED AN ADMINISTRATIVE COMPLAINT AGAINST RESPONDENTS DEAN WITTER REYNOLDS, IN.; PURCELL, GRAHAM AND COMPANY; DONALD A PETERSON; ALFRED L. CALLIENDO; GERALD L. GREENE AND SIMON SCHECTHER. ALLEGING THAT RESPONDENT DEAN WITTER REYNOLDS, INC. VIOLATED SECTION 517.301(1) (C), FLORIDA STATUTES AND FLORIDA ADMINISTRATIVE CODE RULES 3E-600.002 (1)(C) BY FAILING TO TIMELY NOTIFY THE DEPARTMENT OF ANY CHANGES OR CORRECTIONS OF OR ANY INCOMPLETE INFORMATION ON REGISTRATION OF ITS REGISTERED REPRESENTATIVES WITHIN 30 CALENDAR DAYS OF THE DATE OF CHANGE; AND RULE 3E-600.013(1)(P) FOR VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE NASD RULES OF FAIR PRACTICE BY FAILING TO THOROUGHLY REVIEW THE EMPLOYMENT AND DISCIPLINARY HISTORY OF DONALD A. PETERSON. THE DEPARTMENT SOUGHT TO IMPOSE FINES, ISSUE A CEASE AND DESIST ORDER AND REVOKE, SUSPEND, OR RESTRICT THE REGISTRATIONS OF THE RESPONDENTS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/12/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON APRIL 12, 1994, DEAN WITTER REYNOLDS, INC. AND THE STATE ENTERED INTO A STIPULATION, CONSENT AGREEMENT AND FINAL ORDER PROVIDING THE RESPONDENT DOES NOT ADMIT OR DENY ANY OF THE VIOLATIONS OF FLORIDA LAW AS SET FORTH IN THE ADMINISTRATIVE COMPLAINT; AGREES TO COMPLY WITH ALL PRESENT AND FUTURE PROVISIONS OF CHAPTER 517, FLORIDA STATUTES AND RULES; AND FURTHER AGREES TO PAY AN ADMINISTRATIVE FINE OF $5,000 AND COOPERATE WITH THE DEPARTMENT IN THE PROSECUTION OF THE COMPLAINT AGAINST OTHER PARTIES NAMED AS RESPONDENTS. Summary: SEE ITEMS 7 AND 12C. ****** REGULATORY ACTION (38 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/08/1999 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 10/08/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Resolution Details: SEE ITEM #13 Summary: 10/08/80 - AMERICAN STOCK EXCHANGE FINED FIRM $200. ****** REGULATORY ACTION (39 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 01/29/1994 Docket/ NASD BrokerCheck October 14, 2005 Page 41 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Case Number: 9401-03LC Allegations: AN ORDER TO SHOW CAUSE WAS ISSUED IN THE MATTER OF DEAN WITTER REYNOLDS, INC., ROBERT M. REYNOLDS AND CHARLES H. FROMER ALLEGING THAT REYNOLDS SOLD SECURITIES TO AT LEAST ONE PENNSYLVANIA RESIDENT PRIOR TO REGISTRATION AS AN AGENT IN PENNSYLVANIA; DEAN WITTER REYNOLDS, INC. EMPLOYED REYNOLDS TO REPRESENT IT AND HE WAS NOT REGISTERED; RESPONDENTS SOLD UNSUITABLE LIMITED PARTNERSHIP INTERESTS TO AT LEAST ONE PENNSYLVANIA RESIDENT; AND FROMER AND DEAN WITTER REYNOLDS, INC. FAILED TO SUPERVISE REYNOLDS AND FAILED TO MAINTAIN A SYSTEM TO SUPERVISE ITS AGENTS. Current Status: Pending Summary: THE FIRM DISPUTES THE ALLEGATIONS ****** REGULATORY ACTION (40 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/30/1985 Docket/ Case Number: NY-3032 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 08/03/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; CENSURED AND FINED $7,500.00 BY THE NASD FOR VIOLATION OF ARTICLE III, SECTIONS 1, 18, AND 27 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO FINDING OF FAILURE TO PROPERLY SUPERVISE AN AGENT. [COMPLIANT #NY-3032] ****** REGULATORY ACTION (41 of 140) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CITRUS ASSOCIATION OF THE NEW YORK COTTON EXCHANGE Date initiated: 08/01/1994 Docket/ Case Number: 94-011 Allegations: RULE 63(F)- MAINTAINING POSITIONS IN FCOJ FUTURES CONTRACTS FOR ANOTHE PERSON ON JANUARY 27 AND JANUARY 18, 1994 IN EXCESS OF THE SPECULATIVE POSITION LIMIT SET FORTH IN 63(A) (2). Current Status: Final Resolution: Settled Resolution Date: 08/01/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,400.00 Other Sanctions: NONE NASD BrokerCheck October 14, 2005 Page 42 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: NONE Summary: ****** REGULATORY ACTION (42 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/31/2000 Initiated By: CT DEPT OF BANKING Date initiated: 08/26/1991 Docket/ Case Number: Allegations: FROM 5/1989 TO 5/1991, THE FIRM EMPLOYED UNREGISTERED INVESTMENT ADVISER AGENTS Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/26/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: PER STIPULATION & AGREEMENT, FIRM AGREED TO REVIEW & MODIFY ITS SUPERVISORY PROCEDURES; PAY A $15,000 FINE; REIMBURSE THE DEPT UP TO $2,000 FOR AN EXAMINATION TO BE DONE WITHIN 12 MONTHS; & PAY $1,890 FOR PAST DUE REGISTRATION FEES Summary: CONTACT: 860-240-8230 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CONNECTICUT DEPT. OF BANKING Date initiated: 08/26/1991 Docket/ Case Number: Allegations: FROM 5/1989 TO 5/1991, THE FIRM ALLEGEDLY EMPLOYED UNREGISTERED INVESTMENT ADVIER AGENTS IN CONNECTICUT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/26/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: PER STIPULATION & AGREEMENT, WITHOUT ADMITTING ANY VIOLATION OF LAW OR REGULATION, FIRM AGREED TO REVIEW & MODIFY ITS SUPERVISORY PROCEDURES FOR REGISTRATION OF INVESTMENT ADVISORS IN CONNECTICUT; PAY A $15,000 FINE; REIMBURSE THE DEPT. UP TO $2,000 FOR AN EXAMINATION TO BE DONE WITHIN 12 MONTHS; & PAY $1,890 FOR PAST DUE REGISTRATION FEES. Summary: SEE ITEM 12C. ****** REGULATORY ACTION (43 of 140) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 14, 2005 Page 43 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Date Reported: 04/23/1992 Initiated By: CT DEPT OF BANKING Date initiated: 04/23/1992 Docket/ Case Number: ST-92-2193-S Allegations: FROM 12/1989 TO 8/1991, FIRM EMPLOYED GREGORY DOLIN AS AN UNREGISTERED AGENT Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/23/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $150.00 Resolution Details: PER STIPULATION & AGREEMENT, FIRM AGREED TO PAY A $150 FINE; REIMBURSE THE DEPT $150 FOR ITS INVESTIGATIVE COSTS; PAY $50 FOR BACK REGISTRATION FEES; AND REVIEW ITS SUPERVISORY PROCEDURES Summary: CONTACT: 860-240-8230 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: CT DEPT OF BANKING Date initiated: 04/23/1992 Docket/ Case Number: ST-92-2193-S Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 04/23/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $150.00 Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (44 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/27/1999 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/27/1999 Docket/ Case Number: CMS980109 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/27/1999 Sanctions NASD BrokerCheck October 14, 2005 Page 44 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980109 AWC. ON JANUARY 27, 1999, MORGAN STANLEY DEAN WITTER (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS ACCEPTED BY NASD REGULATION, INC.'S OFFICE OF DISCIPLINARY AFFAIRS AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING VIOLATIONS OCCURRED: DEAN EXECUTED 11 CUSTOMER TRANSACTIONS WITHOUT USING REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET FOR EACH RELEVANT SECURITY SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF NASD CONDUCT RULE 2320. DEAN FAILED TO PROVIDE ON ONE OCCASION, WHERE IT ACTED AS PRINCIPAL FOR ITS OWN ACCOUNT, WRITTEN NOTIFICATION TO ITS CUSTOMER DISCLOSING THAT IT ACTED AS A MARKET MAKER WHEN EXECUTING THE CUSTOMER'S TRANSACTION; AND FAILED TO PROVIDE ON 25 OCCASIONS, WHERE DEAN ACTED AS PRINCIPAL FOR ITS OWN ACCOUNT, WRITTEN NOTIFICATION DISCLOSING THE REPORTED PRICE TO EACH OF ITS CUSTOMERS. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF SEC RULE 10b-10. DEAN WAS CENSURED AND FINED $15,000. *****$15,000.00 PAID ON 3/18/99 - INVOICE NO. 99-MS-196***** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 10/13/1997 Docket/ Case Number: CMS980109 Allegations: ALLEGEDLY EXECUTED 11 CUSTOMER TRANSACTIONS WITHOUT USING REASONABLE DILIGENCE TO ASCERTAIN THE BEST PREVAILING INTER-DEALER MARKET; ALLEGEDLY FAILED ON ONE OCCASION TO PROVIDE WRITTEN DISCLOSURE TO A CUSTOMER THAT FIRM ACTED AS A MARKET MAKER IN EXECUTING CUSTOMER'S TRANSACTION; ALLEGEDLY FAILED TO PROVIDE THE REPORTED PRICE ON WRITTEN DISCLOSURES TO EACH OF ITS CUSTOMERS ON 25 OCCASSIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/27/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: $15,000 AGAINST APPLICANT Summary: RESOLVED BY A LETTER OF ACCEPTANCE, WAIVER AND CONSENT IN WHICH DEAN WITTER NEITHER ADMITTED NOR DENIED THE ALLEGATIONS ABOVE AND ACCEPTED A FINE OF $15,000 AND A CENSURE. ****** REGULATORY ACTION (45 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/15/1983 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 08/15/1983 Docket/ Case Number: R 81-1224-82-447 Allegations: Current Status: Final NASD BrokerCheck October 14, 2005 Page 45 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Order Resolution Date: 08/15/1983 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. R 81-1224-82-447, MILJENKO BANOVIC, COMPLAINANT, V. DEAN WITTER REYNOLDS, INC. AND RICHARD JENKINS, RESPONDENTS. THE COMPLAINANT ALLEGED THAT THE RESPONDENTS ENGAGED IN CHURNING, UNAUTHORIZED TRADING, AND FRAUDULENT SOLICITATION OF HIS INTIAL INVESTMENT. THE COURT FOUND INSUFFICIENT EVIDENCE TO SUPPORT THE ALLEGATIONS OF CHURNING AND UNAUTHORIZED TRADING; HOWEVER, THE COURT DID HOLD THAT THE RESPONDENTS DID MAKE SERIOUS MISREPRESENTATIONS TO THE COMPLAINANT IN SOLICITING HIS ACCOUNT AND ORDERED THE RESPONDENTS TO PAY REPARATIONS IN THE AMOUNT OF $3,116, PLUS INTEREST AND FILING FEE. DECISION RENDERED AUGUST 15, 1983. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 08/15/1993 Docket/ Case Number: R 81-1224-82-447 Allegations: COMPLAINANT, V. DEAN WITTER REYNOLDS, INC. AND RICHARD JENKINS, RESPONDENTS. THE COMPLAINANT ALLEGED THAT THE RESPONDENTS ENGAGED IN CHURNING, UNAUTHORIZED TRADING, AND FRAUDULENT SOLICITATION OF HIS INTIAL INVESTMENT. Current Status: Final Resolution: Order Resolution Date: 08/15/1983 Sanctions Ordered: Resolution Details: THE COURT FOUND INSUFFICIENT EVIDENCE TO SUPPORT THE ALLEGATIONS OF CHURNING AND UNAUTHORIZED TRADING; HOWEVER, THE COURT DID HOLD THAT THE RESPONDENTS DID MAKE SERIOUS MISREPRESENTATIONS TO THE COMPLAINANT IN SOLICITING HIS ACCOUNT AND ORDERED THE RESPONDENTS TO PAY REPARATIONS IN THE AMOUNT OF $3,116, PLUS INTEREST AND FILING FEE. Summary: ****** REGULATORY ACTION (46 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/05/1981 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 02/05/1981 Docket/ Case Number: 79-46-79-258 Allegations: Current Status: Final Resolution: Order Resolution Date: 02/05/1981 Sanctions Ordered: Resolution Details: NASD BrokerCheck October 14, 2005 Page 46 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Summary: CFTC DOCKET NO. 79-46-79-258 02/05/81 - RESPONDENT PAY REPARATIONS IN THE AMOUNT OF $20,805.00 PLUS INTEREST AT TWELVE PERCENT FROM THE DATE OF THIS ORDER UNTIL DATE OF PAYMENT TO COMPLAINANT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 02/05/1981 Docket/ Case Number: 79-46-79-258 Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Order Resolution Date: 02/05/1981 Sanctions Ordered: Disgorgement/Restitution Other Sanctions: CFTC DOCKET NO. 79-46-79-258 02/05/81 - RESPONDENT PAY REPARATIONS IN THE AMOUNT OF $20,805.00 PLUS INTEREST AT TWELVE PERCENT FROM THE DATE OF THIS ORDER UNTIL DATE OF PAYMENT TO COMPLAINANT. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (47 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/13/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/26/1988 Docket/ Case Number: CLE-335 Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/28/1989 Sanctions Ordered: Monetary/Fine, Censure, Suspension Monetary Amount: $12,500.00 Resolution Details: Summary: COMPLAINT NO. CLE-335 FILED MAY 26, 1988 BY DISTRICT NO. 9 AGAINST RESPONDENTS DEAN WITTER REYNOLDS, INC., HENRY MORRIS DUDGEON AND JOSEPH EDWARD FADELL ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27(a) OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT FADELL MADE UNSUITABLE RECOMMENDATIONS TO CUSTOMERS FOR THE PURCHASE AND SALE OF GENERAL SECURITIES AND OPTIONS; RESPONDENTS MEMBER AND DUDGEON FAILED TO ENFORCE THE WRITTEN PROCEDURES OF THE MEMBER SO AS TO SUPERVISE PROPERLY THE ACTIVITIES OF RESPONDENT FADELL; AND, RESPONDENTS MEMBER AND DUDGEON, IN ACCEPTING AND APPROVING OPTIONS TRANSACTIONS IN THE ACCOUNTS OF CERTAIN CUSTOMERS WHICH DEFFERED FROM THE APPROVED LEVELS OF OPTIONS TRADING, FAILED TO SUPERVISE PROPERLY THE ACTIVITIES OF RESPONDENT FADELL. DECISION RENDERED APRIL 13, 1989, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS MEMBER AND DUDGEON WAS ACCEPTED; THEREFORE, THE FOURTH CAUSE OF COMPLAINT NASD BrokerCheck October 14, 2005 Page 47 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ALLEGING THAT THE FIRM AND DUDGEON ALLOWED THE ACCOUNTS TO ENGAGE IN UNRESTRICTED OPTIONS ACTIVITY ALTHOUGH THEY WERE APPROVED ONLY FOR COVERED CALL WRITING WAS DISMISSED IN THAT THE COMMITTEE DETERMINED THAT, IN FACT, THE ACCOUNTS WERE APPROVED FOR ALL TYPES OF OPTIONS ACTIVITY. A SEPERATE DECISION WAS RENDERED WITH REGARD TO RESPONDENT FADELL. DECISION RENDERED APRIL 13, 1989, WHEREIN RESPONDENT FADELL IS CENSURED, FINED $12,500.00, SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY FOR FIVE BUSINESS DAYS AND MUST REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES REPRESENTATIVE PRIOR TO REASSOCIATION WITH ANY MEMBER IN THAT CAPACITY. IF NO FURTHER ACTION, DECISION IS FINAL MAY 28, 1989. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/26/1988 Docket/ Case Number: CLE-335 Allegations: SEE #13 Current Status: Final Resolution: Decision Resolution Date: 05/28/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Resolution Details: SEE #13 Summary: COMPLAINT NO. CLE-335 FILED MAY 26, 1988 BY DISTRICT NO. 9 AGAINST RESPONDENTS DEAN WITTER REYNOLDS, INC., HENRY MORRIS DUDGEON AND JOSEPH EDWARD FADELL ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27(A) OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT FADELL MADE UNSUITABLE RECOMMENDATIONS TO CUSTOMERS FOR THE PURCHASE AND SALE OF GENERAL SECURITIES AND OPTIONS; RESPONDENTS MEMBER AND DUDGEON FAILED TO ENFORCE THE WRITTEN PROCEDURES OF THE MEMBER SO AS TO SUPERVISE PROPERLY THE ACTIVITIES OF RESPONDENT FADELL; AND, RESPONDENTS MEMBER AND DUDGEON, IN ACCEPTING AND APPROVING OPTIONS TRANSACTIONS IN THE ACCOUNTS OF CERTAIN CUSTOMERS WHICH DEFERRED FROM THE APPROVED LEVELS OF OPTIONS TRADING, FAILED TO SUPERVISE PROPERLY THE ACTIVITIES OF RESPONDENT FADELL. DECISION RENDERED APRIL 13, 1989, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS MEMBER AND DUDGEON WAS ACCEPTED; THEREFORE, THE FOURTH CAUSE OF COMPLAINT ALLEGING THAT THE FIRM AND DUDGEON ALLOWED THE ACCOUNTS TO ENGAGE IN UNRESTRICTED OPTIONS ACTIVITY ALTHOUGH THEY WERE APPROVED ONLY FOR COVERED CALL WRITING WAS DISMISSED IN THAT THE COMMITTEE DETERMINED THAT, IN FACT, THE ACCOUNTS WERE APPROVED FOR ALL TYPES OF OPTIONS ACTIVITY. A SEPERATE DECISION WAS RENDERED WITH REGARD TO RESPONDENT FADELL. DECISION RENDERED APRIL 13, 1989, WHEREIN RESPONDENT FADELL IS CENSURED, FINED $12,500.00, SUSPENDED FROM ASSOCIATON WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY FOR FIVE BUSINESS DAYS AND MUST REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES REPRESENTATIVE PRIOR TO REASSOCIATION WITH ANY MEMBER IN THAT CAPACITY. IF NO FURTHER ACTION, DECISION WAS FINAL MAY 28, 1989. ****** REGULATORY ACTION (48 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/01/2001 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/05/1986 Docket/ Case Number: NEW-518 NASD BrokerCheck October 14, 2005 Page 48 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: COMPLAINT NO. NEW-518 FILED AUGUST 5, 1986 BY DISTRICT NO. 5 AGAINST DEAN WITTER REYNOLDS, INC., ALLEGING VIOLATIONS OF ARTICLE III,SECTIONS 1, 2, 18, 21 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH AN INDIVIDUAL, FAILED TO PROPERLY SUPERVISE ANOTHER INDIVIDUAL.. Current Status: Final Resolution: Dismissed Resolution Date: 02/03/1989 Sanctions Ordered: Resolution Details: DECISION RENDERED JUNE 30, 1988, WHEREIN THE FOURTH CAUSE OF COMPLAINT ALLEGING THAT THE FIRM AND AN INDIVIDUAL FAILED TO PROPERLY SUPERVISE WAS DISMISSED IN THAT THE COMMITTEE DETERMINED THAT THE EVIDENCE DID NOT SUPPORT SUCH A FINDING. IF NO FURTHER ACTION, DECISION IS FINAL FEBRUARY 3, 1989. FEBRUARY 3, 1989 -DECISION IS FINAL. Summary: . *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/05/1986 Docket/ Case Number: NEW-518 Allegations: SEE ITEM #13 Current Status: Final Resolution: Dismissed Resolution Date: 02/03/1989 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: NASD DISTRICT NO. 5 FILED A COMPLAINT ON AUGUST 5, 1986 AGAINST RESPONDENTS DEAN WITTER REYNOLDS, INC. CHARLES W. EYE AND DONALD C. DICKSON ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 18, 21 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT EYE RECOMMENDED TO A PUBLIC CUSTOMER THE PURCHASE OF CERTAIN SECURITIES, INCLUDNG THE USE OF MARGIN IN SECURITIES TRANSACTIONS, WHEN HE KNEW THAT SUCH RECOMMENDATIONS WERE UNSUITABLE; EXECUTED OR CAUSED TO BE EXECUTED SECURITIES TRANSACTIONS IN THE ACCOUNT OF A CUSTOMER WITHOUT THE CUSTOMER'S KNOWLEDGE OR CONSENT; SUBMITTED TO DEAN WITTER CERTAIN NEW ACCOUNT INFORMATION WHICH HE KNEW OR SHOULD HAVE KNOWN WAS INACCURATE; AND RESPONDENT DEAN WITTER, ACTING THROUGH RESPONDENT DICKSON, FAILED TO PROPERLY SUPERVISE RESPONDENT EYE. DECISION WAS ENTERED JUNE 30, 1988; RESPONDENT EYE WAS CENSURED, FINED $18,500.00 AND SUSPENDED FORM ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION FOR THIRTY (30) CALENDAR DAYS AND ASSESSED COSTS OF $3,014.20. THE ALLEGATIONS OF VIOLAITONS OF SECTION 18 WERE DISMISSED. THE THIRD CAUSE OF COMPLAINT ALLEGING THAT EYE SUBMITTED INACCURATE NEW ACCOUNT INFORMATION WAS DISMISSED IN THAT THE COMMITTEE DETERMINED THAT EYE DID NOT INTENTIONALLY COMPLETE INACCURATE FORMS. THE FOURTH CAUSE OF COMPLAINT ALLEGING THAT THE FIRM AND DICKSON FAILED TO PROPERLY SUPERVISE WAS DISMISSED IN THAT THE COMMITTEE DETERMINED THAT THE EVIDENCE DID NOT SUPPORT SUCH A FINDING; HOWEVER, DICKSON WAS ISSUED A LETTER OF CAUTION. ****** REGULATORY ACTION (49 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/27/1989 NASD BrokerCheck October 14, 2005 Page 49 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/27/1989 Docket/ Case Number: Allegations: Current Status: Pending Summary: 4/18/89-SEC NEWS DIGEST ISSUE 89-59, DATED MARCH 30, 1989 - CIVIL PROCEEDINGS DISCLOSE: `SUBPOENA ENFORCEMENT ACTION FILED AGAINST DEAN WITTER REYNOLDS, INC.'; THE FORT WORTH REGIONAL OFFICE ANNOUNCED THAT ON MARCH 27 IT INSTITUTED A SUBPOENA ENFORCEMENT ACTION AGAINST DEAN WITTER REYNOLDS, INC. IN THE U.S. DISTRICT COURT FOR THE NORTHERN DISTRICT OF TEXAS, FORT WORTH DIVISION. THE ACTION SEEKS ENFORCEMENT OF AN ADMINISTRATIVE SUBPOENA duces tecum SERVED ON DWR. THE SUBPOENA CALLS FOR THE PRODUCTION FO DWR'S INTERNAL AUDIT REPORTS AND RELATED DOCUMENTS FOR ITS FORT WORTH BRANCH OFFICE FROM JUNE 1982 TO PRESENT. DWR REFUSED TO PRODUCE THE INTERNAL AUDIT REPORTS AND RELATED DOCUMENTS CLAIMING, AMONG OTHER THINGS, THE SUBPOENAED DOCUMENTS ARE PROTECTED BY A "CRITICAL SELF-ANALYSIS" PRIVILEGE. (SEC v. DEAN WITTER REYNOLDS, INC., USDC NDTX, CIVIL ACTION NO. 4-89-236K). (LR-12047) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/27/1989 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Pending Summary: ****** REGULATORY ACTION (50 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/11/1989 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 01/11/1989 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/11/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: ^6/12/90, SEC LITIGATION, ACTIONS AND PROCEEDINGS BULLETIN FOR THE QUARTER ENDING 06/30/89 (VOLUME 55, BULLETIN 02, PAGE 250) DISCLOSES: THE NYSE FINED DEAN WITTER REYNOLDS INC., $1,000. FOR FAILING TO REPORT TO THE EXCHANGE FOR A PERIOD OF APPROXIMATELY ONE YEAR THE AWARD IN AN ARBITRATION. *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 50 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Date Reported: 03/05/2004 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 01/11/1989 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 01/11/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (51 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/11/1999 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 06/18/1999 Sanctions Ordered: Disgorgement/Restitution, Cease and Desist/Injunction Resolution Details: Summary: +02/11/99+ SEC NEWS DIGEST, ISSUE NO. 99-6, DATED JANUARY 11, 1999, ENFORCEMENT PROCEEDINGS DISCLOSES; "COMMISSION INSTITUTES SETTLED ADMINISTRATIVE PROCEEDINGS AGAINST 28 NASDAQ MARKET MAKERS AND 51 INDIVIDUALS." The Commission today announced the institution of administrative proceedings against 28 Nasdaq market making firms and 51 individuals associated with such firms pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and, as to one firm, pursuant to Section 203(k) of the Investment Advisers Act of 1940. Simultaneously with the filing of the action, all of the respondents consented, without admitting or denying the Commission's findings, to the entry of Orders which impose civil monetary penalties which totalled $26,302,500, disgorgement of wrongful gains totalling $791,525, suspensions or bars, cease and desist orders and other sanctions. The Orders found that the respondents had engaged primarily in one or more of the following types of violations arising from market making activities in the Nasdaq stock market: the coordination of quotations and transactions by traders making markets in Nasdaq stocks in violation of antifraud and fictitious quotation rules, the intentional delay of trade reports, other manipulative activity, failure to honor quoted prices, failure to provide customer orders with best execution, trading as principal with advisory clients or discretionary customers, failure to comply with the books and records requirements, and failure to supervise. The proposed sanctions to which the firms have consented include civil monetary penalties, disgorgement of wrongful gains, where applicable, cease and desist orders, and in the case of 22 of the broker-dealers, a review of their policies and procedures NASD BrokerCheck October 14, 2005 Page 51 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) relating to the areas of their violations by an independent consultant to be appointed by the Commission. The proposed sanctions to which the individual respondents have consented i*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: Allegations: SEE #13 Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 06/18/1999 Sanctions Ordered: Disgorgement/Restitution, Cease and Desist/Injunction Resolution Details: SEE #13 Summary: ON JANUARY 11, 1999, THE SECURITIES AND EXCHANGE COMMISSION ISSUED AN ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES AND EXCHANGE ACT OF 1934 AGAINST 28 BROKER-DEALERS, AS WELL AS 51 OF THEIR CURRENT AND FORMER EMPLOYEES (THE "SEC ORDER"). THE SEC ORDER STATED THAT THE SEC'S INVESTIGATION HAD UNCOVERED A NUMBER OF ANTICOMPETITIVE AND IMPROPER PRACTICES BY NASDAQ MARKET MAKERS DURING 1994 WHCIH VIOLATED CERTAIN PROVISIONS OF THE FEDERAL SECURITIES LAWS. SIMULTANEOUSLY WITH ISSUANCE OF THE SEC ORDER, THE SEC ACCEPTED OFFERS OF SETTLEMENT FROM EACH RESPONDENT NAMED IN THE SEC ORDER. WITH RESPECT TO DEAN WITTER REYNOLDS, INC., THE SEC ACCEPTED DEAN WITTER'S OFFER WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, TO SETTLE THE SEC'S CHARGES OF VIOLATIONS OF SECTIONS 15(C)(1) AND (2) OF THE EXCHANGE ACT AND RULES 15C1-2 AND 15C2-7 THEREUNDER IN CONNECTION WITH FIVE NASDAQ MARKET MAKING TRANSACTIONS INVOLVING DEAN WITTER IN 1994, AS WELL AS A CHARGE UNDER SECTION 15(B)(4)(E) OF THE EXCHANGE ACT FOR DEAN WITTER'S FAILURE REASONABLY TO SUPERVISE ITS NASDAQ MARKET MAKING ACTIVITIES. IN THE SETTLEMENT, DEAN WITTER AGREED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATION OF SECTIONS 15(C)(1) AND (2) OF THE EXCHANGE ACT AND RULES 15C1-2 AND 15C2-7 THEREUNDER, TO PAY A CIVIL PENALTY OF $187,500, AND TO PAY DISGORGEMENT OF $2,311. NO INDIVIDUALS WERE NAMED AS RESPONDENTS IN THE SEC ORDER ARISING OUT OF THEIR EMPLOYMENT AT DEAN WITTER. THE PENALTY WAS PAID BY WIRE TRANSFER ON JANUARY 22, 1999. ****** REGULATORY ACTION (52 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/19/1999 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/19/1999 Docket/ Case Number: C10980151 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/19/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $3,000.00 NASD BrokerCheck October 14, 2005 Page 52 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: Summary: 01/21/99GK: ON JANUARY 19, 1999, DISTRICT NO. 10 NOTIFIED RESPONDENT DEAN WITTER REYNOLDS INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10980151 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $3,000 - (MSRB RULES G-36 AND G-8 - RESPONDENT MEMBER SERVED AS SOLE OR MANAGING UNDERWRITER IN PRIMARY OFFERINGS OF MUNICIPAL SECURITIES AND, IN CONNECTION WITH THOSE OFFERINGS, FAILED TO SUBMIT ADVANCE REFUNDING DOCUMENTATION TO THE MSRB; FAILED TO TIMELY SUBMIT OFFICIAL STATEMENTS AND/OR OTHER DOCUMENTS TO THE MSRB; FAILED TO SEND REQUIRED DOCUMENTS TO THE MSRB BY CERTIFIED OR REGISTERED MAIL, OR SOME OTHER EQUALLY PROMPT MEANS THAT PROVIDES A RECORD OF SENDING; AND, FAILED TO MAINTAIN RECORDS AS REQUIRED BY MSRB RULE G-8(a)(xv)). ****** $3,000 PAID ON 2/23/99 - INVOICE NO. 99-10-75 ***** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NASD REGULATION, INC. Date initiated: 11/15/1996 Docket/ Case Number: C10980151 Allegations: ALLEGEDLY FAILED TO SUBMIT ADVANCE REFUNDING DOCUMENTATION ON 4 OCCASIONS; ALLEGEDLY FAILED TO TIMELY SUBMIT OFFICIAL STATEMENTS ON 6 OCCASIONS; ALLEGEDLY FAILED TO SEND REQUIRED DOCUMENTS TO MSRB BY CERTIFIED OR REGISTERED MAIL ON 2 OCCASIONS AND ALLEGEDLY FAILED TO MAINTAIN RECORDS AS REQUIRED BY MSRB G-8(A)(XV) ON 4 OCCASIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/21/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $3,000.00 Resolution Details: $3,000 PAID ON DECEMBER 21, 1998 AND LEVIED AGAINST APPLICANT. Summary: RESOLVED BY A LETTER OF ACCEPTANCE, WAIVER AND CONSENT IN WHCIH DEAN WITTER NEITHER ADMITTED OR DENIED THE ALLEGATIONS LISTED ABOVE BUT AGREED TO A FINE OF $3,000 AND A CENSURE. ****** REGULATORY ACTION (53 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/11/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/11/1998 Docket/ Case Number: C07980007 Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/11/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: NASD BrokerCheck October 14, 2005 Page 53 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Summary: ON MAY 11, 1998, DISTRICT NO. 7 NOTIFIED RESPONDENT DEAN WITTER REYNOLDS, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07980007 WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $10,000 - (NASD RULE 2110 - RESPONDENT MEMBER FAILED TO FULLY RESPOND TO NASD REQUESTS FOR DOCUMENTS MADE PURSUANT TO RULE 10321(b)(2) OF THE NASD CODE OF ARBITRATION PROCEDURE). **$10,000.00 PAID ON 6/18/98, INVOICE #98-06-465** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/11/1998 Docket/ Case Number: C07980007 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 05/11/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: SEE ITEM #13 Summary: ON MAY 11, 1998 DEAN WITTER REYNOLDS, INC. AND THE NASD ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC"). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS DEAN WITTER REYNOLDS INC. ACCEPTED AND CONSENT TO A $10,000 FINE AND A CENSURE FOR FAILURE TO RESPOND TIMELY TO REQUESTS FOR DOCUMENTS MAADE PURSUANT TO RULE 10321(B)(2) OF THE NASD CODE OF ARBITRATION PROCEDURE. DEAN WITTER INDICATED THAT THE DOUCMENT PRODUCTION DELAY WHICH LED TO THE AWC WAS ATTRIBUTABLE TO FACTORS SUCH AS LOGISTICAL PROBLEMS ASSOCIATED WITH THE RETRIEVAL OF WAREHOUSED DOCUMENTS. ****** REGULATORY ACTION (54 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/17/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/17/1998 Docket/ Case Number: CMS980010 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/17/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $6,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980010 AWC. ON FEBRUARY 17, 1998, DEAN WITTER REYNOLDS, INC. (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE NASD REGULATION, INC.'S DEPARTMENT OF ENFORCEMENT AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING VIOLATIONS NASD BrokerCheck October 14, 2005 Page 54 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) OCCURRED: DEAN FAILED TO CONTEMPORANEOUSLY EXECUTE A CUSTOMER LIMIT ORDER AFTER IT EXECUTED TRANSACTIONS FOR ITS OWN MARKET MAKING ACCOUNT. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD CONDUCT RULES 2110 AND 6440(f)(2)(A). DEAN FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN SUPERVISORY PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS ORDER PROTECTION OBLIGATIONS. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD CONDUCT RULES 2110 AND 3010. DEAN WAS FINED $6,000. ****** $6,000 PAID ON 4/1/98, INVOICE NO. 98-MS-364 ****** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 02/17/1998 Docket/ Case Number: CMS980010 AWC Allegations: SEE #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/17/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $6,000.00 Resolution Details: SEE #13 Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980010 AWC. ON FEBRUARY 17, 1998, DEAN WITTER REYNOLDS, INC. (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE NASD REGULATION INC.'S DEPARTMENT OF ENFORCEMENT AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING VIOLATIONS OCCURRED: DEAN FAILED TO CONTEMPORANEOUSLY EXECUTE A CUSTOMER LIMIT ORDER AFTER IT EXECUTED TRANSACTIONS FOR ITS OWN MARKET MAKING ACCOUNT. THIS CONDUCT CONSTITUTES A VIOLAITON OF NASD CONDUCT RULES 2110 AND 6440(F)(2)(A). DEAN FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS ORDER PROTECTION OBLIGATIONS. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD CONDUCT RULES 2110 AND 3010. DEAN WAS FINED $6,000. $6,000 PAID ON 4/1/98 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. ****** REGULATORY ACTION (55 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/1998 Initiated By: RI DEPARTMENT OF BUSINESS REGULATION; SECURITIES DIVISION Date initiated: 05/01/1998 Docket/ Case Number: 98-0041 Allegations: According to records on file at the Central Registration Depository ("CRD"), Dean Witter maintains a branch office at 850 Aquidneck Avenue in Middletown, Rhode Island. The individual designated as supervisor of that branch office had not passed the NASD General Securities Principal Qualification Examination (Series 24), in violation of Rule 207a-1.3, promulgated pursuant to the Rhode Island Uniform Securities Act of 1990 ("RIUSA"). The designated supervisor passed the Series 24 exam on March 10, 1998. The Rhode Island Securities Division *recognizes that the examination deficiency was unintentional and inadvertent, and that Dean Witter took prompt corrective action and cooperated fully in this matter. This Consent Order is entered following receipt of a written Offer of Settlement from Dean Witter reflecting the express understanding that such Offer was submitted for the purposes NASD BrokerCheck October 14, 2005 Page 55 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) of settlement only and that such Offer did not constitute an admission of guilt or wrongdoing. Current Status: Final Resolution: Consent Resolution Date: 05/01/1998 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $5,000.00 Resolution Details: Consent Order entered, ordering Dean Witter to immediately cease and desist from any further violations of Section 207 of RIUSA; and Dean Witter shall pay a civil penalty of $5,000 to the RI Securities Division. Summary: Consent Order, $5,000 civil penalty, to resolve violation of RIUSA's Rule 207a-1.3. CONTACT: MARIA PICCIRILLI, 401-222-3048. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: RI DEPARTMENT OF BUSINESS REGULATION; SECURITIES DIVISION Date initiated: 05/01/1998 Docket/ Case Number: 98-0041 Allegations: DEAN WITTER MAINTAINS A BRANCH OFFICE AT 850 AQUIDNECK AVENUE IN MIDDLETOWN, RHODE ISALND. THE INDIVIDUAL DESIGNATED AS SUPERVISOR OF THAT BRANCH OFFICE HAD NOT PASSED THE NASD GENERAL SECURITIES PRINCIPAL QUALIFICATION EXAMINATION (SERIES 24), IN VIOLATION OF RULE 207A-1.3, PROMULGATED PURSUANT TO THE RHODE ISLAND UNIFORM SECURITIES ACT OF 1990 ("RIUSA"). THE DESIGNATED SUPERVISOR PASSED THE SERIES 24 EXAM ON MARCH 10, 1998. THE RHODE ISLAND SECURITIES DIVISION RECOGNIZED THAT THE EXAMINAITON DEFICIENCY WAS UNINTENTIONAL AND INADVERTENT, AND THAT DEAN WITTER TOOK PROMPT CORRECTIVE ACTION AND COOPERATED FULLY IN THIS MATTER. THIS CONSENT ORDER WAS ENTERED FOLLOWING RECEIPT OF A WRITTEN OFFER OF SETTELEMENT FROM DEAN WITTER REFLECTING THE EXPRESS UNDERSTANDING THAT SUCH OFFER WAS SUBMITTED FOR THE PURPOSES OF SETTLEMENT ONLY AND THAT SUCH OFFIER DID NOT CONSTITUTE AN ADMISSION OF GUILT OR WRONGDOING. Current Status: Final Resolution: Consent Resolution Date: 05/01/1998 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: CONSENT ORDER ENTERED, ORDERING DEAN WITTER TO IMMEDIATELY CEASE AND DESIST FROM FURTHER VIOLATIONS OF SECTION 207 OF RIUSA; AND DEAN WITTER SHALL PAY A CIVIL PENALTY OF $5,000 TO THE RI SECURITIES DIVISION. Summary: SEE ITEM 7. $5,000 CIVIL PENALY AGREED TO. ****** REGULATORY ACTION (56 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/17/1998 Initiated By: AL Date initiated: 03/17/1998 Docket/ Case Number: SC-98-0016 NASD BrokerCheck October 14, 2005 Page 56 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: THE ALABAMA SECURITIES COMMISSION ISSUED AN ORDER DIRECTING DEAN WITTER TO SHOW CAUSE WHY ITS REGISTRATION AS A SECURITIES DEALER SHOULD NOT BE SUSPENDED OR REVOKED IN THE STATE OF ALABAMA. THE COMMISSION ALLEGES THAT DEAN WITTER FAILED TO EXERCISE DILIGENT SUPERVISION OVER ITS FORMER AGENT PETER SAMUEL DIMAGGIO AND AS A RESULT ALLOWED DIMAGGIO TO CONDUCT EXCESSIVE TRADES IN THE MARGIN ACCOUNTS OF ALABAMA INVESTORS. Current Status: Pending Summary: SAME AS ALLEGATIONS CONTACT: CHRISTOPHER P. YOUNG 334/242-2984 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ALABAMA Date initiated: 03/17/1998 Docket/ Case Number: SC-98-0016 Allegations: THE ALABAMA SECURITIES COMMISSION ISSUED AN ORDER DIRECTING DEAN WITTER TO SHOW CAUSE WHY ITS REGISTRATION AS A SECURITIES DEALER SHOULD NOT BE SUSPENDED OR REVOKED IN THE STATE OF ALABAMA. THE COMMISSION ALLEGES THAT DEAN WITTER FAILED TO EXERCISE DILIGENT SUPERVISION OVER ITS FORMER AGENT PETER SAMUEL DIMAGGIO AND AS A RESULT ALLOWED DIMAGGIO TO CONDUCT EXCESSIVE TRADES IN THE MARGIN ACCOUNTS OF ALABAMA INVESTORS. Current Status: Pending Summary: PENDING. ****** REGULATORY ACTION (57 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/31/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/31/1997 Docket/ Case Number: CMS970035 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/31/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $13,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS970035 AWC. ON OCTOBER 31, 1997, DEAN WITTER REYNOLDS, INC. (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT EAN VIOLATED NASD CONDUCT RULES 2110, IM-2110-2, 3010 AND 3110, MARKETPLACE RULES 4632(a), 4642(a), 6420(a) AND 6420(c)(3), AND SEC RULES 10b-10 AND 17a-3(a)(6) FOR THE FOLLOWING ACTIVITY: DEAN FAILED TO DESIGNATE AS LATE TO ACT THREE TRANSACTIONS IN LISTED SECURITIES AND FAILED TO REPORT THE CORRECT PRICE TO ACT FOR TWO TRANSACTIONS IN LISTED SECURITIES; AND FAILED TO DESIGNATE AS LATE TO ACT 42 TRANSACTIONS IN NASDAQ NATIONAL MARKET SYSTEM SECURITIES AND ONE TRANSACTION IN A NASDAQ SMALLCAP SECURITY IN THAT THE ORDER ENTRY FIRM REPORTED TO ACT EACH SUCH TRANSACTION MORE THAN 90 SECONDS PRIOR TO DEAN. DEAN FAILED TO TIME STAMP THE TIME OF EXECUTION ON TWO ORDER TICKETS AND THE CORRECT TIME OF EXECUTION ON SIX ORDER TICKETS; AND ALSO FAILED TO COMPLY, ON 25 OCCASIONS, WITH SEC RULE 10b-10. DEAN FAILED TO NASD BrokerCheck October 14, 2005 Page 57 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) CONTEMPORANEOUSLY EXECUTE THREE CUSTOMER LIMIT ORDERS AFTER PURCHASING SHARES IN NASDAQ-LISTED COMPANIES FOR ITS OWN MARKET-MAKING ACCOUNT. IN ADDITION, DEAN FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS AND REGULATIONS REGARDING TRADE REPORTING AND LIMIT ORDER PROTECTION. DEAN WAS FINED $13,000. ****** $13,000 PAID ON 1/6/98, INVOICE NO. 97-MS-970 *** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 10/31/1997 Docket/ Case Number: CMS970035 AWC Allegations: SEE #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/31/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $13,000.00 Resolution Details: SEE #13 Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS970035 AWC. ON OCTOBER 31, 1997, DEAN WITTER REYNOLDS, INC. (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT DEAN WITTER VIOLATED NASD CONDUCT RULES 2110, IM-2110-2, 3010 AND 3110, MARKETPLACE RULES 4632(A), 4642(A), 6420(A) AND 6420(C)(3), AND SEC RULES 10B-10 AND 17A-3(A)(6) FOR THE FOLLOWING ACTIVITY: DEAN FAILED TO DESIGNATE AS LATE TO ACT THREE TRANSACTIONS IN LISTED SECURITIES AND FAILED TO REPORT THE CORRECT PRICE TO ACT FOR TWO TRANSACTIONS IN LISTED SECURITIES; AND FAILED TO DESIGNATE AS LATE TO ACT 42 TRANSACTIONS IN NASDAQ NATIONAL MARKET SYSTEM SECURITIES AND ONE TRANSACTION IN A NASDAQ SMALLCAP SECURITY IN THAT THE ORDER ENTRY FIRM REPORTED TO ACT EACH SUCH TRANSACTION MORE THAN 90 SECONDS PRIOR TO DEAN. DEAN FAILED TO TIME STAMP THE TIME OF EXECUTION ON TWO ORDER TICKETS AND THE CORRECT TIME OF EXECUTION ON SIX ORDER TICKETS; AND ALSO FAILED TO COMPLY, ON 25 OCCASIONS, WITH SEC RULE 10B-10. DEAN FAILED TO CONTEMPORANEOUSLY EXECUTE THREE CUSTOMER LIMIT ORDERS AFTER PURCHASING SHARES IN NASDAQ-LISTED COMPANIES FOR ITS OWN MARKET-MAIKING ACCOUNT. IN ADDITION, DEAN FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS AND REGULATIONS REGARDING TRADE REPORTING AND LIMIT ORDER PROTECTION. DEAN WAS FINED $13,000 WITHOUT ADMITTING OR DENYING VIOLATIONS. $13,000 PAID ON 1/6/98. ****** REGULATORY ACTION (58 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/21/1997 Initiated By: KANSAS SECURITIES COMMISSIONER Date initiated: 07/21/1997 Docket/ Case Number: 96E001/94-2665 Allegations: FAILURE TO SUPERVISE AGENT. Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 58 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Date: 07/21/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Resolution Details: RESPONDENT ENTERED INTO A CONSENT ORDER WHEREBY IT WAS FINED $10,000. Summary: A DEAN WITTER REYNOLDS, INC. AGENT ENGAGED IN DISHONEST AND UNETHICAL PRACTICES INCLUDING MISREPRESENTATION, UNSUITABLE RECOMMENDATIONS, AND EXERCISING DISCRETIONARY POWER WITH NO AUTHORITY. CONTACT: MERILYN BOWMAN - 316/337-6280 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: KANSAS SECURITIES COMMISSIONER Date initiated: 07/21/1997 Docket/ Case Number: 96E001/94-2665 Allegations: FAILURE TO SUPERVISE AGENT. Current Status: Final Resolution: Consent Resolution Date: 07/21/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: RESPONDENT ENTERED INTO A CONSENT ORDER WHEREBY IT WAS FINED $10,000. BASED UPON A STIPULATION IN WHICH DEAN WITTER DID NOT ADMIT LIABILITY OR WRONGDOING. Summary: STATE ALLEGED THAT DEAN WITTER REYNOLDS, INC. AGENT, RONALD REEVES, ENGAGED IN DISHONEST AND UNETHICAL PRACTICES INCLUDING MISREPRESENTATION, UNSUITABLE RECOMMENDATIONS, AND EXERCISING DISCRETIONARY POWER WITH NO AUTHORITY AND DEAN WITTER FAILED TO SUPERVISE HIM. ****** REGULATORY ACTION (59 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960097 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960097 AWC. ON APRIL 23, 1997, DEAN WITTER REYNOLDS, INC. (DEAN) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT NASD BrokerCheck October 14, 2005 Page 59 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT DEAN VIOLATED MARKETPLACE RULE 6240(a)(4) AND CONDUCT RULE 2110 FOR INACCURATELY REPORTING UNIT PRICES FOR ELEVEN TRANSACTIONS IN MANDATORY FIPS BONDS. DEAN ALSO INACCURATELY REPORTED ISSUE SYMBOLS FOR SEVENTEEN TRANSACTIONS IN MANDATORY FIPS BONDS. DEAN WAS FINED $1,000. ***$1,000.00 PAID ON 6/2/97, INVOICE #97-MS-397*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960097 Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS960097 (AWC) APRIL 23, 1997: THE AWC ALLEGES THAT DEAN VIOLATED MARKETPLACE RULE 6240(A)(4) AND CONDUCT RULE 2110 BY INACCURATELY REPORTING UNIT PRICES FOR ELEVEN TRANSACTIONS IN MANDATORY FIPS BONDS AND ALSO INACCURATELY REPORTED ISSUE SYMBOLS FOR SEVENTEEN TRANSACTIONS IN MANDATORY FIPS BONDS. WITHOUT ADMITTIN OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO FINE OF $1,000; PAID ON 6/2/97. ****** REGULATORY ACTION (60 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/24/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/25/1996 Docket/ Case Number: C05960037 Allegations: Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 03/24/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: COMPLAINT NO. C05960037 FILED JUNE 25, 1996 BY DISTRICT NO. 5 AGAINST DEAN WITTER REYNOLDS, INC. AND GREGORY S. TURNER ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENT TURNER, FAILED AND NEGLECTED TO EXERCISE REASONABLE AND PROPER SUPERVISION OVER AN INDIVIDUAL IN CONNECTION WITH THE PURCHASE AND SALE OF SECURITIES; AND, FAILED TO NEGLECTED TO ESTABLISH, MAINTAIN AND ENFORCE PROPER SUPERVISORY PROCEDURES GOVERNING THE DISSEMINATION OF NASD BrokerCheck October 14, 2005 Page 60 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) MISLEADING CORRESPONDENCE, THE DETECTION OF CUSTOMER CROSS TRANSACTIONS AND INTERPOSITIONING, AND THE DISSEMINATION OF MISLEADING MUNICIPAL SECURITIES OFFERING SHEETS. ON MARCH 24, 1997, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS MEMBER AND TURNER WAS ISSUED; THEREFORE, RESPONDENT MEMBER IS CENSURED, FINED $5,000 AND WILL IMPOSE THE FOLLOWING RESTRICTIONS ON ITS REGISTERED RESENTATIVE ROBERT W. MORRIS: 1) ROBERT MORRIS WILL BE REQUIRED TO SELL MUNICIPAL BONDS FOR HIS CUSTOMERS BY EITHER SELLING DIRECTLY TO THE FIRM'S TRADING DESK, OR BY SELLING TO OUTSIDE PURCHASERS THROUGH THE FIRM'S TRADING DESK; 2) ANY MUNICIPAL BONDS LISTED DISSEMINATED BY ROBERT W. MORRIS WILL INCLUDE ONLY MUNICIPAL BONDS IN THE FIRM'S INVENTORY, AND WILL NOT IDENTIFY ROBERT W. MORRIS AS A BOND TRADER OR MEMBER OF THE FIRM'S MUNICIPAL BOND DEPARTMENT; 3) ROBERT W. MORRIS WILL NOT ENGAGE IN CROSS-SELLING OF MUNICIPAL BONDS BETWEEN HIS CUSTOMERS' ACCOUNTS; AND 4) ROBERT W. MORRIS WILL BE SUPERVISED TO ASSURE THAT HE IS COMPLYING WITH THESE RESTRICTIONS. THE COMMITTEE DISMISSED THE CHARGE AGAINST RESPONDENT MEMBER THAT ALLEGES THAT IT FAILED TO MAINTAIN SUFFICIENT SUPERVISORY PROCEDURES TO DETECT CUSTOMER CROSS TRANSACTIONS AND INTERPOSITIONING; AND DISMISS ANY AND ALL CHARGES AGAINST RESPONDENT TURNER. ***$5,000.00 PAID ON 4/25/97, INVOICE #97-05-263*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 06/25/1996 Docket/ Case Number: C05960037 Allegations: COMPLAINT FILED BY DIRSTRICT NO. 5 AGAINST DEAN WITTER REYNOLDS INC. AND GREGORY TURNER ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER ACTING THROUGH RESPONDENT TURNER, FAILED AND NEGLECTED TO EXERCISE REASONABLE AND PROPER SUPERVISION OVER AN INDIVIDUAL IN CONNECTION WITH THE PURCHASE AND SALE OF SECURITIES AND FIALED TO ESTABLISH, MAINTAIN AND ENFORCE PROPER SUPERVISORY PROCEDURES GOVERNING THE DISSEMINAITON OF MISLEADING CORRESPONDENCE, THE DETECTION OF CUSTOMER CROSS TRANSACTIONS AND INTERPOSITIONING, AND THE DISSEMINATION OF MISLEADING MUNICIPAL SECURITIES OFFERING SHEETS. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 03/24/1997 Sanctions Ordered: Monetary/Fine, Censure Resolution Details: SEE #13. Summary: COMPLAINT NO. C05960037 FILED JUNE 25, 1996 BY NASDR DISTRICT NO. 5 AGAINST DEAN WITTER REYNOLDS, INC. AND GREGORY S. TURNER, ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENT TURNER, FAILED AND NEGLECTED TO EXERCISE REASONABLE AND PROPER SUPERVISORY OVER AN INDIVIDUAL IN CONNECTION WITH THE PURCHASE AND SALE OF SECURITIES; AND, FAILED TO NEGLECTED TO ESTABLISH, MAINTAIN AND ENFORCE PROPER SUPERVISION PROCEDURES GOVERNING THE DISSEMINATION OF MISLEADING CORRESPONDENCE, THE DETECTION OF CUSTOMER CROSS TRANSACTIONS AND INTERPOSITIONING, AND THE DISSEMINTAION OF MISLEADING MUNICIPAL SECURITIES OFFERING SHEETS. ON MARCH 24, 1997, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS MEMBER AND TURNER WAS ISSUED. RESPONDENT DEAN WITTER WAS CENSURED, FINED $5,000 AND WILL IMPOSE THE FOLLOWING RESTRICTIONS ON ITS REGISTERED REPRESENTATIVE ROBERT W. MORRIS: 1) ROBERT MORRIS WILL BE REQUIRED TO TO SELL MUNICIPAL BONDS FOR HIS CUSTOMERS BY EITHER SELLING DIRECTLY TO THE FIRM'S TRADING DESTK, OR BY SELLING TO OUTSIDE PURCHASERS THROUGH THE FIRM'S TRADING DESK; 2) ANY MUNICIPAL BONDS LISTED DISSEMINTATED BY ROBERT W. MORRIS WILL INCLUDE ONLY MUNICIPAL BONDS IN THE FIRM'S INVENTORY, AND WILL NOT IDENTIFY ROBERT W. MORRIS AS A BOND TRADER OF MEMBER OF THE FIRM'S MUNICIPAL BOND DEPARTMENT; 3) ROBERT W. MORRIS WILL NOT ENGAGE IN CROSS-SELLING OF MUNICIPAL BONDS BETWEEN ITS CUSTOMERS' ACCOUNTS; AND 4) ROBERT W. MORRIS WILL BE SUPERVISED TO ASSURE THAT HE IS COMPLYING WITH THESE NASD BrokerCheck October 14, 2005 Page 61 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) RESTRICTIONS. THE COMMITTEE DISMISSED THE CHARGE AGAINST RESPONDENT MEMBER THAT ALLEGES THAT IT FAILED TO MAINTAIN SUFFICIENT SUPERVISORY PROCEDURES TO DETECT CUSTOMER CROSS TRANSACTIONS AND INTERPOSITIONING, AND, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ANY AND ALL CHARGES AGAINST RESPONDENT TURNER WERE DISMISSED. $5,000 PAID ON 4/25/97. ****** REGULATORY ACTION (61 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/02/1986 Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 06/02/1986 Docket/ Case Number: E-86-6 Allegations: AGENT OFFERED 15 UNITS OF A PARTNERSHIP IN MASSACHUSETTS IN VIOLATION OF SECTION 301. Current Status: Final Resolution: Decision Resolution Date: 06/02/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: DIVISION CENSURED DEAN WITTER REYNOLDS AND REQUIRED IT TO PAY THE COMMONWEALTH $1,000.00. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 06/02/1986 Docket/ Case Number: E-86-6 Allegations: AGENT OFFERED 15 UNITS OF A PARTNERSHIP IN MASSACHUSETTS IN VIOLAITON OF SECTION 301. Current Status: Final Resolution: Decision Resolution Date: 06/02/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: DIVISION CENSURED DEAN WITTER REYNOLDS AND REQUIRED IT TO PAY THE COMMONWEALTH $1,000. Summary: NOT PROVIDED. ****** REGULATORY ACTION (62 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/16/1994 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/16/1994 NASD BrokerCheck October 14, 2005 Page 62 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Docket/ Case Number: C10940045 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/16/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: ON SEPTEMBER 16, 1994, DISTRICT NO. 10 NOTIFIED DEAN WITTER REYNOLDS, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10940045 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED, FINED $7,500 AND AGREE TO THE FOLLOWING UNDERTAKINGS: WITHIN 90 DAYS OF THE EXECUTION OF THE AWC, RESPONDENT MEMBER AGREES TO REVIEW ALL JOB CLASSIFICATIONS TO IDENTIFY ANY INDIVIDUAL WHO HAS NOT OBTAINED APPROPRIATE NASD REGISTRATION; WITHIN 90 DAYS FROM THE COMPLETION OF THE REVIEW, RESPONDENT MEMBER WILL CAUSE TO BE REGISTERED ANY INDIVIDUAL FOUND AS A RESULT OF THE REVIEW NOT TO BE PROPERLY REGISTERED; ON AN ONGOING BASIS, RESPONDENT MEMBER WILL PERFORM A QUARTERLY REVIEW TO IDENTIFY ALL EMPLOYEES REQUIRED TO BE NASD REGISTERED INCLUDING THOSE EMPLOYEES WHO OBTAIN SUCH POSITIONS AS A RESULT OF A PROMOTION AND/OR INTER-DEPARTMENT TRANSFER; RESPONDENT MEMBER WILL DISSEMINATE TO ITS EMPLOYEES A MEMORANDUM REMINDING ALL EMPLOYEES OF THEIR OBLIGATIONS TO BECOME REGISTERED PURSUANT TO THE NASD RULES; AND, WILL USE EVERY EFFORT TO ENSURE THAT ITS EMPLOYEES OBTAIN THE APPROPRIATE NASD REGISTRATION - (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE AND MSRB RULE G-3(b) - RESPONDENT MEMBER PERMITTED INDIVIDUALS TO ACT IN THE CAPACITY OF A GENERAL SECURITIES PRINCIPAL AND GENERAL SECURITIES REPRESENTATIVE WITHOUT THE APPROPRIATE REGISTRATION; AND, PERMITTED A FIRST VICE PRESIDENT IN CHARGE OF MUNICIPAL NATIONAL TRADING TO ACT IN THE CAPACITY OF A MUNICIPAL SECURITIES PRINCIPAL WITHOUT THE APPROPRIATE REGISTRATION). ***$7,500 PAID ON 11/8/94 INVOICE #94-10-659*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/16/1994 Docket/ Case Number: C10940045 Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/16/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10940045, SEPTEMBER 16, 1994. RESPONDENT DEAN WITTER WAS CENSURED, FINED $7,500 AND AGREED TO THE FOLLOWING UNDERTAKINGS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WITHIN 90 DAYS OF THE EXECUTION OF THE AWC, TO REVIEW ALL JOB CLASSIFICATIONS TO IDENTIFY ANY INDIVIDUAL WHO HAS NOT OBTAINED APPROPRIATE PRINCIPAL OR SUPERVISORY NASD REGISTRATIONS. WITHIN 90 DAYS FROM THE COMPLETION OF THE REVIEW, CAUSE TO BE REGISTERED ANY INDIVIDUAL FOUND AS A RESULT OF THE REVIEW NOT TO BE PROPERLY REGISTERED; ON AN ONGOING BASIS, PERFORM A QUARTERLY REVIEW TO IDENTIFY ALL EMPLOYEES REQUIRED TO BE NASD REGISTERED NASD BrokerCheck October 14, 2005 Page 63 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) INCLUDING THOSE EMPLOYEES WHO OBTAIN SUCH POSITIONS AS A RESULT OF A PROMOTION AND/OR INTER-DEPARTMENT TRANSFER; RESPONDENT MEMBER WILL DISSEMINATE TO ITS EMPLOYEES A MEMORANDUM REMINDING ALL EMPLOYEES OF THEIR OBLIGATIONS TO BECOME REGISTERED PURSUANT TO THE NASD RULES; AND, WILL USE EVERY EFFORT TO ENSURE THAT ITS EMPLOYEES OBTAIN THE APPROPRIATE NASD REGISTRATION. ****** REGULATORY ACTION (63 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/09/1994 Initiated By: NYSE DIVISION OF ENFORCEMENT Date initiated: 06/07/1994 Docket/ Case Number: 94-105 Allegations: Not Provided Current Status: Final Resolution: Stipulation and Consent Resolution Date: 09/09/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY -- THE FIRM IS CENSURE AND FINE $50,000. Summary: VIOLATED EXCHANTE RULES 351 AND 345 BY FAILING TO TIMELY FILE FORM RE-3 REPORTS, QUARTERLY REPORTS OF CUSTOMER COMPLAINTS, AND AMENDMENTS TO FORM U-5;SECTION 220.13, 220.4 AND 220.8 OF REGULATION T AND EXCHANGE RULE 431 (f)(9) BY FAILING TO PROMPTLY CANCEL OR OTHERWISE LIQUIDATE CERTAIN PURCHASE TRANSACTIONS IN CUSTOMER ACCOUNTS, OBTAIN EXTENSIONS OF TIME WHEN PAYMENT WAS NOT RECEIVED WITHIN REQUIRED TIME, AND RESTRICT FOR 90 DAYS CUSTOMER ACCOUNTS WHICH HAS PURCHASED AND SOLD SECURITIES WITHOUT FULL PAYMENT BEING MADE; EXCHANGE RULE 345 AND SEC RULES 17f-2 AND 17a-3(12)(i) BY FAILING TO OBTAIN EMPLOYEE FINGERPRINTS, BACKGROUND AND REPUTATION CHECKS; EXCHANGE RULE 410 BY FAILING TO ENSURE DESIGNATION OF CUSTOMER NAMES OR ACCOUNT NUMBERS ON ORDER TICKETS BEFORE EXECUTION; EXCHANGE RULES 405, 408 AND 440 BY FAILING TO MAINTAIN PROPER DOCUMENTATION OF ACCOUNT; RULE 342 BY FAILING TO PROVIDE FOR APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL , INCLUDING FOLLOW-UP AND REVIEW, WITH REPECT TO CERTAIN FINANCIAL AND OPERATIONAL REQUIREMENTS AND BOOKS AND RECORDS -- CONSENT TO CENSURE AND $50,000 FINE. CONTACT: MS. PEGGY L. GERMINO AT (212) 656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NYSE DIVISION OF ENFORCEMENT Date initiated: 06/07/1994 Docket/ Case Number: NYSE HEARING DECISION 94-105 Allegations: NOT PROVIDED Current Status: Final Resolution: Stipulation and Consent Resolution Date: 09/09/1994 Sanctions Ordered: Monetary/Fine, Censure Resolution Details: 09/09/94 - THE FIRM IS CENSURED AND FINE $50,000. NASD BrokerCheck October 14, 2005 Page 64 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Summary: WITHOUT ADMITTING OR DENYING VIOLATIONS, FIRM CONSENTS TO CENSURE AND FINE OF $50,000 BECASUE ALLEGEDLY VIOLATED EXCHANGE RULES 351 AND 345 BY FAILING TO TIMELY FILE FORM RE-3 REPORTS, QUARTERLY REPORTS OF CUSTOMER COMPLAINTS, AND AMENDMENTS TO FORM U-5, SECTION 220.12, 220.4 AND 220.8 OF REGULATION T AND EXCHANGE RULE 431(F)(9) BY FAILING TO PROMPTLY CANCEL OR OTHERWISE LIQUIDATE CERTAIN PURCHASE TRANSACTION IN CUSTOMER ACCOUNTS, OBTAIN EXTENSIONS OF TIME WHEN PAYMENT WAS NOT RECEIVED WITHIN REQUIRED TIME, AND RESTRICT FOR 90 DAYS CUSTOMER ACCOUNTS WHICH HAD PURCHASED AND SOLD SECURITIES WITHOUT FULL PAYMENT BEING MADE; EXCHANGE RULE 345 AND SEC RULES 17 F-2 AND 17A-3(12)(I) BY FAILING TO OBTAIN EMPLOYEE FINGERPRINTS, BACKGROUND AND REPUTATION CHECKS, EXCHANGE RULE 410 BY FAILING TO ENSURE DESIGNATION OF CUSTOMER NAMES OR ACCOUNT NUMBERS ON ORDER TICKETS BEFORE EXECUTION; EXCHANGE RULES 405, 408 AND 440 BY FAILING TO MAINTAIN PROPER DOCUMENTATION OF ACCOUNT; RULE 342 BY FAILING TO PROVIDE APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL, INCLUDING FOLLOW-UP AND REVIEW, WITH RESPECT TO CERTAIN FINANCIAL AND OPERATIONAL REQUIREMENTS AND BOOKS AND RECORDS. ****** REGULATORY ACTION (64 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/1994 Initiated By: IDAHO DEPT. OF FINANCE Date initiated: 05/02/1994 Docket/ Case Number: 1994-7-29 Allegations: DWR CAUSED AN UNREASONABLE DELAY IN THE DELIVERY OF A SECURITY TO A CUSTOMER; FAILURE TO, FURNISH UPON REQUEST, INFORMATION TO WHICH CUSTOMER IS ENTITLED OR TO RESPOND TO FORMAL COMPLAINT; FAILURE TO EXERCISE DILIGENT SUPERVISION OVER SALESMEN AND EMPLOYEES; FAILURE TO ENFORCE PROVISIONS OF THE WRITTEN PROCEDURES MANUAL. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 05/02/1994 Sanctions Ordered: Monetary/Fine, Suspension Monetary Amount: $20,000.00 Resolution Details: DWR CONSENTED TO THE ORDER IN WHICH IT ADMITS VIOLATIONS OF THE IDAHO SECURITIES ACT. DWR: 1) WILL PAY $20,000 FINE; 2) IS SUSPENDED FROM WRITING NEW ACCOUNTS FOR TWO DAYS BEGINNING APRIL 29, 1994; 3) WILL WRITE APOLOGY TO CUSTOMERS; 4) WILL PROVIDE MONTHLY TRACKING OF ACCOUNTS FOR CHANGES; 4) WILL DESIGNATE AN OFFICER IN SAN FRANCISCO TO BE RESPONSIBLE FOR BRANCH OFFICE SUPERVISION; 6) WILL PROVIDE TRAINING TO BRANCH OFFICE FOR IRA PROCEDURES; 7) WILL DATE STAMP NEW MAIL; AND 8) WILL DEVELOP LOG-IN SYSTEM FOR COMPLAINTS . THIS AGREEMENT AND ORDER SUPERCEDES A PRIOR COMPLAINT AND ORDER OF SUSPENSION OF REGISTRATION AS A BROKER-DEALER. Summary: CONTACT: TIM MARTIN - 208/334/3684 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: IDAHO DEPARTMENT OF FINANCE Date initiated: 05/02/1994 Docket/ Case Number: 1994-7-29 Allegations: DWR ALLEGEDLY CAUSED AN UNREASONABLE DELAY IN THE DELIVERY OF A SECURITY TO A CUSTOMER, FAILED TO FURNISH UPON REQUEST, INFORMATION TO WHICH CUSTOMER IS ENTITLED OR TO RESPOND TO FORMAL COMPLAINT; FAILED TO EXERCISE DILIGENT SUPERVISION OVER NASD BrokerCheck October 14, 2005 Page 65 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SALESMEN AND EMPLOYEES; FAILED TO ENFORCE PROVISIONS OF THE WRITTEN PROCEDURES MANUAL. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 05/02/1994 Sanctions Ordered: Monetary/Fine, Suspension Monetary Amount: $20,000.00 Resolution Details: DWR CONSENTED TOT HE ORDER IN WHICH IT ADMITS VIOLATIONS OF THE IDAHO SECURITIES ACT. DWR: 1) WILL PAY 420,000 FINE; 2) WAS SUSPENDED FROM OPEING NEW ACCOUNTS IN IDAHO FOR TWO DAYS BEGINNING APRIL 29, 1994; 3) WILL WRITE APLOGY TO CUSTOMERS; 4) WILL PROVIDE MONTHLY TRACKING OF IDAHO ACCOUNTS FOR CHANGES; 5) WILL DESIGNATE AN OFFICER IN SAN FRANCISCO TO BE RESPONSIBLE FOR IDAHO BRANCH OFFICE SUPERVISION; 6) WILL PROVIDE TRAINING TO BRANCH OFFICE FOR IDAHO IRA PROCEDURES; 7) WILL DATE STAMP NEW MAIL; AND 8) WILL DEVELOP LOG-IN SYSTEM FOR COMPLAINTS. Summary: SEE ITEM 12(C) ****** REGULATORY ACTION (65 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/16/1994 Initiated By: AMEX Date initiated: 12/15/1993 Docket/ Case Number: 92-D-26 Allegations: A STIPULATION OF FACT AND CONSENT TO PENALTY WAS SYBSEQUENTLY ENTERED INTO BETWEEN THE EXCHANGE AND DEAN WITTER AND WAS ACCEPTED BY AN EXCHANGE DISCIPLINARY PANEL AT A HEARING HELD IN DECEMBER 15, 1993. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 02/16/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: DEAN WITTER WAS CENSURED AND FINED $50,000 Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMEX Date initiated: 12/15/1993 Docket/ Case Number: 92-D-26 Allegations: A STIPULATION OF FACT AND CONSENT TO PENALTY ENTERED INTO BETWEEN THE EXCHANGE AND DEAN WITTER AND WAS ACCEPTED BY AN EXCHANGE DISCIPLINARY PANEL AT A HEARING HELD IN DECEMBER 15, 1993. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 02/16/1994 NASD BrokerCheck October 14, 2005 Page 66 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, DEAN WITTER WAS CENSURED AND FINED $50,000 FOR ALLEGEDLY FAILING TO SUPERVISE AN EMPLOYEE AND BRANCH OFFICE IN OPTIONS INVESTING. Summary: NOT PROVIDED. ****** REGULATORY ACTION (66 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/15/1994 Initiated By: HEARING PANEL Date initiated: 04/15/1994 Docket/ Case Number: 94-19 Allegations: VIOLATED RULES 721 AND 722 BY ACCEPTING ORDERS ON OPTION CONTRACTS WITHOUT ACCOUNT DOCUMENTATION AND APPROVAL ON FILE; VIOLATED RULES 342(a) AND (b) BY FAILING IN THE SUPERVISION OF AN EMPLOYEE AND A BRANCH OFFICE. Current Status: Final Resolution: Consent Resolution Date: 04/15/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $40,000.00 Resolution Details: CONSENT TO CENSURE AND $40,000 FINE Summary: CENSURE AND FINE $40,000 TO BE PAID WITHIN 45 DAYS PAYABLE TO NEW YORK STOCK EXCHANGE, INC,. THIS DECISION IS EFFECTIVE IMMEDIATELY CONTACT: PEGGY GERMINO (212) 656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: HEARING PANEL Date initiated: 04/15/1994 Docket/ Case Number: 94-19 Allegations: ALLEGEDLY VIOLATED RULES 721 AND 722 BY ACCEPTING ORDERS ON OPTIONS CONTRACTS WITHOUT ACCOUNT DOCUMENTATION AND APPROVALS ON FILE AND VIOLATED RULES 342(A) AND (B) BY FAILING IN THE SUPERVISION OF AN EMPLOYEE AND A BRANCH OFFICE Current Status: Final Resolution: Consent Resolution Date: 04/15/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $40,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING SUIT, THE FIRM ENTERED A STIPULATION AND CONSENT TO CENSURE AND $40,000 FINE. Summary: SEE ITEMS 7 AND 12C. NASD BrokerCheck October 14, 2005 Page 67 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (67 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/29/1994 Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 01/29/1994 Docket/ Case Number: 9401-03LC Allegations: VIOLATIONS OF SECTIONS 305(a)(vii) AND (ix) AND 403 OF THE PENNSYLVANIA SECURITIES ACT OF 1972. Current Status: Pending Summary: SEE ITEM 8. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: PENNSYLVANIA SECURITIES COMMISSION Date initiated: 01/29/1994 Docket/ Case Number: 9401-03LC Allegations: AN ORDER TO SHOW CAUSE WAS ISSUED IN THE MATTER OF DEAN WITTER REYNOLDS, INC., ROBERT M. REYNOLDS AND CHARLES H. FROMER ALLEGING THAT REYNOLDS SOLD SECURITIES TO AT LEAST ONE PENNSYLVANIA RESIDENT PRIOR TO REGISTRATION AS AN AGENT IN PENNSYLVANIA; DEAN WITTER REYNOLDS, INC. EMPLOYED REYNOLDS TO REPRESENT IT AND HE WAS NOT REGISTERED; RESPONDENTS SOLD UNSUITABLE LIMITED PARTNERSHIP INTERESTS TO AT LEAST ONE PENNSYLVANIA RESIDENT; AND FROMER AND DEAN WITTER REYNOLDS, INC. FAILED TO SUPERVISE REYNOLDS AND FAILED TO MAINTAIN A SYSTEM TO SUPERVISE ITS AGENTS. Current Status: Pending Summary: PLEASE ARCHIVE BECAUSE OF IT BEING A DUPLICAT NUMBER. THE FIRM DISPUTES THE ALLEGATIONS ****** REGULATORY ACTION (68 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/30/1993 Initiated By: IDAHO DEPARTMENT OF FINANCE Date initiated: 07/30/1993 Docket/ Case Number: 1993-7-49 Allegations: MILTON ERHART, IN THE CAPACITY OF BRANCH MANAGER, MAILED OUT TO CLIENTS OF A FORMER SALESPERSON INACCURATE INFORMAQTION ON A REPLACEMENT ACCOUNT EXECUTIVE'S YEARS AND DEPTH OF EXPERIENCE. THE MAILINGS WERE WITHOUT THE APPROVAL OF DEAN WITTER REYNOLDS'S COMPLIANCE DEPARTMENT. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/30/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: DEAN WITTER REYNOLDS FINED $5000; DWR WILL FILE A LETTER OF CAUTION INTO ERHART'S PERSONNEL FILE; DWR AND ERHART AGREE TO NASD BrokerCheck October 14, 2005 Page 68 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SEND A LETTER OF CORRECTION AND APOLOGY TO ALL CLIENTS WHO RECEIVED THE INACCURATE LETTER. Summary: BECAUSE OF 2 COMPLIANTS RECEIVED DWR COMPLIANCE ON ERHART, THE DEPARTMENT FELT IT WOULD HAVE BEEN PRUDENT TO MORE CLOSELY SUPERVISE ERHART'S OUTGOING CORRESPONDENCE. CONTACT: BILL BLESSING - 208/334-3684 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: IDAHO DEPARTMENT OF FINANCE Date initiated: 07/30/1993 Docket/ Case Number: 1993-7-49 Allegations: MILTON ERHART, IN THE CAPACITY OF BRANCH MANAGER, MAILED OUT TO CLIENTS OF THE FORMER SALESPERSON INACCURATE INFORMATION ON A REPLACEMENT ACCOUNT EXECUTIVE'S YEARS AND DEPTH OF EXPERIENCE. THE MAILINGS WERE WITHOUT THE APPROVAL OF DEAN WITTER REYNOLD'S COMPLIANCE DEPARTMENT. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/30/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: DEAN WITTER REYNOLDS FINED $5000; DWR WILL FILE A LETTER OF CAUTION INTO ERHART'S PERSONNEL FILE; DWR AND ERHART AGREED TO SEND A LETTER OF CORRECTION AND APOLOGY TO ALL CLIENTS WHO RECEIVED THE INACCURATE LETTER. Summary: SEE ITEM 12C. ****** REGULATORY ACTION (69 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/09/1993 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/09/1993 Docket/ Case Number: C05930010 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/09/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: ON AUGUST 9, 1993, DISTRICT NO. 5 NOTIFIED DEAN WITTER REYNOLDS, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05930010 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $5,000 - (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER FAILED TO PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE). ***$5,000.00 PAID ON 8/30/93 INVOICE #93-05-643*** *********************************** NASD BrokerCheck October 14, 2005 Page 69 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 08/09/1993 Docket/ Case Number: C05930010 Allegations: VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE. RESPONDENT MEMBER FAILED TO PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/09/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: SEE #13 Summary: ON AUGUST 9, 1993, DISTRICT NO. 5 NOTIFIED DEAN WITTER REYNOLDS, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 50930010 WAS ACCEPTED; THEREFORE, RESPONDENT MEMEBER IS CENSURED AND FINED $5,000 - (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER FAILED TO PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE.***$5,000.00 PAID ON 8/30/93. ****** REGULATORY ACTION (70 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/13/1991 Initiated By: CBOE Date initiated: 02/13/1991 Docket/ Case Number: 89-0091 Allegations: Not Provided Current Status: Final Resolution: Decision Resolution Date: 02/13/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $45,000.00 Resolution Details: A $45,000 fine and a censure. Summary: DWR 1) failed adequately to supervise nine Registered Representatives by allowing the RR's to: a) effect numerous unsuitable option transactions for several public customer accounts; b) effect numerous excessive option transactions for several public customer accounts; and c) distribute sales literature to several public customers which contained misleading statements concerning the risks associated with options trading and which was not written and approved in accordance with Exchange Rules; 2) failed adequately to implement and administer its comprehensive surveillance system in connection with this matter, the public customer accounts and the conduct of the RR's described above; and 3) failed adequately to supervise two BOM's in that the BOM's allowethe above nine RR's to effect the transactions described above. (During the period involved in this matter, the DWR surveillance system referred to above met the requirements of Exchange Rule 9.8 and 2 thereunder). (CBOE Rules 4.2 and 9.8) NASD BrokerCheck October 14, 2005 Page 70 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CBOE Date initiated: 02/13/1991 Docket/ Case Number: 89-0091 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 02/13/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $45,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING SUIT, FIRM ACCEPTED A $45,000 FINE AND CENSURE Summary: CBOE ALLEGED DWR: 1) FAILED ADAQUATELY TO SUPERVISE NINE REGISTERED REPRESENTATIVES BY ALLOWING THE RRS TO: A) EFFECT NUMEROUS UNSUITABLE OPTION TRANSACTIONS FOR SEVERAL PUBLIC CUSTOMER ACCOUNTS; B) EFFECT NUMEROUS EXCESSIVE OPTION TRANSACTIONS FOR SEVERAL PUBLIC CUSTOMER ACCOUNTS; AND C) DISTRIBUTE SALES LITEREATURE TO SEVERAL PUBLIC CUSTOMERS WHICH CONTAINED MISLEADING STATEMENTS CONCERNING THE RISKS ASSOCTIATED WITH OPTIONS TRADING AND WHICH WAS NOT WRITTEN AND APPROVED IN ACCORDANCE WITH EXCHANGE RULES; 2) FAILED ADEQUATELY TO IMPLEMENT AND ADMINISTER ITS COMPREHENSIVE SURVEILLANCE SYSTEM IN CONNECTION WIHT THIS MATTER, THE PUBLIC CUSTOMER ACCOUNTS AND THE CONDUCT OF THE RRS DESCRIBED ABOVE; AND 3) FAILED ADEQUATELY TO SUPERVISE TWO BOMS IN THAT THE BOMS ALLOWED THE ABOVE NINE RRS TO EFFECT THE TRANSACTIONS DESCRIBED ABOVE. THE CBOE DETERMINED THAT DURING THE PERIOD INVOLVED IN THIS MATTER, THE DWR SURVEILLANCE SYSTEM REFERRED TO ABOVE MET THE REQUIREMENTS OF EXCHANGE RULE 9.8. ****** REGULATORY ACTION (71 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 09/25/1992 Docket/ Case Number: 1725-S-6/92 Allegations: ON SEPTEMBER 25, 1992, THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ISSUED AN ADMINISTRATIVE COMPLAINT AGAINST RESPONDENTS DEAN WITTER REYNOLDS, INC.; PURCELL, GRAHAM AND COMPANY; DONALD A PETERSON; ALFRED L. CALLIENDO; GERALD L. GREENE AND SIMON SCHECHTER. THE DEPARTMENT'S COMPLAINT ALLEGES THAT RESPONDENT DEAN WITTER REYNOLDS, INC. VIOLATED SECTION 517.301 (1) (C), FLORIDA STATUTES AND FLORIDA ADMINISTRATIVE CODE RULES 3E-600.002 (1) (C) FOR FAILING TO TIMELY NOTIFY THE DEPARTMENT OF ANY CHANGES OR CORRECTIONS OF OR ANY INCOMPLETE INFORMATION AS TO REGISTRATION OF ITS REGISTERED REPRESENTATIVES WITHIN 30 CALENDAR DAYS OF THE DATE OF CHANGE; AND RULE 3E-600.013 (1) (P) FOR VIOLATION OF ARTICLE III, SECTIONS, 1 AND 27 OF THE NASD RULES OF FAIR PRACTICE BY FAILING TO THOROUGHLY REVIEW THE EMPLOYMENT AND DISCIPLINARY HISTORY OF DONALD A. PETERSON. THE DEPARTMENT SEEKS TO IMPOSE FINES OF UP TO &5,000 PER VIOLATION, ISSUE A CEASE AND DESIST ORDER AND REVOKE, SUSPEND OR RESTRICT THE REGISTRATION OF THE RESPONDENTS. THE RESPONDENTS HAVE 21 DAYS TO FILE A REQUEST FOR HEARING. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/12/1994 NASD BrokerCheck October 14, 2005 Page 71 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: ON APRIL 12, 1994, THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ENTERED INTO A STIPULATION, CONSENT AGREEMENT AND FINAL ORDER WITH THE RESPONDENT DEAN WITTER REYNOLDS , INC., WHEREIN THE RESPONDENT DOES NOT ADMIT OR DENY ANY OF THE VIOLATIONS OF FLORIDA LAW AS SET FORTH IN THE ADMINISTRATIVE COMPLAINT. THE RESPONDENT AGREES TO COMPLY WITH ALL PRESENT AND FUTURE PROVISIONS OF CHAPTER 517, FLORIDA STATUTES AND RULES. THE RESPONDENT FURTHER AGREES TO PAY AN ADMINISTRATIVE FINE OF $5,000 AND WILL COOPERATE WITH THE DEPARTMENT IN THE PROSECUTION OF THE COMPLAINT AGAINST OTHER PARTIES NAMED AS RESPONDENTS. Summary: CONTACT: PLEASE CONTACT DAVID M. BURLEY AT (904) 488-9805. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 09/25/1992 Docket/ Case Number: 1725-S-6/92 Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/12/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (72 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/03/1992 Initiated By: WI SEC Date initiated: 12/03/1992 Docket/ Case Number: X-92082 (L) Allegations: EMPLOYING UNLICENSED AGENT; FAILURE TO REASONABLY SUPERVISE AN AGENT Current Status: Final Resolution: Consent Resolution Date: 12/03/1992 Sanctions Ordered: Censure Resolution Details: CONSENT ORDER OF CENSURE Summary: ERRONEOUSLY DELETED AN AGENT IN ITS MILWAUKEE OFFICE FROM RENEWAL LIST USED TO MAINTAIN LICENSING IN WISCONSIN IN 1991. INTERNAL SYSTEM FAILED TO DETECT ERROR. NASD BrokerCheck October 14, 2005 Page 72 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF WISCONSIN - SECURITIES DIVISION Date initiated: 12/03/1992 Docket/ Case Number: X-92082 (L) Allegations: EMPLOYING UNLICENSED AGENT; FAILURE TO REASONABLY SUPERVISE AN AGENT Current Status: Final Resolution: Consent Resolution Date: 12/03/1992 Sanctions Ordered: Censure Resolution Details: CONSENT ORDER OF CENSURE Summary: ERRONELOUSLY DELETED AN AGENT IN ITS MILWAUKEE OFFICE FROM RENEWAL LIST USED TO MAINTAIN LICENSING IN WISCONSIN IN 1991. INTERNAL SYSTEM FAILED TO DETECT ERROR. ****** REGULATORY ACTION (73 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/24/1992 Initiated By: NYSE HEARING PANEL Date initiated: 07/24/1992 Docket/ Case Number: 92-88 Allegations: VIOLATED RULE 342(b) BY FAILING TO PROVIDE FOR APPROPRIATE PROCEDURES OF SUPERVISION REGARDING TRADING IN ACCOUNTS SERVICED BY BRANCH OFFICE MANAGERS; VIOLATED RULE 405(2) BY FAILING TO SUPERVISE DILIGENTLY AN ACCOUNT HANDLED BY ONE OF ITS REGISTERED REPRESENTATIVES AND VIOLATED RULE 722.20 BY FAILING TO MAINTAIN INFORMATION TO PERMIT REVIEW OF ITS CUSTOMERS' OPTIONS ACCOUNTS. Current Status: Final Resolution: Decision Resolution Date: 07/24/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $45,000.00 Resolution Details: CENSURE AND $45,000 FINE. Summary: SEE RESULTS *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NYSE HEARING PANEL Date initiated: 07/24/1992 Docket/ Case Number: 92-88 Allegations: ALLEGEDLY VIOLATED RULE 342(B) BY FAILING TO PROVIDE FOR NASD BrokerCheck October 14, 2005 Page 73 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) APPROPRIATE PROCEDURES OF SUPERVISION REGARDING TRADING IN ACCOUNTS SERVICED BY BRANCH OFFICE MANAGERS; ALLEGEDLY VIOLATED RULE 405(2) BY FAILING TO SUPERVISE DILIGENTLY AN ACCOUNT HANDLED BY ONE OF ITS REGISTERED REPRESENTATIVES AND VIOLATED RULE 722.20 BY FAILING TO MAINTAIN INFORMATION TO PERMIT REVIEW OF ITS CUSTOMERS OPTIONS ACCOUNTS. Current Status: Final Resolution: Decision Resolution Date: 07/24/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $45,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING SUIT, FIRM CONSENTED TO A CENSURE AND A $45,000 FINE. Summary: SEE ITEMS 7 AND 12C. ****** REGULATORY ACTION (74 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/22/1996 Initiated By: AL Date initiated: 08/31/1995 Docket/ Case Number: SC-95-0075 Allegations: AN APPLICATION FOR REGISTRATION BY COORDINATION WAS APPROVED FOR DEAN WITTER SPECTRUM TECHNICAL L.P. ON SEPTEMBER 21, 1994, WITH AN EFFECTIVE DATE OF SEPTEMBER 15, 1994, FOR THE SALE OF $500,000 WORTH OF LIMITED PARTNERSHIP UNITS. ON AUGUST 30, 1995, AN AMENDMENT WAS FILED WITH THE COMMISSION CITING THAT THERE WAS AN UNANTICIPATED AND INADVERTENT OVERSALE OF $219,644 WORTH OF THE LIMITED PARTNERSHIP UNITS. INASMUCH AS THIS CONSTITUTED A SALE OF UNREGISTERED SECURITIES, A SHOW CAUSE ORDER WAS ISSUED. Current Status: Final Resolution: Consent Resolution Date: 01/22/1996 Sanctions Ordered: Resolution Details: A SHOW CAUSE ORDER WAS ISSUED ON 08/31/95. Summary: SAME AS ALLEGATIONS CONTACT: ALABAMA SECURITIES COMMISSION (334)242-2984 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE OF ALABAMA Date initiated: 08/31/1995 Docket/ Case Number: SC-95-0075 Allegations: AN APPLICATION FOR REGISTRATION BY COORDINATION WAS APPROVED FOR DEAN WITTER SPECTRUM TECHNICAL L.P. ON SEPTEMBER 21, 1994, WITH AN EFFECTIVE DATE OF SEPTEMBER 15,1994, FOR THE SALE OF $500,000 WORTH OF LIMITED PARTNERSHIP UNITS. ON AUGUST 30, 1995, AN AMENDMENT WAS FILED WITH THE COMMISSION CITING THAT THERE WAS AN UNANTICIPATED AND INADVERTENT OVERSALE OF $219,644 WORTH OF THE LIMITED PARTNERSHIP UNITS. INASMUCH AS THIS CONSTITUTED A SALE OF UNREGISTERED SECURITIES, A SHOW CAUSE ORDER WAS ISSUED. NASD BrokerCheck October 14, 2005 Page 74 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 01/22/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Other Sanctions: CONSENT ORDER Resolution Details: FINE OF $2,500. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS MADE, DEAN WITTER ENTERED INTO THE CONSENT ORDER BASED ON "TECHNICAL VIOLATIONS." ****** REGULATORY ACTION (75 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/01/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/01/1995 Docket/ Case Number: CMS950045 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/01/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950045 AWC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED MAY 1, 1995 AGAINST RESPONDENT DEAN WITTER REYNOLDS, INC. (DEAN) ALLEGING VIOLATIONS OF PART X, SECTION 2(a)(8) AND PART XI, SECTION 2(a)(8) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT DEAN REPORTED TRANSACTIONS DESIGNATED AS LATE AND IN EXCESS OF 90 SECONDS OF EXECUTION. RESPONDENT DEAN IS ALSO IN VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE AND THE NATIONAL BUSINESS CONDUCT COMMITTEE ON SEPTEMBER 1, 1995. RESPONDENT DEAN WAS FINED $1,000 WITH AN UNDERTAKING TO IMPLEMENT ITS SUPERVISORY PROCEDURES TO PREVENT SUCH A PATTERN OR PRACTICE OF LATE TRADE REPORTING. THE AWC BECAME FINAL ON SEPTEMBER 1, 1995. **$1,000.00 PAID ON 9/26/95, INVOICE #95-MS.581** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/01/1995 Docket/ Case Number: CMS950045 AWC Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/01/1995 NASD BrokerCheck October 14, 2005 Page 75 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950045 AWC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED MAY 1, 1995 AGAINST RESPONDENT DEAN WITTER REYNOLDS, INC. (DEAN) ALLEGING VIOLATIONS OF PART X, SECTION 2(A)(8) AND PART XI, SECTION 2(A)(8) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT DEAN REPORTED TRANSACTIONS DESIGNATED AS LATE AND IN EXCESS OF 90 SECONDS OF EXECUTION. RESPONDENT DEAN IS ALSO IN VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE AND THE NATIONAL BUSINESS CONDUCT COMMITTEE ON SEPTEMBER 1, 1995. RESPONDENT DEAN WAS FINED $1,000 WITH AN UNDERTAKING TO IMPLEMENT ITS SUPERVISORY PROCEDURES TO PREVENT SUCH A PATTERN OR PRACTICE OF LATE TRADE REPORTING. THE AWC BECAME FINAL ON SEPTEMBER 1, 1995. **$1,000.00 PAID ON 9/26/95, INVOICE #95-MS.581 Summary: ****** REGULATORY ACTION (76 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 03/05/1996 Docket/ Case Number: 2182-S-5/95 Allegations: NOT PROVIDED Current Status: Final Resolution: Order Resolution Date: 09/26/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $16,000.00 Resolution Details: ON 9/26/96, THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ISSUED A FINAL ORDER ENTERING INTO A STIPULATION AND CONSENT AGREEMENT REGARDING RESPONDENTS DEAN WITTER REYNOLDS INC. AND ROBERT A. SPOTO. THE FINAL ORDER INCORPORATED THE STIPULATION AND CONSENT AGREEMENT DATED 9/17/96. THE RESPONDENTS NEITHER ADMIT NOR DENY THE ALLEGED VIOLATIONS STATED IN THE ADMINISTRATIVE COMPLAINT, DATED 4/5/96. PURSUANT TO THE AGREEMENT DEAN WITTER AND ROBERT SPOTO AGREED TO PAY THE SUM OF $16,000 AND $500, RESPECTIVELY TO THE DEPARTMENT AND THE DEPARTMENT CONSENTS TO THE WITHDRAWAL OF THE REGISTRATION OF A BRANCH OFFICE LOCATED IN BOCA RATON, FLORIDA. Summary: OTHER RESPONDENTS NAMED ARE WILLIAM BUNN, LESLIE LUKOFF, MICHAEL BERGOLD, AND GEORGE REPPER . PLEASE CONTACT BILL REILLY (904) 488-9805 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 03/05/1996 Docket/ Case Number: 2182-S-5/95 Allegations: ALLEGEDLY FAILED TO REGISTER BRANCH OFFICE Current Status: Final Resolution: Order NASD BrokerCheck October 14, 2005 Page 76 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Date: 09/26/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $16,000.00 Resolution Details: ON 9/26/96, THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ISSUED A FINAL ORDER ENTERING INTO A STIPULATION AND CONSENT AGREEMENT REGARDING RESPONDENTS DEAN WITTER REYNOLDS INC. AND ROBERT A. SPOTO. THE FINAL ORDER INCORPORATED THE STIPULATION AND CONSENT AGREEMENT DATED 9/17/96. THE RESPONDENTS NEITHER ADMIT NOR DENY THE ALLEGED VIOLATIONS STATED IN THE ADMINISTRATIVE COMPLAINT, DATED 4/5/96. PURSUANT TO THE AGREEMENT DEAN WITTER AND ROBERT SPOTO AGREED TO PAY THE SUM OF $16,000 AND $500, RESPECTIVELY TO THE DEPARTMENT AND THE DEPARTMENT CONSENTS TO THE WITHDRAWAL OF THE REGISTRATION OF A BRANCH OFFICE LOCATED IN BOCA RATON, FLORIDA. Summary: ****** REGULATORY ACTION (77 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/28/1996 Initiated By: STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 03/28/1996 Docket/ Case Number: SEC960005 Allegations: DEFENDANT, IN VIOLATION OF RULE 303D, FAILED TO ENFORCE ITS OWN WRITTEN SUPERVISORY PROCEDURES PERTAINING TO MUTUAL FUND SWITCHING, SPECIFICALLY FAILED TO OBTAIN MUTUAL FUND SWITCH AUTHORIZATION LETTERS FOR THE ACCOUNTS OF KAY & THOMAS WISENBAKER. Current Status: Final Resolution: Consent Resolution Date: 03/28/1996 Sanctions Ordered: Disgorgement/Restitution Resolution Details: DEFENDANT AGREED TO OFFER RESCISSION AND RESTITUTION TO THE INVESTORS INVOLVED. AS A RESULT OF SUCH, NO PENALTY WAS IMPOSED. ASSESSED INVESTIGATION COST. Summary: CONTACT HAZEL C. STEWART, (804) 371-9685. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 03/28/1996 Docket/ Case Number: SEC960005 Allegations: DEFENDANT, ALLEGEDLY IN VIOLATION OF RULE 303D, SUPPOSEDLY FAILED TO ENFORCE ITS OWN WRITTEN SUPERVISORY PROCEDURES PERTAINING TO MUTUAL FUND SWITCHING, SPECIFICALLY FAILING TO OBTAIN MUTUAL FUND SWITCH AUTHORIZATION LETTERS FOR THE ACCOUNT OF KAY AND THOMAS WISENBAKER. Current Status: Final Resolution: Consent Resolution Date: 03/28/1996 Sanctions Ordered: Disgorgement/Restitution NASD BrokerCheck October 14, 2005 Page 77 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: DEFENDANT AGREED TO OFFER RESCISSION AND RESTITUTION TO THE TWO INVESTORS INVOLVED. NO PENALTY WAS IMPOSED, BUT ASSESSED INVESTIGATION COSTS OF $250. Summary: SEE ITEMS 7 AND 12C. ****** REGULATORY ACTION (78 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/18/1992 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/18/1992 Docket/ Case Number: C11910054 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/18/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Resolution Details: Summary: ON JUNE 18, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11910054 (DISTRICT NO. 11) SUBMITTED BY DEAN WITTER REYNOLDS INC. WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $30,000 - (ARTICLE III, SECTIONS 1, 27(b)(1)&(c) OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER FAILED TO ADEQUATELY SUPERVISE AND TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES). **$30,000.00 PAID ON 7/14/92 INVOICE #92-11-628** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/18/1992 Docket/ Case Number: C11910054 Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/18/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Resolution Details: SEE ITEM #13 Summary: ON JUNE 18, 1992, THE NASD ACCEPTED THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11910054 (DISTRICT NO. 11) SUBMITTED BY DEAN WITTER REYNOLDS, INC. RESPONDENT MEMBER WAS CENSURED AND FINED $30,000 UNDER ARTICLE III, SECTIONS 1, 27(B)(1)&(C) OF THE RULES OF FAIR PRACTICE FOR FAILURE TO ADEQUATELY SUPERVISE AND TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES. $30,000 PAID ON 07/14/1992. NASD BrokerCheck October 14, 2005 Page 78 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (79 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/18/1992 Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 05/18/1992 Docket/ Case Number: E-89-198 Allegations: DEAN WITTER REYNOLDS, INC. IS AND AT ALL TIMES WAS REGISTERED AS A SECURITIES BROKER-DEALER IN THE COMMONWEALTH OF MASSACHUSETTS. IN OR ABOUT 1983, DEAN WITTER BEGAN THE OFFER AND SALE OF STOCK INDEX OPTIONS. STOCK INDEX OPTIONS ARE COMPLEX INVESTMENT PRODUCTS WHICH ARE SUITABLE ONLY FOR KNOWLEGEABLE INVESTORS WHO ARE FINANCIALLY SECURE AND WILLING TO SPECULATE OR DESIRE TO USE STOCK INDEX OPTIONS TO HEDGE OTHER POSITIONS. AT ALL REEVANT TIMES, DEAN WITTER OPERATED A BRANCH OFFICE IN BOSTON, MA EMPLOYING UP TO 120 AGENTS. IN 1984, DEAN WITTER OPENED A "METRO CENTER OFFICE" IN BURLINGTON, MA WHICH WAS INTENDED PRIMARILY AS A TRAINING OFFICE FOR LESS EXPERIENCED ACCOUNT EXECUTIVES. DEAN WITTER ASSIGNED MORE THAN TRAINEES AND NO EXPERIENCED AGENTS TO THE BURLINGTON BRANCH. DEAN WITTER DIRECTED AND CONTROLLED THE ACTIVITIES OF ITS AGENTS AND BRANCH MANAGERS IN ITS BURLINGTON AND BOSTON BRANCHES. DURING THE PERIOD 1984-1988, AT LEAST 7 AGENTS THEN EMPLOYED IN DEAN WITTER'S BURLINGTON AND 11 AGENTS THEN EMPLOYED AT THE BOSTON BRANCH ENGAGED IN THE FOLLOWING VIOLATIONS; THE AGENTS, REGARDLESS OF EXPERIENCE, WERE ALLOWED AND DID OFFER AND SELL STOCK INDEX OPTIONS TO THEIR CUSTOMERS. THE AGENTS HAD AN INADEQUATE UNDERSTANDING OF INDEX OPTIONS AND DID NOT INDENTIFY OR EVALUATE APPROPRIATE STRATEGIES FOR CURRENT MARKET CONDITIONS OR PARTICULAR INVESTORS' NEEDS; THE AGENTS RECOMMENDED TRANSACTIONS IN INDEX OPTIONS TO CERTAIN UNSOPHISTICATED CUSTOMERS IN MODEST FINANCIAL CIRCUMSTANCES OF WHOM SUCH INVESTMENTS WERE NOT SUITABLE; IN SOME INSTANCES, THE AGENTS FAILED TO DISCLOSE THEIR OWN INADEQUATE LEVEL OF EXPERTISE; SOME OF THE AGENTS OFTEN FAILED TO PROVIDE OPTION DISCLOSURE DOCUMENTS AT THE TIME OR PRIOR TO THE TIME THE CUSTOMERS' ACCOUNTS WERE APPOVED FOR FOR OPTION TRANSACTIONS ON SOME OCCASIONS, THE AGENTS FAILED TO DISCLOSE TO CUSTOMERS MATERIAL FACTS CONCERNING INVESTMENT IN INDEX OPTIONS; SOME OF THE AGENTS MADE ORAL MISREPRESE*See FAQ #1* Current Status: Final Resolution: Consent Resolution Date: 05/18/1992 Sanctions Ordered: Resolution Details: ON MAY 18, 1992 THE MASSACHUSETTS SECURITIES DIVISION ISSUED AN ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS, MAKING FINDINGS AND IMPOSING SANCTIONS IN THE MATTER OF DEAN WITTER REYNOLDS, INC., DOCKET NO. E-89-198. Summary: ON MAY 18, 1992 THE MASSACHUSETTS SECURITIES DIVISION ISSUED AN ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS, MAKING FINDINGS AND IMPOSING SANCTIONS IN REFERENCE TO DEAN WITTER REYNOLDS, INC. IN THE ORDER DEAN WITTER AGREED TO CAUSE ITS REGIONAL DIRECTOR(S) FOR EVERY REGION CONTAINING ANY PORTION OF MASSACHUSETTS, WHO HAVE DIRECT AUTHORITY OVER THE ACTIONS OF MANAGERS OF ITS BRANCHES IN MASS. TO APPLY FOR AND OBTAIN REGISTRATION AS AN AGENT IN MASS; REQUIRE ITS OPTION TRADING DESK TO CONFIRM APPROVAL BY THE REGIONAL SALES DIRECTOR OF ANY ADVANCED STOCK INDEX OPTION ORDER FOR MASS RESIDENTS BEFORE THE ORDER IS ENTERED; DEVELOP AND IMPLEMENT A "NOTEBOOK" FUNCTION FOR ITS OPTIONS COMPLIANCE UNIT THAT WILL HAVE THE CAPACITY OF GENERATING AN AUTOMATED LISTING OF OPEN OPTIONS COMPLIANCE ITEMS RELATING TO MASS. RESIDENTS; REQUIRE EACH OF THE OPTIONS ANALYSTS IN DEAN WITTER'S OPTION COMPLIANCE UNIT TO BE ROP-QUALIFIED WITHIN 120 DAYS AFTER APPOINTMENT TO THAT POSITION; AS OF THE DATE OF THE ENTRY OF THIS ORDER, FOR MASS RESIDENTS, CUSTOMERS' COPIES OF THEIR OPTIONS INFORMATION FORMS AND AGREEMENTS SHALL BE SENT BY DEAN WITTER'S NATIONAL MAILING FACILITY TO CUSTOMERS WHO; HAVE OPENED OPTIONS ACCOUNTS WITHIN 15 DAYS AFTER THE OPENING OF EACH CUSTOMER'S ACCOUNT; FOR A PERIOD OF TWO YEARS, FOR ITS MASS BRANCH OFFICES, DEAN WITTER SHALL ADOPT A WRITTEN POLICY REQUIRING THAT AN OPTIONS CLEARING CORPORATION PROSPECTUS BE SENT TO EACH CUSTOMER UPON THE BRANCH MANAGER'S APPROVAL OF THAT CUSTOMER TO TRADE INDEX OPTIONS; ADOPT A WRITTEN POLICY NASD BrokerCheck October 14, 2005 Page 79 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) REQUIRING EACH MASS BRANCH MANAGER TO REVIEW THE CLIENT BOOK ENTRIES AT LEAST EVERY THREE MONTHS; FOR ITS MASS BRANCH OFFICES, MODIFY THE SYSTEM FOR GENERATION OF ITS UNCOVERED OPTION EXCEPTION REPORT, WHICH LISTS AGENTS WHO HAVE EXECUTED ADVANCED OPTION TRADES WITHOUT HAVING SUCCESSFULLY COMPLETED THE REQUIRE IN-HOUSE EXAM; FOR ITS MASS BRANCH OFFICES ENHANCE ITS DAILY OPTION TRADING LEVEL EXCEPTION R*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS SECURITIES DIVISION Date initiated: 05/18/1992 Docket/ Case Number: E-89-198 Allegations: ALLEGED THAT AT ALL RELEVANT TIMES DEAN WITTER OPERATED A BRANCH OFFICE IN BOSTON, MA EMPLOYING UP TO 120 AGENTS. IN 1984, DEAN WITTER OPENED A "METRO CENTER OFFICE" IN BURLINGOTN, MA WHICH WAS INTENDED PRIMARILY AS TRAINING OFFICE FOR LESS EXPERIENCED ACCOUNT EXECUTIVES. DEAN WITTER ASSIGNED MORE THAN TRAINEES AND NO EXPERIENCED AGENTS TO THE BURNLINGTON BRANCH. DEAN WITTER DIRECTED AND CONTROLLED THE ACTIVITY OF ITS AGENTS AND BRANCH MANAGERS IN ITS BURLINGTON AND BOSTON BRANCHES. DURING THE PERIOD 1984-1988, AT LEAST 7 AGENTS THEN EMPLOYED IN DEAN WITTER'S BURLINGTON AND 11 AGENTS THEN EMPLOYED AT THE BOSTON BRANCH ENGAGED IN THE FOLLOWING VIOLATIONS: THE AGENTS, REGARDLESS OF EXPERIENCE, WERE ALLOWED AND DID OFFER AND SELL STOCK INDEX OPTIONS TO THEIR CUSTOMERS. THE AGENTS HAD AN INADEQUATE UNDERSTANDING OF INDEX OPTIONS AND DID NOT IDENTIFY OR EVALUATE APPROPRIATE STRATEGIES FOR CURRENT MARKET CONDITIONS OR PARTICULAR INVESTORS' NEEDS; THE AGENTS RECOMMENDED TRANSACTIONS IN INDEX OPTION TO CERTAIN UNSOPHISTICATED CUSTORMERS IN MODEST FINANCIAL CIRCUMSTANCES OF WHOM SUCH INVESTMENTS WERE NOT SUITABLE; IN SOME INSTANCES THE AGENTS FAILED TO DISCLOSE THEIR OWN INADEQUATE LEVEL OF EXPERTISE; SOME OF THE AGENTS OFTEN FAILED TO PROVIDE OPTION DISCLOSURE DOCUMENTS AT THE TIME OR PRIOR TO THE TIME THE CUSTOMERS' ACCOUNTS WERE APPROVED FOR OPTION TRANSACTIONS ON SOME OCCASIONS, THE AGENTS FAILED TO DISCLOSE TO CUSTOMERS MATERIAL FACTS CONCERNING INVESTMENT IN INDEX OPTIONS; SOME OF THE AGENTS MADE ORAL MISREPRESENTATIONS. Current Status: Final Resolution: Consent Resolution Date: 05/18/1992 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: ON MAY 18, 1992 THE MASSACHUSETTS SECURITIES DIVISION ISSUED AN ORDER INSTITUTING ADMINSTRATIVE PROCEEDINGS, MAKING FINDINGS AND IMPOSING SANCIONS IN REFERENCE TO DEAN WITTER REYNOLDS, INC. DEAN WITTER REYNOLDS, INC. RESOLVED A LONG PENDING INVESTIGATION CONDUCTED BY THE STATE OF MASSACHUSETTS RELATING TO THE SALE OF INDEX OPTIONS DURING THE PERIOD OF 1983 TO 1987. THE RESOLUTION WAS IN THE FORM OF A CONSENT PROVIDED BASICALLY FOR A CHARITABLE CONTRIBUTION OF $200,000, PAYMENT OF THE COSTS OF THE INVESTIGATION, A RESTRICTION ON OPENING NEW INDEX OPTIONS ACCOUNTS, AND AN AGREEMENT TO ADOPT CERTAIN MODIFICATIONS IN THE FIRM'S SUPPORT SYSTEM RELATING TO INDEX OPTIONS, MANY OF WHICH HAVE BEEN PREVIOUSLY ADOPTED BY THE FIRM. ****** REGULATORY ACTION (80 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/20/1992 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1992 Docket/ Case Number: C05910100 NASD BrokerCheck October 14, 2005 Page 80 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Consent Resolution Date: 03/30/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: ON MARCH 30, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT C05910100 (DISTRICT NO. 5) SUBMITTED BY RESPONDENTS DEAN WITTER REYNOLDS INC. AND IVAN L. MCKINNEY WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $5,000; AND, RESPONDENT MCKINNEY IS CENSURED, FINED $5,000, SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY CAPACITY FOR TWO WEEKS, BARRED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY PRINCIPAL CAPACITY AND REQUIRED TO REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES REPRESENTATIVE WITHIN 90 DAYS - (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER, ACTING THROUGH RESPONDENT MCKINNEY, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES; FAILED TO REASONABLY AND PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE; FAILED TO INSTITUTE ADDITIONAL SUPERVISORY PROCEDURES TO MONITOR THE CUSTOMER ACCOUNTS OF A REPRESENTATIVE; AND, FAILED TO ADEQUATELY MONITOR THE SUITABILITY OF TRADES RECOMMENDED BY A REPRESENTATIVE IN LIGHT OF THE REPRESENTATIVE'S PRIOR MISCONDUCT). ***$5,000.00 PAID ON 5/11/92 INVOICE #92-05-344*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1992 Docket/ Case Number: CO5910100 Allegations: ALLEGEDLY FAILED TO SUPERVISE REGISTERED REPRESENTATIVE IN MONITORING THE SUITABLITLY OF TRANSACTIONS. Current Status: Final Resolution: Consent Resolution Date: 03/30/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: SEE ITEM #13 Summary: ON MARCH 30, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT C05910100 (DISTRICT NO. 5) SUBMITTED BY RESPONDENTS DEAN WITTER REYOLDS, INC. AND IVAN L. MCKINNEY WAS ACCEPTED. DEAN WITTER WAS CENSURED AND FINED $5,000; AND, RESPONDENT MCKINNEY WAS CENSURED, FINED $5,000, SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY CAPACITY FOR TWO WEEKS, BARRED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY PRINCIPAL CAPACITY AND REQUIRED TO REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES REPRESENTATIVE WITHIN 90 DAYS. $5,000 PAID ON 5/11/92 ****** REGULATORY ACTION (81 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/30/1992 NASD BrokerCheck October 14, 2005 Page 81 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1992 Docket/ Case Number: C05910103 Allegations: Current Status: Final Resolution: Consent Resolution Date: 03/30/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: ON MARCH 30, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT C05910103 (DISTRICT NO. 5) SUBMITTED BY RESPONDENT DEAN WITTER REYNOLDS, INC. WAS ACCEPTED; THEREFORE, THE RESPONDENT MEMBER IS CENSURED AND FINED $10,000 - (ARTICLE III, SECTIONS 1 11 AND 27(a)(4) OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER FAILED TO HAVE AN ADEQUATE OR EFFECTIVE SUPERVISORY SYSTEM IN PLACE AT A BRANCH OFFICE; FAILED TO HAVE SUPERVISORY PERSONNEL AT A BRANCH OFFICE; AND, THE BRANCH OFFICE RECORDS FAILED TO EVIDENCE APPROVAL OF A REGISTERED REPRESENTATIVE'S TRADING ACTIVITY. ***$10,000.00 PAID ON 5/1/92 INVOICE #92-05-345*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1992 Docket/ Case Number: CO5910903 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 03/30/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: SEE ITEM #13 Summary: ON MARCH 30, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT C05910103 (DISTRICT NO. 5) SUBMITTED BY RESPONDENT DEAN WITTER REYNOLDS, INC. WAS ACCEPTED; THEREFORE, THE RESPONDENT MEMBER IS CENSURED AND FINED $10,000-(ARTICLE III, SECTIONS 1 11 AND 27(A)(4) OF THE RULES OF FAIR PRACTICE-RESPONDENT MEMBER FAILED TO HAVE AN ADEQUATE OR EFFECTIVE SUPERVSIORY SYSTEM IN PLACE AT A BRANCH OFFICE; AND, THE BRANCH OFFICE RECORDS FAILED TO EVIDENCE APPROVAL OF A REGISTERED REPRESENTATIVE'S TRADING ACTIVITY.**$10,000.00 PAID ON 5/1/92 INVOICE #92-05-345*** ****** REGULATORY ACTION (82 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/09/1992 Initiated By: VERMONT SECURITIES DIVISION Date initiated: 01/09/1992 Docket/ NASD BrokerCheck October 14, 2005 Page 82 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Case Number: 91-091-S Allegations: RESPONDENT FAILED TO ESTABLISH OR IMPLEMENT ADEQUATE COMPLIANCE AND SUPERVISORY PROCEDURES WITH RESPECT TO THE REVIEW OF OPTIONS TRANSACTIONS EFFECTED BY THE BRANCH MANAGER OF ITS RUTLAND, VERMONT OFFICE. THE MANAGER ALLEGEDLY PERPETRATED A FRAUD ON INVESTORS BY SHIFTING LOSSES TO CERTAIN ACCOUNTS FOR THE PURPOSE OF CONCEALING AND LIMITING LOSSES IN OTHER ACCOUNTS BY MAKING FALSE ENTRIES ON ACCOUNT NUMBER CHANGE REPORTS. RESPONDENTS ALSO FAILED TO TIMELY FILE A FORM U-5 WITH THE SECURTIES DIVISION WHICH FULLY SET FORTH THE CIRCUMSTANCES ATTENDANT TO THE MANAGER'S TERMINATION FROM EMPLOYMENT WITH THE FIRM. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/09/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: RESPONDENT, WHILE NEITHER ADMITTING NOR DENYING THE ALLEGATIONS, ENTERED INTO A CONSENT ORDER THAT REQUIRED PAYMENT OF A $15,000 FINE AND $2,000 IN INVESTIGATION COSTS. RESPONDENT WAS REQUIRED TO DEMONSTRATE THAT ADEQUATE PROCEDURES HAD BEEN IMPLEMENTED REGARDING SUPERVISION OF ITS AGENTS FOR THE PURPOSE OF PREVENTING FUTURE VIOLATIONS. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VERMONT SECURITIES DIVISION Date initiated: 01/09/1992 Docket/ Case Number: 91-091-S Allegations: RESPONDENT ALLEGEDLY FAILED TO ESTABLISH OR IMPLEMENT ADEQUATE COMPLIANCE AND SUPERVISORY PROCEDURES WITH RESPECT TO THE REVIEW OF OPTIONS TRANSACTIONS EFFECTED BY A BRANCH MANAGER IN HIS CUSTOMER ACCOUNTS. THE MANAGER ALLEGEDLY PERPETRATED A FRAUD ON INVESTORS BY SHIFTING LOSSES IN OTHER ACCOUNTS BY MAKING FALSE ENTRIES ON ACCOUNT NUMBER CHANGE REPORTS. RESPONDENTS ALSO FAILED TO TIMELY FILE A FORM U-5 WITH THE SECURITIES DIVISION WHICH FULLY SET FORTH THE CIRCUMSTANCES ATTENDANT TO THE MANAGER'S TERMINATION FROM EMPLOYMENT WITH THE FIRM. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/09/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: DEAN WITTER, WHILE NEITHER ADMITTING NOR DENYING THE ALLEGATIONS, ENTERED INTO A CONSENT ORDER THAT REQUIRED PAYMENT OF A $15,000 FINE AND $2,000 IN INVESTIGATION COSTS. DEAN WITTER WAS REQUIRED TO DEMONSTRATE THAT ADEQUATE PROCEDURES HAD BEEN IMPLEMENTED REGARDING SUPERVISION OF ITS AGENTS FOR THE PURPOSE OF PREVENTING FUTURE VIOLATIONS. Summary: SEE ITEMS #7 AND 12C. ****** REGULATORY ACTION (83 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/28/2000 NASD BrokerCheck October 14, 2005 Page 83 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/16/1992 Docket/ Case Number: Allegations: VIOLATIONS, SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. &&240.17A-3 AND 240.17A-4 THEREUNDER Current Status: Final Resolution: Order Resolution Date: 01/28/1992 Sanctions Ordered: Cease and Desist/Injunction Other Sanctions: MAINTAIN OR DEVELOP, IMPLEMENT AND, THEREAFTER, MAINTAIN POLICIES/PROCEDURES (P/PS) REASONABLY THAT ENSURE DEAN WITTER'S FUTURE COMPLIANCE WITH THE LAW. SUCH P/PS SHALL BE AVAILABLE FOR INSPECTION UPON SEC REQUEST. DEAN WITTER SHALL COMPLY WITH SUCH P/PS, WHICH MAY BE MODIFIED PROVIDED SUCH MODIFICATIONS ARE REASONABLY DESIGNED TO ENSURE DEAN WITTER'S FURTURE COMPLIANCE WITH THE LAW. Resolution Details: CIVIL PENALTY OF $100,000 Summary: [TOP] +3/12/92+ SEC NEWS DIGEST, ISSUE 92-11, DATED 01/16/1992 ADMINISTRATIVE PROCEEDINGS DISCLOSES: SEC TODAY ANNOUNCED ADMINISTRATIVE PROCEEDINGS INSTITUTED JOINTLY BY SEC, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) AND THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (FRB) AGAINST 98 REGISTERED BROKER-DEALERS, REGISTERED GOVERNMENT SECURITIES BROKERS AND/OR AND BANKS (RESPONDENTS); THE ISSUANCE OF SEC, OCC AND FRB ORDERS IMPOSING SANCTIONS, WHICH INCLUDE PROVISIONS DIRECTING THE RESPONDENTS TO CEASE AND DESIST (C/D) FROM COMMITTING FUTURE VIOLATIONS AND REQUIRING THE PAYMENT OF CIVIL PENALTIES TO THE US TREASURY OF $5,165,000; AND SEC?S ISSUANCE OF A REPORT PURSUANT TO SECTION 21(A) OF THE SECURITIES EXCHANGE ACT OF 1934 REGARDING THE DISTRIBUTION OF CERTAIN DEBT SECURITIES (DEBT) ISSUED BY GOVERNMENT-SPONSORED ENTERPRISES (GSE?S). THE ADMINISTRATIVE PROCEEDINGS RESULT FROM THE RESPONDENTS' ALLEGED VIOLATIONS OF CERTAIN BROKER-DEALER RECORD-KEEPING PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH THE RESPONDENTS' PARTICIPATION IN CERTAIN PRIMARY DISTRIBUTIONS GSE DEBT. +3/18/92+ SEC DOCKET VOLUME 50 NO. 12, DATED 01/28/1992 ADMINISTRATIVE FILE NO. 3-7646 PAGE 1210 & 1211 DISCLOSES: IT IS HEREBY ORDERED THAT DEAN WITTER SHALL C/D FROM COMMITTING OR CAUSING ANY VIOLATION, AND FROM COMMITTING OR CAUSING ANY FUTURE VIOLATIONS, SECTION 17(A) OF THE EXCHANGE ACT AND 17 C.F.R. &&240.17A-3 AND 240.17A-4 THEREUNDER (LAW) IN CONNECTION WITH ANY PRIMARY DISTRIBUTION GSE DEBT, SHALL PAY A CIVIL PENALTY OF $100,000 TO THE US TREASURY, AND SHALL CONTINUE TO MAINTAIN OR DEVELOP, IMPLEMENT AND, THEREAFTER, MAINTAIN POLICIES/PROCEDURES (P/PS) REASONABLY THAT ENSURE DEAN WITTER'S FUTURE COMPLIANCE WITH THE LAW. SUCH P/PS SHALL BE AVAILABLE FOR INSPECTION UPON SEC REQUEST. DEAN WITTER SHALL COMPLY WITH SUCH P/PS, WHICH MAY BE MODIFIED PROVIDED SUCH MODIFICATIONS ARE REASONABLY DESIGNED TO ENSURE DEAN WITTER'S FURTURE COMPLIANCE WITH THE LAW. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/16/1992 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 01/28/1992 Sanctions NASD BrokerCheck October 14, 2005 Page 84 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Ordered: Cease and Desist/Injunction Resolution Details: SEE ITEM #13 Summary: ON JANUARY 16, 1992, THE SEC ANNOUNCED ADMINISTRATIVE PROCEEDINGS INSTITUTED JOINTLY BY THE COMMISSION, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) AND THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (FRB) AGAINST 98 REGISTERED BROKER-DEALERS, REGISTERED GOVERNMENT SECURITIES BROKERS AND/OR AND BANKS (RESPONDENTS); THE ISSUANCE OF COMMISSION, OCC AND FRB ORDERS IMPOSING SANCTIONS, WHICH INCLUDE PROVISIONS DIRECTING THE RESPONDENTS TO CEASE AND DESIST FROM COMMITTING FUTURE VIOLATIONS AND REQUIRING THE PAYMENT OF CIVIL MONEY PENALTIES TO THE UNITED STATES TREASURY IN THE TOTAL AMOUNT OF $5,165,000; AND THE COMMISSION'S ISSUANCE OF A REPORT PURSUANT TO SECTION 21(A) OF THE SECURITIES EXCHANGE ACT OF 1934 REGARDING THE DISTRIBUTION OF CERTAIN DEBT SECURITIES ISSUED BY GOVERNMENT-SPONSORED ENTERPRISES. THE ADMINISTRATIVE PROCEEDINGS RESULT FROM THE RESPNDENTS' ALLEGED VIOLATIONS OF CERTAIN BROKER-DEALER AND GOVERNMENT SECURITIES BROKER-DEALER RECORD-KEEPING PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, DEAN WITTER AGREED TO CEASE AND DESIST FROM CERTAIN PRACTICES. ****** REGULATORY ACTION (84 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/26/1991 Initiated By: MN DEPARTMENT OF COMMERCE Date initiated: 09/26/1991 Docket/ Case Number: SE9005769/TMF Allegations: UNREGISTERED OFFERS OF SECURITIES Current Status: Final Resolution: Consent Resolution Date: 09/26/1991 Sanctions Ordered: Resolution Details: CONSENT TO PAY INVESTIGATIVE COSTS OF $10,000 Summary: DEAN WITTER OFFERED HALLLWOOD REALTY PARTNERS, LP TO RESIDENTS OF MINNESOTA AT A TIME WHEN IT WAS UNABLE TO DOCUMENT AN EXEMPTION FROM REGISTRATION IN VIOLATION OF MINN STAT CH 80A.08. THE FIRM CONSENTED TO PAY INVESTIGATIVE COSTS OF $10,000. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MINNESOTA DEPARTMENT OF COMMERCE Date initiated: 09/26/1991 Docket/ Case Number: SE9005769/TMF Allegations: ALLEGEDLY OFFERED UNREGISTERED SECURITIES FOR SALE IN MINNESOTA. Current Status: Final Resolution: Consent Resolution Date: 09/26/1991 Sanctions Ordered: Resolution NASD BrokerCheck October 14, 2005 Page 85 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: CONSENT TO PAY INVESTIGATIVE COSTS OF $10,000 Summary: DEAN WITTER SUPPOSEDLY OFFERED HALLWOOD REALTY PARTNERS, LP UNIT TO RESIDENTS OF MINNESOTA AT A TIME WHEN IT WAS UNABLE TO DOCUMENT AN EXEMPTION FROM REGISTRATION IN VIOLATION OF MINN STAT CH 80A.08. THE FIRM CONSENTED TO PAY INVESTIGATIVE COSTS OF $10,000. ****** REGULATORY ACTION (85 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/19/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/29/1991 Docket/ Case Number: MS-1093-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/19/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-1093-AWC (A) LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED MAY 29, 1991 AGAINST RESPONDENT MEMBER DEAN WITTER REYNOLDS, INC. ALLEGING VIOLATIONS OF PART VI, SECTION 2(d) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JULY 15, 1991 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 19, 1991. $1,000 FINE. ***$1,000.00 PAID ON 9/12/91 INVOICE #91-MS-1011*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/29/1991 Docket/ Case Number: MS-1093-AWC Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/19/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-1093-AWC (A) LETTER OF ACCEPTANCE, WAIVER AND CONSENT FIELD MAY 29, 1991 AGAINST RESPONDENT MEMBER DEAN WITTER REYNOLDS, INC. ALLEGING VIOLATIONS OF PART VI, SECTION 2(D) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JULY 15, 1991 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 19, 1991. $1,000.00 PAID ON 9/12/91. NASD BrokerCheck October 14, 2005 Page 86 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (86 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/18/1991 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/18/1991 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 07/18/1991 Sanctions Ordered: Censure Resolution Details: Summary: +8/6/91+ SEC NEWS DIGEST, ISSUE 91-143, DATED JULY 25, 1991 ADMINISTRATIVE PROCEEDINGS DISCLOSES; "DEAN WITTER REYNOLDS SANCTIONED"; THE COMMISSION ANNOUNCED THAT ON JULY 18 PUBLIC ADMINISTRATIVE PROCEEDINGS WERE INSTITUTED PURSUANT TO SECTION 15(b)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AGAINST DEAN WITTER REYNOLDS INC., A REGISTERED BROKER- DEALER. SIMULTANEOUSLY WITH THE INSTITUTION OF THE PROCEEDINGS, THE COMMISSION ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT WHEREIN RESPONDENT, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ORDER. THE ORDER FINDS THAT, FROM 1985 TO OCTOBER 1987, RESPONDENT FAILED REASONABLY TO SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPLOYED IN ITS FORT WORTH, TEXAS OFFICE WITH A VIEW TOWARD PREVENTING THEIR WILLFUL VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE EXCHANGE ACT. THE ORDER FURTHER FINDS THAT THE WILLFUL VIOLATIONS INCLUDED, AMONG OTHER THINGS, EXCESSIVE, UNAUTHORIZED, UNSUITABLE AND UNAPPROVED OPTIONS TRADING. IN ITS OFFER OF SETTLEMENT, DEAN WITTER CONSENTS TO BEING CENSURED AND UNDERTAKES TO ARTICULATED CERTAIN GUIDELINES FOR PERSONS CHARGED WITH SUPERVISING BRANCH MANAGERS AND TO MAINTAIN AN ADEQUATE AUDIT TRAIL. DEAN WITTER ALSO UNDERTAKES TO RETAIN AN INDEPENDENT CONSULTANT TO REVIEW AND MAKE RECOMMENDATIONS AS TO CERTAIN OF RESPONDENT'S COMPLIANCE POLICIES, PRACTICES AND PROCEDURES. IN ADDITION, DEAN WITTER UNDERTAKES TO DISTRIBUTE TO ALL EXISTING OPTIONS CUSTOMERS A WRITTEN RISK DISCLOSURE DOCUMENT DESCRIBING THE RISKS OF UNCOVERED OPTIONS WRITING. (REL. 34-29447) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/18/1991 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 07/18/1991 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: ON JULY 25, 1991 THE SEC ANNOUNCED THAT ON JULY 18 PUBLIC ADMINISTRATIVE PROCEEDINGS WERE INSTITUTED PURSUANT TO SECTION NASD BrokerCheck October 14, 2005 Page 87 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) 15(B)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AGAINST DEAN WITTER REYNOLDS, INC., A REGISTERED BROKER-DEALER. SIMULTANEOUSLY WITH THE INSTITUTION OF THE PROCEEDINGS, THE COMMISSION ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT WHEREIN RESPONDENT, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF AN ORDER. THE ORDER FINDS THAT FROM 1985 TO OCTOBER 1987, RESPONDENT FAILED REASONABLY TO SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPLOYED IN ITS FORT WORTH, TEXAS SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPLOYED IN ITS FORT WORTH, TEXAS SUPERVISE FOUR REGISTERED REPRESENTATIVES EMPOYED IN ITS FORT WORTH, TEXAS OFFICE WITH A VIEW TOWARD PREVENTING THEIR WILLFUL VIOLATIONS OF THE ANTIFRAUD PROVISIONSS OF THE EXCHANGE ACT. DEAN WITTER CONSENTS TO BEING CENSURED AND AGREED TO CERTAIN UNDERTAKINGS. (REL. 34-29447) ****** REGULATORY ACTION (87 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/21/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/21/1991 Docket/ Case Number: C11900021 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/21/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $70,000.00 Resolution Details: Summary: ON MARCH 21, 1991 THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT CASE ID. C11900021 (BOS-708-AWC) (DISTRICT NO. 11) SUBMITTED BY RESPONDENT DEAN WITTER REYNOLDS INC. WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $70,000 - (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE - IN CONTRAVENTION OF THE BOARD OF GOVERNORS FREE-RIDING AND WITHHOLDING INTERPRETATION, RESPONDENT MEMBER FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A COMMON STOCK AT THE PUBLIC OFFERING PRICE IN THAT SUCH SHARES WERE PLACED IN THE FIRM'S BRANCH OFFICE'S ERROR ACCOUNT AND SUBSEQUENTLY SOLD IN THE SECONDARY MARKET). ***$70,000.00 PAID ON 4/15/91 INVOICE #91-11-375*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/21/1991 Docket/ Case Number: C11900021 Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/21/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $70,000.00 Resolution NASD BrokerCheck October 14, 2005 Page 88 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: SEE ITEM #13 Summary: ON MARCH 21, 1991, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT CASE ID. C1190021 (BOS-708-AWC) (DISTRICT NO. 11) SUBMITTED BY RESPONDENT DEAN WITTER REYNOLDS, INC. WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $70,000-(ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-IN CONTRAVENTION OF THE BOARD OF GOVERNORS FREE-RIDING AND WIHTHOLDING INTERPRETATION, RESPONDENT MEMBER FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF A COMMON STOCK AT THE PUBLIC OFFERING PRICE IN THAT SHARES WERE PLACED IN BRANCH OFFICE'S ERROR ACCOUNT AND SUBSEQUENTLY SOLD IN THE SECONDARY MARKET).***$70,000.00 PAID ON 4/15/91 ****** REGULATORY ACTION (88 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/25/1991 Initiated By: VIRGINIA - STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 03/25/1991 Docket/ Case Number: SEC910008 Allegations: FAILED TO EXERCISE DILIQENT SUPERVISION OVER THE SECURITIES ACTIVITIES OF ITS AGENTS IN VIOLATION OF THE COMMISSION'S SECURITIES ACT RULES 303B, 303D.2 AND 303D.3 IN CONNECTING WITH OPTIONS TRADING ACTIVITIES IN A CUSTOMER'S ACCOUNT. Current Status: Final Resolution: Consent Resolution Date: 03/25/1991 Sanctions Ordered: Resolution Details: SETTLEMENT TO CLIENT IN THE AMOUNT OF $50,000. FIRM WAS FINED $5,000 INVESTIGATION COSTS. Summary: CONTACT HAZEL CHEATHAM, SENIOR BROKER-DEALER EXAMINER, 804-786-7751. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VIRGINIA-STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 03/25/1991 Docket/ Case Number: SEC910008 Allegations: ALLEGEDLY FAILED TO EXECRCISE DILIGENT SUPERVISION SUPERVISION OVER THE SECURITIES ACTIVITIES OF ITS AGENTS IN VIOLATION OF THE COMMISSION'S SECURITIES ACT RUELS 303B, 303D.2 AND 303D.3 IN CONNECTING WITH OPTIONS TRADING ACTIVITIES IN A CUSTOMER'S ACCOUNT. Current Status: Final Resolution: Consent Resolution Date: 03/25/1991 Sanctions Ordered: Resolution Details: FIRM WAS FINED $5,000 PLUS INVESTIGATION COSTS, IN ADDITON TO SETTLEMENT PAID TO THE CLIENT. Summary: SEE ITEM 12C. ****** REGULATORY ACTION (89 of 140) ****** NASD BrokerCheck October 14, 2005 Page 89 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 01/18/1991 Initiated By: VIRGINIA - STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 01/18/1991 Docket/ Case Number: SEC910003 Allegations: ALLEGED THAT DEAN WITTER REYNOLDS VIOLATED THE VIRGINIA SECURITIES ACT RULE 305A.3. IN THAT THE FIRM THROUGH ITS AGENT, LAWRENCE D. SCHMITT, RECOMMENDED AND SOLD A SECURITY TO A VIRGINIA RESIDENT WHICH WAS UNSUITABLE IN LIGHT OF THE OBJECTIVES OF THAT RESIDENT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/18/1991 Sanctions Ordered: Resolution Details: WITHOUT ADMITTING OR DENYING ALLEGATIONS, DEAN WITTER REYNOLDS, AGREED TO MAKE AN OFFER OF RESCISSION OF SALES TO THE VIRGINIA RESIDENT FOR A SECURITY RECOMMENDED AND SOLD BY THE AGENT, SCHMITT. Summary: CONTACT BRIAN SILVERMAN, BROKER-DEALER EXAMINER, 804-786-7751. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VIRGINIA-STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 01/18/1991 Docket/ Case Number: SEC91003 Allegations: ALLEGED THAT DEAN WITTER REYNOLDS VIOLATED THE VIRGINIA SECURITIES ACT RULE 305A.3 IN THAT THE FIRM THROUGH ITS AGENT RECOMMENDED AND SOLD A SECURITY TO A VIRGINIA RESIDENT WHICH WAS UNSUITABLE IN LIGHT OF THE OBJECTIVES OF THAT RESIDENT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/18/1991 Sanctions Ordered: Resolution Details: WITHOUT ADMITTING OR DENYING ALLEGATIONS, DEAN WITTER REYNOLDS, AGREED TO MAKE AN OFFER OF RESCISSION OF SALES TO THE VIRGINIA RESIDENT. Summary: SEE ITEMS 7 AND 12C. ****** REGULATORY ACTION (90 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/13/1989 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 02/13/1989 Docket/ Case Number: Allegations: NASD BrokerCheck October 14, 2005 Page 90 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Decision Resolution Date: 03/02/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: ^6/25/90^ SEC LITIGATION, ACTIONS AND PROCEEDINGS BULLETIN FOR THE QUARTER ENDING 6/30/89 (VOLUME 55, BULLETIN 02, PAGE 255) DISCLOSES: THE NEW YORK STOCK EXCHANGE FINED DEAN WITTER REYNOLDS INC. $1,000 ON MARCH 2ND, 1989 BASED ON A VIOLATION OF EXCHANGE RULE 132.30 AND FAILED TO SUBMIT AUDIT TRAIL DATA TO QUALIFIED CLEARING AGENCY REGARDING STOCK TRANS. FOR TRADE DATES OF 9/14-10/17/88. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 02/13/1989 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 03/02/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: THE NEW YORK STOCK EXCHANGE FINED DEAN WITTER REYNOLDS INC. $1,000 ON MARCH 2ND, 1989 BASED ON A VIOLATION OF EXCHANGE RULE 132.30 AND FAILURE TO SUBMIT AUDIT TRAIL DATE TO QUALIFIED CLEARING AGENCY REGARDING STOCK TRANS. FOR TRADE DATES OF 9/14-10/17/88. ****** REGULATORY ACTION (91 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/18/2004 Initiated By: KANSAS Date initiated: 02/07/1989 Docket/ Case Number: 84-0853 Allegations: ON FEBRUARY 7, 1989, THIS AGENCY, ISSUED A NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE SANCTIONS UNDER THE KANSAS SECURITIES ACT AGAINST RESPONDENT DEAN WITTER REYNOLDS, INC ("DWR") AND OTHER INDIVIDUALS (COLLECTIVELY, "RESPONDENTS"). THE ALLEGATIONS IN THE NOTICE OF INTENT ALLGED THAT AN INDIVIDUAL RESPONDENT MISSTATED INFORMATION ON INTERNAL DWR FORMS AND MEMOS THAT WERE USED BY DWR TO DISCHARGE ITS SUPERVISORY RESPONSIBILITIES. RESPONDENTS ENGAGED IN CHURNING OF CUSTOMER ACCOUNTS RESULTING IN EXCESSIVE COMMISSIONS TO BE PAID TO DWR AND THE INDIVIDUAL RESPONDENT. DWR EXERCISED UNAUTHORIZED DISCRETIONARY TRADING IN CUSTOMER ACCOUNTS AND AIDED AND ABETTED AN AGENT'S ACTIONS OF ENGAGING IN BUSINESS IN KANSAS WITHOUT BEING REGISTERED AS AN INVESTMENT ADVISOR WITH THE STATE OF KANSAS. DWR IN EFFECT RECOMMENDED, COUNSELED, OR NASD BrokerCheck October 14, 2005 Page 91 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ADVISED CLIENTS TO PURCHASE SECURITIES THAT WERE NOT SUITABLE OR APPROPRIATE FOR THE CLIENTS. THE INDIVIDUAL RESPONDENT MARKED TRADE TICKETS AS UNSOLICITED WHEN IN FACT THE TRADES WERE SOLICITED. DWR AND OTHER INDIVIDUAL RESPONDENTS FAILED TO SUPERVISE THE INDIVIDUAL RESPONDENT, AND DWR FAILED TO ESTABLISH COMPLIANCE PROCEDURES TO DETECT AND PREVENT THE TYPES OF VIOLATIONS WHICH WERE ALLEGED TO HAVE OCCURRED. Current Status: Final Resolution: Consent Resolution Date: 04/17/1990 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: ON APRIL 17, 1990, THIS AGENCY ISSUED A STIPULATION FOR CONSENT ORDER AND ORDER IMPOSING SANCTIONS WHICH ORDERED THAT DWR BE CENSURED AND PAY A FINE OF $50,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: KANSAS Date initiated: 02/07/1989 Docket/ Case Number: 84-0853 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 04/17/1990 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: SEE ITEM #13 Summary: ON APRIL 17, 1990 CONSENT ORDER; CENSURED AND FINED $50,000 BY THE STATE OF KANSAS. THE STATE ALLEGED THE FOLLOWING: THE FIRM AND CERTAIN INDIVIDUALS ENGAGED IN THE CHURNING OF CUSTOMER ACCOUNTS RESULTING IN EXCESSIVE COMMISSIONS TO BE PAID TO THE FIRM; THE FIRM OR A CERTAIN INDIVIDUAL EXERCISED UNAUTHORIZED DISCRETIONARY TRADING IN CUSTOMER ACCOUNTS, AND AIDED AND ABETTED ANOTHER INDIVIDUAL'S ACTIONS OF ENGAGING IN BUSINESS IN KANSAS WITHOUT BEING REGISTERED AS AN INVESTMENT ADVISOR WITH THE STATE; THE FIRM AND A CERTAIN INDIVIDUAL IN EFFECT RECOMMENDED, COUNSELED, OR ADVISED CLIENTS TO PURCHASE SECURITIES THAT WERE NOT SUITABLE OR APPROPRIATE FOR THE CLIENTS; THE FIRM AND TWO CERTAIN INDIVIDUALS FAILED TO SUPERVISE ANOTHER INDIVIDUAL, AND THE FIRM FAILED TO ESTABLISH COMPLIANCE PROCEDURES TO DETECT AND PREVENT CERTAIN TYPES OF VIOLATIONS. THE FIRM CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING THE STATE'S ALLEGATIONS. [DOCKET/CASE NO. 89E039/84-0853] ****** REGULATORY ACTION (92 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/25/2003 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 01/26/1990 Docket/ Case Number: 89-0148 NASD BrokerCheck October 14, 2005 Page 92 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: (1) FAILED ADEQUATELY TO SUPERVISE A REGISTERED REPRESENTATIVE OF DWR'S RIVERHEAD, NEW YORK PUBLIC CUSTOMER ACCOUNTS, WHICH TRANSACTIONS WERE EXCESSIVE IN FREQUENCY; AND (2) DWR FAILED ADEQUATELY TO SUPERVISE AN INDIVIDUAL BY ALLOWING HIM TO APPROVE 6 OF THE 7 PUBLIC CUSTOMER ACCOUNTS REFERRED TO ABOVE FOR OPTIONS TRADING WHILE HE WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL. Current Status: Final Resolution: Consent Resolution Date: 01/26/1990 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: THIS CASE WAS RESOLVED BY A LETTER OF CONSENT WHEREBY DEAN WITTER REYNOLDS., AN EXCHANGE MEMBER ORGANIZATION, DID NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. **SANCTION: A CENSURE FOR DWR AND A $7,500.00 JOINT AND SEVERAL FINE FOR DWR. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 01/26/1990 Docket/ Case Number: 89-0148 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 01/26/1990 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: JANUARY 26, 1990 - LETTER OF CONSENT; CENSURED AND FINED $7,500.00 BY THE CHICAGO BOARD OPTIONS EXCHANGE. WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE FOLLOWING FINDINGS: THE FIRM FAILED TO ADAQUATELY SUPERVISE A CERTAIN REGISTERED REPRESENTATIVE WHOSE TRANSACTIONS IN CERTAIN PUBLIC CUSTOMER ACCOUNTS WERE EXCESSIVE IN FREQUENCY; AND FAILED ADAQUATELY TO SUPERVISE ANOTHER EMPLOYEE BY ALLOWING SAID EMPLOYEE TO APPROVE SIX (6) OF THE SEVEN (7) ABOVE-REFERENCED PUBLIC CUSTOMER ACCOUNTS FOR OPTIONS TRADING WHILE SAID EMPLOYEE WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL. [DOCKET/CASE NO. 89-0148] ****** REGULATORY ACTION (93 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: MINNESOTA Date initiated: 08/14/1989 Docket/ Case Number: SE 8902374 Allegations: DEAN WITTER REYNOLDS,INC. FAILED TO DELIVER SECURITIES IN A NASD BrokerCheck October 14, 2005 Page 93 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) REASONABLE TIME AFTER A WRITTEN REQUEST BY THE CLIENT. VIOLATION OF MINN. STAT. S80A.07, SUBD. 1(10)(1988). Current Status: Final Resolution: Decision Resolution Date: 08/14/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: RESPONDENT WAS FINED $1,000.00 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MINNESOTA Date initiated: 08/14/1989 Docket/ Case Number: SE 8902374 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 08/14/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: DEAN WITTER REYNOLDS, INC. ALLEGEDLY FAILED TO DELIVER SECURITIES IN A REASONABLE TIME AFTER A WRITTEN REQUEST BY THE CLIENT; FINED $1,000.00 FOR VIOLATION OF MINN. STAT. S80A.07, SUBD. 1(10)(1998). DOCKET/CASE NO. SE8902374, DATED 8/14/89. ****** REGULATORY ACTION (94 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/29/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/16/1988 Docket/ Case Number: MS-674-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/29/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-674-AWC(A): LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED APRIL 16, 1988 AGAINST DEAN WITTER REYNOLDS, INC. ALLEGING VIOLATIONS OF ARTICLE III, NASD BrokerCheck October 14, 2005 Page 94 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SECTION 27 OF SCHEDULE D IN THAT RESPONDENT FAILED TO INSTITUTE SUPERVISORY PROCEDURES DESIGNED TO ENFORCE THE RULES AND PROCEDURES OF SOES. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JANUARY 18, 1989 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON JUNE 29, 1989. $2000 FINE ***$2,000.00 PAID ON 3/21/90 INVOICE #89-MS-587*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/16/1988 Docket/ Case Number: MS-674-AWC Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/29/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: SEE ITEM #13 Summary: JUNE 29, 1989 - ACCEPTANCE, WAIVER AND CONSENT; FINED $2,000 BY THE NASD FOR VIOLATIONS OF ARTICLE III, SECTION 27 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, THE FIRM CONSENTED TO THE FOLLOWING FINDINGS: THE FIRM FAILED TO INSTITUTE SUPERVISORY PROCEDURES DESIGNED TO ENFORCE THE RULES AND PROCEDURES OF SOES (THE SMALL ORDER EXECUTIONS SYSTEM). [NASD MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-674-AWC(A)] ****** REGULATORY ACTION (95 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: TENNESSEE Date initiated: 08/17/1988 Docket/ Case Number: 12.6-A-88-0323J Allegations: RESPONDENT USED AN UNREGISTERED AGENT AND VIOLATED A PREVIOUS ORDER OF THE COMMISSIONER. Current Status: Final Resolution: Decision Resolution Date: 08/17/1988 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $5,000.00 Resolution Details: A FINE AGAINST DEAN WITTER REYNOLDS, INC. WAS ISSUED ON 8-17-88. RESPONDENT WAS ORDERED TO PAY A FINE OF $5,000.00 AND WAS ORDERED TO CEASE AND DESIST VIOLATING THE TN SECURITIES ACT. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 14, 2005 Page 95 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Date Reported: Initiated By: TENNESSEE Date initiated: 08/17/1988 Docket/ Case Number: 12.6-A-88-0323J Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 08/17/1988 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $5,000.00 Resolution Details: SEE ITEM #13 Summary: FINED $5,000 AND ORDERED BY THE STATE OF TENNESSEE TO CEASE AND DESIST VIOLATING THE TENNESSEE SECURITIES ACT. THE STATE ALLEGED THAT THE FIRM USED AN UNREGISTERED AGENT AND VIOLATED A PREVIOUS ORDER OF THE TENNESSEE SECURITIES COMMISSSIONER. [DOCKET/CASE NO. 12.06-A-88-0323J] ****** REGULATORY ACTION (96 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/25/2003 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 11/21/1988 Docket/ Case Number: 88-0105 Allegations: DURING AN APPROXIMATE 1 YEAR PERIOD, AT LEAST 19 PUBLIC CUSTOMER ACCOUNTS AT DEAN WITTER TRADED OPTIONS PRIOR TO EACH ACCOUNT BEING APPROVED FOR SUCH TRADING BY A REGISTERED OPTIONS PRINCIPAL. Current Status: Final Resolution: Consent Resolution Date: 11/21/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Resolution Details: THIS CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT WHEREBY DEAN WITTER REYNOLDS INC. DID NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. IN ACCEPTING THE OFFER OF SETTLEMENT, THE BUSINESS CONDUCT COMMITTEE CONSIDERED PRIOR SIMILAR CONDUCT. SANCTION: A $10,000 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 11/21/1988 Docket/ Case Number: 88-0105 Allegations: SEE ITEM #13 NASD BrokerCheck October 14, 2005 Page 96 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 11/21/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; FINED $10,000 BY THE CHICAGO BOARD OPTIONS EXCHANGE FOR THE FOLLOWING: DURING AN APPROXIMATE ONE YEAR PERIOD, AT LEAST 19 PUBLIC CUSTOMER ACCOUNTS AT THE FIRM ALLEGEDLY TRADED OPTIONS PRIOR TO EACH ACCOUNT BEING APPROVED FOR SUCH TRADING BY A REGISTERED OPTIONS PRINCIPAL. THE FIRM CONSENTED TO THE FINE WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS. [DOCKET/CASE NO. 88-0105] ****** REGULATORY ACTION (97 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/25/2003 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 12/05/1988 Docket/ Case Number: 88-0057 (G) Allegations: DEAN WITTER FAILED ADEQUATELY TO SUPERVISE 6 REGISTERED REPRESENTATIVE ("RR") IN THAT THE RRS EFFECTED NUMEROUS UNSUITABLE AND EXCESSIVE OPTION TRANSACTIONS IN NUMEROUS PUBLIC CUSTOMER ACCOUNTS. Current Status: Final Resolution: Consent Resolution Date: 12/05/1988 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Resolution Details: THIS CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT WHEREBY DEAN WITTER REYNOLDS, INC. DID NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. SANCTION: A CENSURE AND A $12,500 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 12/05/1988 Docket/ Case Number: 88-057 (G) Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 12/05/1988 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Resolution NASD BrokerCheck October 14, 2005 Page 97 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: SEE ITEM #13 Summary: THE CHICAGO BOARD OPTIONS EXCHANGE FOR THE FOLLOWING: THE FIRM ALLEGEDLY FAILED TO ADAQUATELY SUPERVISE SIX (6) REGISTERED REPRESENTATIVES IN THAT THE REPRESENTATIVES EFFECTED NUMEROUS UNSUITABLE AND EXCESSIVE OPTION TRANSACTIONS IN NUMEROUS PUBLIC CUSTOMER ACCOUNTS. THE FIRM CONSENTED TO THE SANCTIONS WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS. [DOCKET/CASE NO. 88-0057 (G)] ****** REGULATORY ACTION (98 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/25/2003 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 12/05/1988 Docket/ Case Number: 88-0054 Allegations: DURING AN APPROXIMATE 14 MONTH PERIOD, DEAN WITTER 1) ACCEPTED ORDERS FROM AT LEAST 53 CUSTOMER ACCOUNTS PRIOR TO THE ACCOUNTS BEING APPROVED FOR OPTIONS TRADING BY A REGISTERED OPTIONS PRINCIPAL;2) ALLOWED AT LEAST 5 BRANCH OFFICES, WHICH HAVE MORE THAN 3 REGISTERED REPRESENTATIVES, TO TRANSACT AN OPTIONS BUSINESS WITH THE PUBLIC WHEN THE BRANCH OFFICE MANAGER OF EACH OFFICE WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL; 3) FAILED TO ENTER 56 OPTION COMPLAINTS INTO ITS CENTRAL COMPLAINT FILE;AND 4) FAILED ADEQUATELY TO SUPERVISE ITS NON-MEMBER CUSTOMER BUSINESS BY ALLOWING THE CONDUCT DESCRIBED ABOVE. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/05/1988 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: THIS CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT WHEREBY DEAN WITTER REYNOLDS INC. DID NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. SANCTION: A CENSURE AND A $20,000 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 12/05/1988 Docket/ Case Number: 88-0054 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 12/05/1988 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: SEE ITEM #13 Summary: THIS CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT WHEREBY DEAN WITTER REYNOLDS, INC. DID NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. DURING AN APPROXIMATE 14 MONTH PERIOD, NASD BrokerCheck October 14, 2005 Page 98 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) DEAN WITTER 1) ACCEPTED ORDERS FROM AT LEAST 53 CUSTOMER ACCOUNTS PRIOR TO THE ACCOUNTS BEING APPROVED FOR OPTIONS TRADING BY A REGISTERED OPTIONS PRINCIPAL; 2) ALLOWED AT LEAST 5 BRANCH OFFICES, WHCIH HAS MORE THAN 4 REGISTERED REPRESENTATIVES, TO TRANSACT AN OPTIONS BUSINESS WITH THE PUBLIC WHEN THE BRANCH OFFICE MANAGER OF EACH OFFICE WAS NOT QUALIFIED AS A REGISTERED OPTIONS PRINCIPAL; 3) FAILED TO ENTER 56 OPTION COMPLAINTS INTO ITS CENTRAL COMPLAINT FILE; AND 4) FAILED ADEQUATELY TO SUPERVISE ITS NON-MEMBER CUSTOMER BUSINESS BY ALLOWING THE CONDUCT DESCRIBED ABOVE. SANCTION: A CENSURE AND A $20,000 FINE. DOCKET/CASE #88-0054, DATED DECEMBER 5, 1988 ****** REGULATORY ACTION (99 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: IDAHO Date initiated: 10/18/1988 Docket/ Case Number: 1988-7-64 Allegations: DEAN WITTER REYNOLDS,INC., ADMITTED TO TWO SALES OF UNREGISTERED SECURITIES IN IDAHO. Current Status: Final Resolution: Consent Resolution Date: 10/18/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Other Sanctions: VOLUNTARY RESCISSION Resolution Details: VOLUNTARY RESCISSION WAS OFFERED BY FIRM. AGREEMENT AND ORDER IMPOSED $1,000 FINE, FIRM AGREED TO TAKE STEPS TO PREVENT FUTURE SALES OF UNREGISTERED SECURITIES. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: IDAHO Date initiated: 10/18/1988 Docket/ Case Number: 1988-7-64 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 10/18/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: DEAN WITTER REYNOLDS, INC. ADMITTED TO TWO SALES OF UNREGISTERED SECURITIES IN IDAHO. VOLUNTARY RECISSSION WAS OFFERED BY THE FIRM. AGREEMENT AND ORDER IMPOSED $1,000 FINE, FIRM AGREED TO TAKE STEPS TO PREVENT FUTURE SALES OF UNREGISTERED SECURITIES. DOCKET/CASE NO. 1988-7-64, DATED OCTOBER 18, 1988. NASD BrokerCheck October 14, 2005 Page 99 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (100 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/14/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 09/30/1988 Docket/ Case Number: Allegations: FAILED TO REASONABLY SUPERVISE THE BRANCH OFFICE MANAGER AND A REGISTERED REPRESENTATIVE OF ITS WAYZATA, MINNESOTA OFFICE, WITH A VIEW TOWARD PREVENTING VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE SECURITIES LAWS. SPECIFICALLY, THE COMMISSION FOUND THAT DEAN WITTER FAILED TO IMPLEMENT AND ENFORCE TRADING RESTRICTIONS IN THE SECURITIES OF CONTINENTAL MATERIALS CORPORATI Current Status: Final Resolution: Consent Resolution Date: 10/07/1988 Sanctions Ordered: Censure Other Sanctions: UNDERTAKINGS Resolution Details: CENSURE AND UNDERTAKINGS TO: (1) DEVISE AND MAINTAIN POLICIES AND PROCEDURES TO DETECT AND MONITOR CUSTOMER AND FIRM SECURITY CONCENTRATIONS; (2) ENFORCE COMPLIANCE DEPARTMENT DIRECTIVES RELATING TO IDENTIFIED CONCENTRATIONS OF SECURITIES; (3) PROHIBIT ALL REGISTERED REPRESENTATIVES OF ITS QAYZATA OFFICE FROM SOLICITING NEW ACCOUNTS FOR A 1-WEEK PERIOD; AND (4) ESTABLISH A REVIEW COMMITTEE TO REVIEW EXISTING POLICIES AND PROCEDURES IN THE AFORMENTIONED AREAS AND SUGGEST THE IMPLEMENTATION OF NEW ONES, IF NECESSARY. (REL. 34-261 Summary: [TOP] 10/19/88-SEC NEWS DIGEST ISSUE 88-194, 10/7/88 - SEC INSTITUTED ADMINISTRATIVE PROCEEDINGS UNDER SECTION 15(B)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AGAINST DEAN WITTER REYNOLDS, INC. THE SEC FOUND DEAN WITTER FAILED TO REASONABLY SUPERVISE THE BRANCH OFFICE MANAGER AND A REGISTERED REPRESENTATIVE OF ITS WAYZATA, MINNESOTA OFFICE, WITH A VIEW TOWARD PREVENTING VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE SECURITIES LAWS. SPECIFICALLY, THE COMMISSION FOUND THAT DEAN WITTER FAILED TO IMPLEMENT AND ENFORCE TRADING RESTRICTIONS IN THE SECURITIES OF CONTINENTAL MATERIALS CORPORATION. SIMULTANEOUSLY, THE COMMISSION ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT IN WHICH IT CONSENTED, WITHOUT ADMITTING OR DENYING THE COMMISSION'S FINDINGS, TO A CENSURE, AND UNDERTAKINGS TO: (1) DEVISE AND MAINTAIN POLICIES AND PROCEDURES TO DETECT AND MONITOR CUSTOMER AND FIRM SECURITY CONCENTRATIONS; (2) ENFORCE COMPLIANCE DEPARTMENT DIRECTIVES RELATING TO IDENTIFIED CONCENTRATIONS OF SECURITIES; (3) PROHIBIT ALL REGISTERED REPRESENTATIVES OF ITS QAYZATA OFFICE FROM SOLICITING NEW ACCOUNTS FOR A 1-WEEK PERIOD; AND (4) ESTABLISH A REVIEW COMMITTEE TO REVIEW EXISTING POLICIES AND PROCEDURES IN THE AFORMENTIONED AREAS AND SUGGEST THE IMPLEMENTATION OF NEW ONES, IF NECESSARY. (REL. 34-26144) *** 11/2/88-SEC NEWS DIGEST ISSUE 88-199, 10/17/88, DISCLOSES: CHICAGO REGIONAL OFFICE ANNOUNCED A CHANGE IN THE DATE ON WHICH BEGINS THE 1-WEEK PERIOD DURING WHICH THE COMMISSION ORDERED DEAN WITTER REYNOLDS, INC. TO PROHIBIT THE REGISTERED REPRESENTATIVES AT ITS WAYZATA, MINNESOTA BRANCH OFFICE FROM SOLICITING NEW ACCOUNTS. THE PROHIBITION PERIOD, ORIGINALLY SCHEDULED TO BEGIN ON OCTOBER 10 BUT CHANGED TO OCTOBER 17 AT DEAN WITTER'S REQUEST, WAS ONE OF THE UNDERTAKINGS CONTAINED IN DEAN WITTER'S OFFER OF SETTELMENT, WHICH WAS ACCEPTED BY THE COMMISSION ON 9/30. (REL. 34-26179) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURTIES AND EXCHANGE COMMISSION Date initiated: 09/30/1988 NASD BrokerCheck October 14, 2005 Page 100 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 10/07/1988 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: CONSENTED TO A CENSURE BY THE SECURITIES AND EXCHANGE COMMISSION AND CONSENTED TO THE FOLLOWING UNDERTAKINGS: (1) TO DEVISE AND MAINTAIN POLICIES AND PROCEDURES TO DETECT AND MONITOR CUSTOMER AND FIRM SECURITY CONCENTRATIONS; (2) TO ENFORCE COMPLIANCE DEPARTMENT DIRECTIVES RELATING TO IDENTIFIED CONCENTRATIONS OF SECURITIES; (3) TO PROHIBIT ALL REGISTERED REPRESENTATIVES OF A CERTAIN BRANCH OFFICE FROM SOLICITING NEW ACCOUNTS FOR A ONE-WEEK PERIOD, BEGINNING OCTOBER 17, 1988; AND (4) TO ESTABLISH A REVIEW COMMITTEE TO REVIEW EXISTING POLICIES AND PROCEDURES IN THE AFOREMENTIONED AREAS AND SUGGEST THE IMPLEMENTATION OF NEW ONES, IF NECESSARY. THE FIRM CONSENTED TO THE CENSURE AND UNDERTAKINGS WITHOUT ADMITTING OR DENYING THE FOLLOWING FINDINGS BY THE COMMISSION: THE FIRM FAILED TO REASONABLY SUPERVISE THE BRANCH OFFICE MANAGER AND A REGISTERED REPRESENTATIVE OF A CERTAIN BRANCH OFFICE, WITH A VIEW TOWARD PREVENTING VIOLATIONS OF THE ANTIFRAUD PROVISIONS OF THE SECURITIES LAWS. SPECIFICALLY, THE COMMISSION FOUND THAT THE FIRM FAILED TO IMPLEMENT AND ENFORCE TRADING RESTRICTIONS IN THE SECURITIES OF A CERTAIN CORPORATION. [SEC RELEASE NOS. 34-26144 AND 34-26179] ****** REGULATORY ACTION (101 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/30/1987 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 12/30/1987 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 12/30/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: Summary: 5/6/88-AMERICAN STOCK EXCHANGE WEEKLY BULLETIN DATED MARCH 18, 1988 DISCLOSES: DEAN WITTER REYNOLDS, INC., A REGULAR MEMBER ORGANIZATION, AND BRENTON OGDEN, A FORMER REGISTERED EMPLOYEE OF DEAN WITTER WERE DISCIPLINED FOR VIOLATING: EXCHANGE RULES 320 AND 411 BY FAILING TO DILIGENTLY SUPERVISE ANOTHER REGISTERED EMPLOYEE AND EFFECTIVELY PREVENT HIM FROM EFFECTING UNSUITABLE TRANSACTIONS IN A CUSTOMER'S ACCOUNT. IN ADDITION, DEAN WITTER VIOLATED EXCHANGE RULES 460 AND 462 AND SECTION 220.4 OF REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BY PERMITTING A CUSTOMER TO ESTABLISH SECURITIES POSITIONS IN HER ACCOUNT WITHOUT REQUIRING HER TO DEPOSIT FUNDS SUFFICIENT TO MEET THE INITIAL MARGIN REQUIREMENTS ON THOSE POSITIONS, AND PERMITTING HER TO MAINTAIN SECURITIES POSITIONS IN HER ACCOUNT WITHOUT REQUIRING HER TO DEPOSTI FUNDS SUFFICIENT TO MEET THE MARGIN MAINTENANCE REQUIREMENT ON THOSE POSITIONS. DEAN WITTER AND OGDEN WERE NASD BrokerCheck October 14, 2005 Page 101 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) JOINTLY AND SEVERELY FINED $15,000. DEAN WITTER WAS CENSURED. BOTH SETTLED THE CHARGES WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS. <><>NOTE: PER THE EXCHANGE, THE SANCTION NOTED HEREIN WAS IMPOSED ON DECEMBER 30, 1987. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 12/30/1987 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 12/30/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT: CENSURED AND FINED $15,000.00 BY THE AMERICAN STOCK EXCHANGE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: VIOLATION OF EXCHANGE RULES 320 AND 411 BY FAILING TO DILIGENTLY SUPERVISE A REGISTERED EMPLOYEE, AND VIOLATION OF EXCHANGE RULES 460 AND 462 AND SECTION 220.4 OF REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BY PERMITTING A CUSTOMER TO ESTABLISH AND MAINTAIN SECURITIES POSITIONS IN AN ACCOUNT WITHOUT REQUIRING CUSTOMER TO DEPOSIT FUNDS SUFFICIENT TO MEET THE MARGIN MAINTENANCE REQUIREMENT ON THOSE POSITIONS. ****** REGULATORY ACTION (102 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/29/1988 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/29/1988 Docket/ Case Number: NEW-569-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/29/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: ON FEBRUARY 29, 1988, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NEW-569-AWC (DISTRICT NO. 5) SUBMITTED BY RESPONDENTS DEAN WITTER REYNOLDS INC., ROBERT H. KREMER AND RICHARD C. BREAKSTONE WAS ACCEPTED; THEREFORE, THEY ARE FINED $5,000.00, JOINTLY AND SEVERALLY (ARTICLE III, SECTIONS 1, 21 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT BREAKSTONE OPENED ACCOUNTS FOR SEVENTEEN (17) PUBLIC CUSTOMERS WHO WERE CLIENTS OF AN UNREGISTERED FINANCIAL CONSULTANT, AND THE ACCOUNTS WERE OPENED AND SECURITIES TRANSACTIONS WERE EFFECTED THEREIN ON THE BASIS OF INSTRUCTIONS GIVEN BY EMPLOYEES OF NASD BrokerCheck October 14, 2005 Page 102 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) SAID FINANCIAL CONSULTANT AND RESPONDENT BREAKSTONE FAILED AND NEGLECTED TO OBTAIN TRADING AUTHORIZATIONS OR POWER OF ATTORNEY DOCUMENTS EVIDENCING THAT THESE EMPLOYEES WERE AUTHORIZED TO PLACE SECURITIES ORDERS FOR THE CUSTOMERS;PURCHASED ON MARGIN FOR THE ACCOUNT OF TWO PUBLIC CUSTOMERS AND FAILED AND NEGLECTED TO OBTAIN A MARGIN AGREEMENT SIGNED BY THE CUSTOMERS OR ANY INDIVIDUAL AUTHORIZED TO ACT ON THEIR BEHALF; RESPONDENT MEMBER, ACTING THROUGH RESPONDENT KREMER, FAILED AND NEGLECTED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES ENSURING THAT RESPONDENT BREAKSTONE OBTAINED THE REQUISITE TRADING AUTHORIATIONS/POWER OF ATTORNEY AND MARGIN AGREEMENTS RELATIVE TO SAID CUSTOMER ACCOUNTS). ******** $5,000 PAID J&S 3-22-88. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/29/1988 Docket/ Case Number: NEW-569-AWC Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 02/29/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: SEE ITEM #13 Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT; CENSURED AND FINED $5,000.00 BY THE NASD FOR VIOLATION OF ARTICLE III, SECTIONS 1, 21 AND 27 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: FAILED AND NEGLECTED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES. [COMPLAINT #NEW-569-AWC] ****** REGULATORY ACTION (103 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: MASSACHUSETTS Date initiated: 01/27/1987 Docket/ Case Number: E-86-59 Allegations: THE RESPONDENT, DEAN WITTER, DID TRANSACT BUSINESS USING AN UNREGISTERED AGENT IN THE OFFER AND/OR SALE OF SECURITIES IN THE COMMONWEALTH OF MASSACHUSETTS VIOLATING SECTION 201A OF THE MASSACHUSETTS UNIFORM SECURITIES ACT. Current Status: Final Resolution: Decision Resolution Date: 01/27/1987 Sanctions Ordered: Resolution Details: THE RESPONDENT SHALL PAY $425 TO COVER ADMINISTRATIVE COSTS AND REVISE SUPERVISORY PROCEDURES REGARDING REGISTRATION. Summary: *********************************** NASD BrokerCheck October 14, 2005 Page 103 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS Date initiated: 01/27/1987 Docket/ Case Number: E-86-59 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 01/27/1987 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: CENSURED AND FINED $425.00 BY THE STATE OF MASSACHUSETTS FOR VIOLATING SECTION 201A OF THE MASSACHUSETTS UNIFORM SECURITIES ACT - TRANSACTING BUSINESS USING AN UNREGISTERED AGENT IN THE OFFER AND/OR SALE OF SECURITIES IN THE COMMONWEALTH OF MASSACHUSETTS. [DOCKET #E-86-59] ****** REGULATORY ACTION (104 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/05/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/05/1987 Docket/ Case Number: NY-4059-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/05/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,500.00 Resolution Details: Summary: ON JUNE 5, 1987, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NY-4059-AWC (DISTRICT NO. 12) SUBMITTED BY RESPONDENT DEAN WITTER REYNOLDS, INC. WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $2,500.00 (ARTICLE III, SECTIONS 1 AND 33 OF THE RULES OF FAIR PRACTICE - CONFIRMATIONS ISSUED FOR OPTIONS TRANSACTIONS FOR PERIOD NOVEMBER AND DECEMBER, 1985 DISCLOSED THE FIRM'S CAPACITY IN ALL CASES TO BE PRINCIPAL WHEN, IN FACT, THE FIRM ACTED AS AGENT; CERTAIN CUSTOMER OPTION ACCOUNTS DISCLOSED THAT THE FIRM DID NOT INDICATE ROP APPROVAL PRIOR TO EFFECTING OPTIONS TRANSACTIONS; AND, FAILED TO QUALIFY FOUR BRANCH OFFICE MANAGERS AS REGISTERED OPTIONS PRINCIPALS). $2,500 PAID 5/5/89 - DEPOSIT #196 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/05/1987 Docket/ Case Number: NY-4059-AWC NASD BrokerCheck October 14, 2005 Page 104 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: SEE ITEM #13 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/05/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,500.00 Resolution Details: SEE ITEM #13 Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT; CENSURED AND FINED $2,500 BY THE NASD FOR VIOLATION OF ARTICLE III, SECTIONS 1 AND 33 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: CONFIRMATIONS ISSUED FOR OPTIONS TRANSACTIONS DISCLOSED FIRM'S CAPACITY IN ALL CASES TO BE PRINCIPAL WHEN, IN FACT, THE FIRM ACTED AS AGENT; DID NOT INDICATE REGISTERED OPTIONS PRINCIPAL APPROVAL PRIOR TO EFFECTING OPTIONS TRANSACTIONS; AND FAILED TO QUALIFY CERTAIN BRANCH OFFICE MANAGERS AS REGISTERED OPTIONS PRINCIPALS. [COMPLAINT #NY-4059-AWC] ****** REGULATORY ACTION (105 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: VIRGINIA Date initiated: 07/20/1987 Docket/ Case Number: SEC870076 Allegations: THE VIRGINIA STATE CORPORATION COMMISSION (SCC) HAS ISSUED A "RULE TO SHOW CAUSE ORDER" BASED ON THE FINDINGS OF AN INVESTIGATION BY THE SCC'S SECURITIES DIVISION. DEAN WITTER REYNOLDS, INC. IS BEING ORDERED TO APPEAR BEFORE THE SCC ON NOVEMBER 23, 1987, FOR A HEARING. THE FIRM MUST SHOW WHY IT SHOULD NOT BE PERMANENTLY ENJOINED FROM VIOLATING THE PROVISIONS OF VIRGINIA SECURITIES LAW, PENALIZED FOR ALLEGED VIOLATIONS, PAY THE ACTUAL COSTS OF THE INVESTIGATION, OR BE SUBJECT TO SUCH OTHER ACTIONS AS THE COMMISSION MAY DEEM APPROPRIATE.THE SCC'S DIVISION OF SECURITIES CLAIMS THAT THE BROKERAGE FIRM FAILED TO DILIGENTLY SUPERVISE ITS EMPLOYEE. THE DIVISION ALLEGES THAT DEAN WITTER SHOULD HAVE BECOME AWARE OF ITS EMPLOYEE'S ACTIONS BY VARIOUS MEANS, AND THAT DEAN WITTER REYNOLDS, INC. AND ITS BRANCH MANAGER VIOLATED THE FIRM'S OWN SUPERVISORY PROCEDURES AND SYSTEMS. IN ADDITION, THE DIVISION'S INVESTIGATION FINDS THAT AN EMPLOYEE OF DEAN WITTER REYNOLDS, INC. WORKING IN THE RICHMOND BRANCH OFFICE APPARENTLY TRANSACTED BUSINESS AS AN AGENT WITHOUT BEING REGISTERED UNDER THE VIRGINIA SECURITIES ACT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 03/08/1988 Sanctions Ordered: Disgorgement/Restitution Other Sanctions: MODIFY PROCEDURES RELATING TO CHECK DELIVERY TO CUSTOMERS BY REPRESENTATIVES. [3] INTERNALLY AUDIT NO LESS FREQUENTLY THAN EVERY 6 MONTHS FOR THE NEXT 2 YEARS Resolution Details: DEAN WITTER REYNOLDS, INC. SETTLED AN INVESTIGATION INITIATED IN JULY BY ENTERING INTO AN ORDER WITH THE VIRGINIA STATE CORPORATION COMMISSION. DEAN WITTER REYNOLDS, INC. WITHOUT ADMITTING OR DENYING ALLEGATIONS CONTAINED IN A RULE TO SHOW CAUSE ISSUED JULY 20, 1987 AGREED TO: [1] MAKE RESTITUTION (INCLUDING INTEREST) TO CUSTOMERS WHOSE ACCOUNTS SUSTAINED LOSSES TO FUNDS BEING MISAPPROPRIATED BY A FORMER REGISTERED EPRESENTATIVE. [2] MODIFY PROCEDURES RELATING TO CHECK DELIVERY TO CUSTOMERS BY REPRESENTATIVES. [3] INTERNALLY AUDIT NASD BrokerCheck October 14, 2005 Page 105 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) NO LESS FREQUENTLY THAN EVERY 6 MONTHS FOR THE NEXT 2 YEARS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VIRGINIA Date initiated: 07/20/1987 Docket/ Case Number: SEC870076 Allegations: SEE ITEM #13 Current Status: Final Resolution: Stipulation and Consent Resolution Date: 03/08/1988 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: CONSENT ORDER ENTERED INTO WITH THE VIRGINIA STATE CORPORATION COMMISSION. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: FIRM FAILED TO DILIGENTLY SUPERVISE ITS EMPLOYEE; EMPLOYEE TRANSACTED BUSINESS WHILE UNREGISTERED. THE FIRM WAS ORDERED TO MAKE RESTITUTION, MODIFY PROCEDURES RELATING TO CHECK DELIVERY TO CUSTOMERS BY REPRENTATIVES, AND SUBMIT FREQUENT AUDIT REPORTS. [CONSENT ORDER #SEC870076] ****** REGULATORY ACTION (106 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/02/1987 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/02/1987 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 03/02/1987 Sanctions Ordered: Censure Resolution Details: Summary: 3/6/87, SEC NEWS DIGEST ISSUE 87-37, DATED 3/2/87 DISCLOSED THAT THE COMMSSION ORDERED PUBLIC ADMINISTRATIVE PROCEEDINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AGAINST DEAN WITTER REYNOLDS INC. (REGISTRANT), A REGISTERED BROKER-DEALER WITH HEADQUARTERS IN NEW YORK CITY. THE COMMISSION ALSO SIMULTANEOUSLY ACCEPTED REGISTRANT'S OFFER OF SETTLEMENT (OFFER). BY ITS OFFER, REGISTRANT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ALLOWED THE COMMISSION TO FIND THAT REGISTRANT WILFULLY VIOLATED THE CURRENCY TRANSACTION REPORTING PROVISIONS OF THE EXCHANGE ACT (RULE 17a-8), IN THAT REGISTRANT FAILED TO FILE APPROXIMATELY 38 CURRENCY TRANSACTION REPORTS TOTALING APPROXIMATELY $1,062,234. REGISTRANT ALSO CONSENTED TO A CENSURE AND AGREED TO COMPLY WITH CERTAIN UNDERTAKINGS DESIGNED TO PREVENT THE RECURRENCE OF SIMILAR VIOLATIONS. (REL. 34-24143) *********************************** NASD BrokerCheck October 14, 2005 Page 106 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 03/02/1987 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 03/02/1987 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; CENSURED BY THE SEC. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: WILLFULLY VIOLATED THE CURRENCY TRANSACTION REPORTING PROVISIONS OF THE EXCHANGE ACT (RULE 17A-8) [RELEASE #34-24143] ****** REGULATORY ACTION (107 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: MISSOURI Date initiated: 11/07/1986 Docket/ Case Number: 10-86-78 Allegations: UNK Current Status: Final Resolution: Consent Resolution Date: 11/07/1986 Sanctions Ordered: Censure Resolution Details: THE COMMISSIONER, DEAN WITTER REYNOLDS, ENTERED AN ORDER WHEREBY RESPONDENTS (1) WERE CENSURED; AND (2) SHALL OFFER A RESCISSION TO ONE MISSOURI INVESTOR WITHIN 60 DAYS OF THE DATE OF ENTRY OF THE ORDER.RESPONDENT DEAN WITTER REYNOLDS SHALL ALSO INCLUDE A STATEMENT ADVISING ITS ACCOUNT EXECUTIVES OF THE IMPORTANCE OF ACCURATELY RESPONDING TO QUESTION 22I ON FORM U4 WITH EVERY COPY OF THE FORM PROVIDED TO ACCOUNT EXECUTIVES PREPARING TO REGISTER IN MO. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MISSOURI Date initiated: 11/07/1986 Docket/ Case Number: 10-86-78 Allegations: SEE ITEM #13 Current Status: Final NASD BrokerCheck October 14, 2005 Page 107 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 11/07/1986 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: CENSURED BY THE STAE OF MISSOURI ORDERED TO OFFER RESCISSION TO ONE MISSOURI INVESTOR, AND ADVISE ITS ACCOUNT EXECUTIVES OF THE IMPORTANCE OF ACCURATELY RESPONDING TO CERTAIN QUESTIONS ON FORM U-4. ****** REGULATORY ACTION (108 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/03/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/30/1985 Docket/ Case Number: NY-3032 Allegations: Current Status: Final Resolution: Consent Resolution Date: 08/03/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: NASD COMPLAINT NO. NY-3032 FILED 8/30/85 BY DISTRICT NO. 12 AGAINST DEAN WITTER REYNOLDS, INC., RICHARD BLUMENCRANZ AND JAMES J. REID, ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 18 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT REID EFFECTED SEVENTY-ONE TRANSACTIONS IN FIFTEEN CUSTOMER ACCOUNTS WITHOUT THE KNOWLEDGE OR CONSENT OF SAID CUSTOMERS AND, IN AN EFFORT TO CONCEAL HIS UNAUTHORIZED ACTIVITY FROM THE CUSTOMERS, MISREPRESENTED THE STATUSOF THEIR SECURITIES ACCOUNTS TO THEM; AND, RESPONDENTS MEMBER AND BLUMENCRANZ FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF RESPONDENT REID. DECISION RENDERED MAY 28, 1987, WHEREIN RESPONDENT REID IS CENSURED, FINED $15,000.00 AND BARRED FROM ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY. IF NO FURTHER ACTION, DECISION IS FINAL JULY 11, 1987. A SEPARATE DECISION WILL BE RENDERED WITH REGARD TO THE RESPONDENTS MEMBER AND BLUMENCRANZ. *******JULY 11, 1987 - DECISION IS FINAL. DECISION RENDERED AUGUST 3, 1987, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS MEMBER AND BLUMENCRANZ WAS ACCEPTED; THEREFORE, RESPONDENT BLUMENCRANZ IS CENSURED AND RESPONDENT MEMBER IS CENSURED AND FINED $7,500.00. $7,500 FINE PAID 9/29/87 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/27/2001 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 08/30/1985 Docket/ Case Number: NY-3032 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent NASD BrokerCheck October 14, 2005 Page 108 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Date: 08/03/1987 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; CENSURED AND FINED $7,500.00 BY THE NASD FOR VIOLATION OF ARTICLE III, SECTIONS, 1, 18, AND 27 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO FINDING OF FAILURE TO PROPERLY SUPERVISE AN AGENT. [COMPLAINT #NY-3032] ****** REGULATORY ACTION (109 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/27/1985 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 10/18/1985 Docket/ Case Number: 85-19 Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/18/1985 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: NEW YORK STOCK EXCHANGE WEEKLY BULLETIN, DISCIPLINARY ACTIONS, OCTOBER 18, 1985: DEAN WITTER REYNOLDS INC. SUBMITTED A STIPULATION OF FACTS AND CONSENT TO PENALTY WHICH WAS ACCEPTED BY AN EXCHANGE HEARING PANEL. WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTED TO A FINDING THAT IT: VIOLATED EXCHANGE RULE 345.13 BY FAILING TO REPORT PROMPTLY TO THE EXCHANGE TERMINATIONS OF REGISTERED REPRESENTATIVES; ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT IT DID NOT FILE AMENDED TERMINATION NOTICES WITH THE EXCHANGE WHEN REQUIRED; VIOLATED EXCHANGE RULE 345(a)(1) BY PERMITTING UNREGISTERED PERSONS TO REGULARLY PERFORM THE DUTIES CUSTOMARILY PERFORMED BY A REGISTERED REPRESENTATIVE; AND VIOLATED EXCHANGE RULE 342(b) BY FAILING TO PROVIDE FOR APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL TO ASSURE COMPLIANCE WITH EXCHANGE REPORTING AND REGISTRATION REQUIREMENTS. THE HEARING PANEL IMPOSED THE PENALTY CONSENTED TO BY DEAN WITTER REYNOLDS, INC. OF A CENSURE AND A $10,000 FINE. (DECISION NO. 85-19) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 10/18/1985 Docket/ Case Number: 85-19 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 10/18/1985 NASD BrokerCheck October 14, 2005 Page 109 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: SEE ITEM #13 Summary: CONSENT ORDER; CENSURED AND FINED $10,000 BY THE NEW YORK STOCK EXCHANGE FOR VIOLATION OF RULE 345.13 BY FAILING TO PROMPTLY REPORT TERMINATION OF REGISTERED REPRESENTATIVES; AND FAILING TO FILE AMENDED TERMINATION NOTICES; VIOLATION OF EXCHANGE RULE 345(A)(1) BY PERMITTING UNREGISTERED PERSONS TO PERFORM DUTIES CUSTOMARILY PERFORMED BY REGISTERED REPRESENTATIVES; AND VIOLATION OF EXCHANGE RULE 342(B) BY FAILING TO PROVIDE FOR APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL. THE FIRM CONSENTED TO THE FINDINGS AND SANCTIONS WITHOUT ADMITTING OR DENYING GUILT. [DECISION #85-19] ****** REGULATORY ACTION (110 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/10/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/23/1985 Docket/ Case Number: TEX-401 Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/10/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,850.00 Resolution Details: Summary: NASD COMPLAINT #TEX-401-FILED JULY 23, 1985-DISTRICT #6: ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE IN THAT DEAN WITTER REYNOLDS, INC. AND ROBERT L. HAZELWOOD FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF SHARES WHICH TRADED AT IMMEDIATE PREMIUMS IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO HAZELWOOD IN CONTRAVENTION THE BOARD OF GOVERNORS' INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING. JANUARY 13, 1986 - AMENDED COMPLAINT FILED TO ADD MICHAEL CHARLES KAPLAN AND DAVID ALLEN MERSBACH AS RESPONDENTS AND THE ALLEGATIONS THAT THE RESPONDENT MEMBER, ACTING THROUGH THESE INDIVIDUAL RESPONDENTS, FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES OF RESPONDENT HAZELWOOD IN VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE. ENTERED 7/28/86: DECISION RENDERED JUNE 10, 1986, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE RESPONDENTS WAS ACCEPTED; THEREFORE, RESPONDENTS MEMBER AND HAZELWOOD ARE CENSURED AND FINED $1,850.00 EACH, AND RESPONDENTS KAPLAN AND MERSBACH ARE CENSURED AND FINED $500.00, EACH. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/23/1985 Docket/ Case Number: TEX-401 Allegations: SEE ITEM #13 Current Status: Final NASD BrokerCheck October 14, 2005 Page 110 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 06/10/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,850.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; CENSURED AND FINED $1850.00 BY THE NASD FOR VIOLTAION OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF SHARES WHICH TRADED AT IMMEDIATE PREMIUMS IN THE SECONDARY MARKET IN THAT THE SHARES WERE SOLD IN CONTRAVENTION OF THE BOARD OF GOVERNORS' INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING, AND FAILURE TO ADEQUATELY SUPERVISE THE ACTIVITIES OF AN AGENT [COMPLAINT #TEX-401] ****** REGULATORY ACTION (111 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: HAWAII Date initiated: 09/13/1984 Docket/ Case Number: UNK Allegations: SECURITIES SALES BY UNREGISTERED INDIVIDUALS. Current Status: Final Resolution: Consent Resolution Date: 09/13/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: FINED $5000. BROKER/DEALER WAS ALSO REQUIRED "TO OFFER TO RESCIND ALL TRANSACTIONS MADE BY EACH UNREGISTERED SALESPERSON DURING THE PERIOD OF JANUARY 1, 1984 UP TO AND INCLUDING APRIL 30, 1984." COPIES OF THESE RESCISSION LETTERS MUST BE FILED WITH THE BUSINESS REGISTRATION DIVISION OF THE DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: HAWAII Date initiated: 09/13/1984 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 09/13/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 NASD BrokerCheck October 14, 2005 Page 111 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: SEE ITEM #13 Summary: FINED $5,000.00 BY THE STATE OF HAWAII FOR SALES OF SECURITIES BY UNREGISTERED INDIVIDUALS. REQUIRED TO MAKE AN OFFER TO RESCIND ALL TRANSACTIONS MADE BY EACH UNREGISTERED SALESPERSON. ****** REGULATORY ACTION (112 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/02/1985 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/22/1985 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/02/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: 8/5/85: A-SC & B-SC SUMMARY COMPLAINT FILED JANUARY 22, 1985 BY DISTRICT #10 AND ACCEPTED JUNE 19, 1985, WHEREIN RESPONDENT DEAN WITTER REYNOLDS ,INC. IS FINED $500.00 (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE - RESPONDENT RECEIVED INSTRUCTIONS FOR THE TRANSFER OF AN IRA SECURITIES ACCOUNT TO ANOTHER BROKER- DEALER IN JANUARY 1984, AND FAILED TO COMPLETE SUCH TRANSFER UNTIL AUGUST 1984.) IF NO FURTHER ACTION, DECISION IF FINAL AUGUST 2, 1985. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/22/1985 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 08/02/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: SEE ITEM #13 Summary: 8/5/85: A-SC & B-SC SUMMARY COMPLAINT FILED JANUARY 22, 1985 BY DISTRICT #10 AND ACCEPTED JUNE 19, 1985, WHEREIN RESPONDENT DEAN WITTER REYNOLDS, INC. IS FINED $500.00 (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE-RESPONDENT RECEIVED INSTRUCTIONS FOR THE TRANSFER OF AN IRA SECURITIES ACCOUNT TO ANOTHER BROKER-DEALER IN JANUARY 1984, AND FAILED TO COMPLETE SUCH TRANSFER UNTIL AUGUST 1984.) ****** REGULATORY ACTION (113 of 140) ****** NASD BrokerCheck October 14, 2005 Page 112 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 05/02/2003 Initiated By: WISCONSIN Date initiated: 07/08/1985 Docket/ Case Number: X-2055 (L) Allegations: VIOLATING SEC. 551.31(2), WIS. STATS. CASE NO. X-2055(L). Current Status: Final Resolution: Consent Resolution Date: 07/08/1985 Sanctions Ordered: Censure Resolution Details: DEAN WITTER REYNOLDS INC. STIPULATED TO A CONSENT ORDER OF CENSURE FOR VIOLATING SEC. 551.31(2), WIS. STATS. CASE NO. X-2055(L). Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/27/2001 Initiated By: WISCONSIN Date initiated: 07/08/1985 Docket/ Case Number: X-2055(L) Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 07/08/1985 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: EFFECTIVE 7/8/85 - DEAN WITTER REYNOLDS, INC. STIPULATED TO A CONSENT ORDER OF CENSURE FOR VIOLATING SEC. 551.31(2), WIS. STATS. CASE NO. X-2055(L). ****** REGULATORY ACTION (114 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/19/1982 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 11/19/1982 Docket/ Case Number: 83-91 Allegations: Current Status: Final Resolution: Consent Resolution Date: 11/19/1982 Sanctions NASD BrokerCheck October 14, 2005 Page 113 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine Monetary Amount: $25,000.00 Resolution Details: Summary: DEAN WITTER REYNOLDS INC.,A MEMBER ORGANIZATION,SUBMITTED A STIPULATION OF FACTS AND CONSENT TO PENALTY WHICH WAS ACCEPTED BY AN EXCHANGE HEARING PANEL.FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING AND WITHOUT ADMITTING OR DENYING GUILT,THE FIRM CONSENTED TO A FINDING THAT IT VIOLATED REGULATION 240.15c3-3(e)PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934 IN THAT IT DID NOT MAKE A REQUIRED DEPOSIT TO A "RESERVE BANK ACCOUNT" ON A TIMELY BASIS,AND EXCHANGE RULE 342(a) IN THAT IT DID NOT PROPERLY CONTROL OR SUPERVISE ITS ACCOUNTING DEPARTMENT TO PREVENT THE ABOVE FAILURE TO ACT PURSUANT TO REGULATION 15c3-3(e)THE FIRM IS REQUIRED TO MAKE WEEKLY COMPUTATIONS TO DETERMINE WHETHER OR NOT IT IS REQUIRED TO MAKE A DEPOSIT TO A "SPECIAL RESERVE BANK ACCOUNT FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS".THE FIRM TIMELY PREPARED ITS CALCULATION PURSUANT TO HTE ABOVE REGULATION AS OF FRIDAY 11/12/82.THE CALCULATION INDICATED THAT THE FIRM WAS REQUIRED TO MAKE A DEPOSIT ON TUESDAY 11/19/82. THE FIRM DID NOT MAKE A DEPOSIT UNTIL 11/19/82 WHEN IT PLACED $50,100,000 INTO A RESERVE BANK ACCOUNT TO SATISFY ITS DEPOSIT REQUIREMENTS. THE FIRM CONTENDS THAT ITS FAILURE TO MAKE A TIMELY DEPOSIT WAS CAUSED BY A FAILURE OF ITS ACCOUNTING DEPT. TO BELIEVE THEIR INITIAL COMPUTATIONS SINCE THE FIRM'S PREVIOUS COMPUTATION OF 11/5/82 INDICATED THAT DEBITS EXCEEDED CREDITS BY $70,000,000.THEREFORE THE EXCESS CREDIT OF $50,100,000 AS OF 11/12/82 REPRESENTED A SWING OF $120,000,000 IN A PERIOD OF ONE WEEK.(THE FIRM'S EXCESS OF DEBITS OVER CREDITS ON A WEEKLY BASIS FOR 1982 AVERAGED GREATER THAN $144,000,000. FOR 1981 THE AVERAGE EXCESS OF DEBITS OVER CREDITS WAS GREATER THAT $96,000,000.) IN ADDITION, A RESERVE BANK ACCOUNT DEPOSIT HAD NOT BEEN REQUIRED OF THE FIRM FOR APPROXIMATELY TWO YEARS. THE FIRM CONTENDS THAT MEMBERS OF THE ACCOUNTING STAFF CONTINUED TO REVIEW ALL ASPECTS OF THEIR CALCULATIONS TO ASCERTAIN WHETHER AN ERROR HAD BEEN*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 11/19/1982 Docket/ Case Number: 83-91 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 11/19/1982 Sanctions Ordered: Monetary/Fine Monetary Amount: $25,000.00 Resolution Details: SEE ITEM #13 Summary: CONSENT ORDER; FINED $25,000.00 BY THE NEW YORK STOCK EXCHANGE FOR VIOLATING REGULATION 240.153C3-3(E) PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934 IN THAT IT DID NOT MAKE A REQUIRED DEPOSIT TO A "RESERVE BANK ACCOUNT" ON A TIMELY BASIS, AND EXCHANGE RULE 342(A) IN THAT THE FIRM DID NOT PROPERLY CONTROL OR SUPERVISE ITS ACCOUNTING DEPARTMENT TO PREVENT THE ABOVE FAILURE TO ACT PURSUANT TO REGULATION 15C3-3(E). THE FIRM CONSENTED TO THE FINDINGS AND SANCTIONS WITHOUT ADMITTING OR DENYING GUILT. [DECISION 83-91] ****** REGULATORY ACTION (115 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/18/2004 NASD BrokerCheck October 14, 2005 Page 114 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: IOWA Date initiated: 03/02/1984 Docket/ Case Number: C84-03-60 Allegations: DEAN WITTER ALLOWED AN UNREGISTERED AGENT TO OPEN CUSTOMER ACCOUNTS AND SELL SECURITIES TO IOWA RESIDENTS. SPECIFIC ALLEGATIONS WERE WILLFULL VIOLATION OR FAILURE TO COMPLY WITH A PROVISIONS OF THE ACT AND FAILURE TO REASONABLY SUPERVISE AN AGENT. Current Status: Final Resolution: Decision Resolution Date: 12/10/1984 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: DEAN WITTER WAS CENSURED AND FINED $1,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: IOWA Date initiated: 03/02/1984 Docket/ Case Number: C84-03-60 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 12/10/1984 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,000.00 Resolution Details: SEE ITEM #13 Summary: CENSURED AND FINED $1,000.00 BY THE STATE OF IOWA FOR ALLOWING UNREGISTERED AGENT TO OPEN CUSTOMER ACCOUNTS AND SELL SECURITIES TO IOWA RESIDENTS, AND FAILURE TO REASONABLY SUPERVISE. ****** REGULATORY ACTION (116 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/10/1983 Initiated By: WISCONSIN Date initiated: 05/10/1983 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 05/10/1983 NASD BrokerCheck October 14, 2005 Page 115 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Sanctions Ordered: Censure Resolution Details: Summary: WISCONSIN SECURITIES BULLETIN, VOL. 11, NO. 6, JUNE 1983. IN A CONSENT ORDER ISSUED ON MAY 10, 1983, THE COMMISSIONER CENSURED DEAN WITTER REYNOLDS AND SUSPENDED THE WISCONSIN LICENSE OF HARRY F. VILLEC FOR NINETY DAYS, COMMENCING MAY 19, 1983. THE ORDER WAS BASED ON STAFF ALLEGATIONS THAT FROM JUNE 25, 1976 TO JULY 31, 1981, VILLEC RECOMMENDED TRADES TO A CUSTOMER AND EFFECTED AT LEAST 261 SECURITIES TRANSACTIONS IN A CUSTOMER'S ACCOUNT, WHICH WERE EXCESSIVE IN FREQUENCY AND UNSUITABLE GIVEN THE CUSTOMER'S FINANCIAL RESOURCES. THE STAFF FURTHER ALLGED THAT FROM FEBRUARY 10, 1978 TO MARCH 19, 1981, VILLEC RECOMMENDED THAT A CUSTOMER PURCHASE SECURITIES ON MARGIN IN 69 TRANSACTIONS WITHOUT REASONABLE GROUNDS TO BELIEVE THAT THE RECOMMENDATIONS WERE SUITABLE GIVEN THE INFORMATION FURNISHED BY THE CUSTOMER CONCERNING THE CLIENT'S FINANCIAL NEEDS AND OBJECTIVES. THE STAFF ALLEGED THAT DEAN WITTER FAILED TO SUPERVISE REASONABLY THE ACTIVITIES OF VILLEC. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WISCONSIN Date initiated: 05/10/1983 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 05/10/1983 Sanctions Ordered: Censure Resolution Details: SEE ITEM #13 Summary: CONSENT ORDER; CENSURED BY THE STATE OF WISCONSIN FOR FAILURE TO REASONABLY SUPERVISE THE ACTIVITIES OF AN AGENT. ****** REGULATORY ACTION (117 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/15/1982 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/15/1982 Docket/ Case Number: SF-938 Allegations: Current Status: Pending Summary: COMPLAINT SF-938 FILED 12/15/82 DIST. #2N *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. Date initiated: 12/15/1982 Docket/ Case Number: SF-938 NASD BrokerCheck October 14, 2005 Page 116 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Pending Summary: ****** REGULATORY ACTION (118 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/28/1982 Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 06/22/1982 Docket/ Case Number: 82-26 Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/22/1982 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: PHILADELPHIA EXCHANGE BULLETIN JUNE 28, 1982 ISSUE 82-26 THE BUSINESS CONDUCT COMMITTEE (THE "COMMITTEE") ISSUED A DECISION AND ORDER, EFFECTIVE JUNE 22, 1982, WHICH FINED DEAN WITTER REYNOLDS INC. ("DEAN WITTER"), MEMBER ORGANIZATION, AND MICHAEL D. WABER ("WABER"), MEMBER, JOINTLY AND SEVERALLY IN THE AMOUNT OF $1,500 FOR VIOLATIONS OF EXCHANGE RULE 1001. IN THE COMPLAINT ACTION, DEAN WITTER AND WABER MADE AN OFFER OF SETTLEMENT BY WHICH, FOR THE SOLE PURPOSE OF SETTLING THIS PROCEEDING AND WITHOUT EITHER ADMITTING OR DENYING THE CHARGES, DEAN WITTER AND WABER CONSENTED TO THE FINDING THAT EITHE WABER, ACTING ON BEHALF OF DEAN WITTER, OR DEAN WITTER ITSELF, CAUSED DEAN WITTER TO EXCEED THE SAID POSITION LIMITS RULE WITHOUT HAVING SOUGHT OR OBTAINED THE PRIOR WRITTEN APPROVAL OF THE EXCHANGE TO SO EXCEED THIS RULE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 06/22/1982 Docket/ Case Number: 82-26 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 06/22/1982 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; FINED $1,500.00 BY THE PHILADELPHIA EXCHANGE FOR VIOLATIONS OF EXCHANGE RULE 100. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: EXCEEDED THE POSITION LIMITS RULE NASD BrokerCheck October 14, 2005 Page 117 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) WITHOUT HAVING SOUGHT OR OBTAINED PRIOR WRITTEN APPROVAL OF THE EXCHANGE TO SO EXCEED THIS RULE. ****** REGULATORY ACTION (119 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/21/1982 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/08/1980 Docket/ Case Number: ATL-628 Allegations: Current Status: Final Resolution: Decision Resolution Date: 04/21/1982 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000.00 Resolution Details: Summary: COMPLAINT #ATL-628 FILED 08/08/80 DIST. #7 DECISION 01/29/82 CAF $2,000 04/21/82 AMENDED MEMO; CAF $2,000, ASSESSED COSTS $2,355. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/08/1980 Docket/ Case Number: ATL-628 Allegations: SEE ITEM #13 Current Status: Final Resolution: Decision Resolution Date: 04/21/1982 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000.00 Resolution Details: SEE ITEM #13 Summary: CENSURED, FINED $2,000.00 AND ASSESSED COSTS OF $2,355.00 BY THE NASD. [COMPLAINT #ATL-628] ****** REGULATORY ACTION (120 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/29/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 11/07/1981 Docket/ Case Number: NASD BrokerCheck October 14, 2005 Page 118 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: THE FIRM FAILED REASONABLY TO SUPERVISE SUWARA WITH A VIEW TOWARD PREVENTING SUWARA'S VIOLATION OF SECURITIES LAWS, THEREBY ALLOWING SUWARA TO WILFULLY VIOLATE THE ANTIFRAUD PROVISIONS OF THE SEC ACT OF 1933 AND THE SEC ACT OF 1934 DURING THE PERIOD OF OCTOBER 1979 TO MAY 1980 IN CONNECTION WITH THE OFFER AND SALE OF THE COMMON STOCK OF VICTORIA STATION, INC. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/14/1982 Sanctions Ordered: Resolution Details: . SEC?S REMEDIAL ORDER DIRECTS THE FIRM TO IMPLEMENT CERTAIN PROCEDURES RELATING TO THE APPROVAL BY THE FIRM OF A REGISTERED REPRESENTATIVE'S SOLICITATION OF STOCKS NOT RECOMMENDED BY THE FIRM. THE FIRM IS ALSO REQUIRED TO COMPLY WITH UNDERTAKINGS TO REVIEW AND REVISE, IF APPROPRIATE, CERTAIN OTHER SUPERVISORY PROCEDURES. Summary: [TOP] SEC NEWS DIGEST 12/03/1981 NO. 81-231 SEC ANNOUNCED THE INSTITUTION OF PUBLIC ADMINISTRATIVE PROCEEDINGS AGAINST ERNEST F. SUWARA, THOMAS W. CARPENTER, AND DEAN WITTER (THE FIRM). SEC ALLEGES THAT SUWARA WILFULLY VIOLATED THE ANTIFRAUD PROVISIONS OF THE SEC ACTOF 1933 AND THE SEC ACT OF 1934 DURING THE PERIOD OF OCTOBER 1979 TO MAY 1980. IN CONNECTION WITH THE OFFER AND SALE OF THE COMMON STOCK OF VICTORIA STATION, INC. THE ORDER FURTHER ALLEGES THAT CARPENTER AND THE FIRM FAILED REASONABLY TO SUPERVISE SUWARA WITH A VIEW TOWARD PREVENTING SUWARA'S VIOLATION OF SECURITIES LAWS. A HEARING WILL BE HELD TO DETERMINE MERITS OF ALLEGATIONS AND IF ANY REMEDIAL ACTIONS WOULD BE APPROPRIATE. SEC NEWS DIGEST, 04/14/1982, ISSUE 82-71 THE FIRM HAS ACCEPTED OFFERS OF SETTLEMENT (SETTLEMENT OFFERS) FROM ERNEST E. SUWARA, THOMAS W. CARPENTER, AND THE FIRM IN CONNECTION WITH SEC?S 11/17/1981 ORDER FOR PROCEEDINGS. BASED UPON THESE SETTLEMENT OFFERS, IN WHICH THEY NEITHER ADMITTED OR DENIED THE ALLEGATIONS IN SEC?S ORDER FOR PROCEEDINGS, SEC ENTERED FINDINGS AND AN ORDER IMPOSING REMEDIAL SANCTIONS (REMEDIAL ORDER). SEC FOUND THAT SUWARA WILFULLY VIOLATED SECTION 17(A) OF THE SECURITIES ACT OF 1933 (SECURITIES ACT) AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT) AND RULE 10B-5 THEREUNDER. IN ITS REMEDIAL ORDER, SEC SIMULTANEOUSLY FOUND THAT CARPENTER AND THE FIRM HAD FAILED REASONABLY TO SUPERVISE SUWARA, AS ALLEGED IN THE ORDER FOR PROCEEDINGS. SEC?S REMEDIAL ORDER DIRECTS THE FIRM TO IMPLEMENT CERTAIN PROCEDURES RELATING TO THE APPROVAL BY THE FIRM OF A REGISTERED REPRESENTATIVE'S SOLICITATION OF STOCKS NOT RECOMMENDED BY THE FIRM. THE FIRM IS ALSO REQUIRED TO COMPLY WITH UNDERTAKINGS TO REVIEW AND REVISE, IF APPROPRIATE, CERTAIN OTHER SUPERVISORY PROCEDURES. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 11/07/1981 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/14/1982 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: OFFER OF SETTLEMENT; SEC REMEDIAL ORDER ISSUED. WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, CONSENTED TO THE FOLLOWING FINDINGS: FAILURE TO REASONABLY SUPERVISE AN AGENT. THE FIRM WAS ORDERED TO IMPLEMENT CERTAIN PROCEDURES RELATING TO THE APPROVAL BY THE FIRM OF A REGISTERED REPRESENTATIVE'S SOLICITATION OF STOCKS NOT RECOMMENDED BY THE NASD BrokerCheck October 14, 2005 Page 119 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) FIRM. THE FIRM WAS ALSO REQUIRED TO COMPLY WITH UNDERTAKINGS TO REVIEW AND REVISE, IF APPROPRIATE, CERTAIN OTHER SUPERVISORY PROCEDURES. [RELEASE #34-18623] ****** REGULATORY ACTION (121 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/06/1982 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 02/06/1982 Docket/ Case Number: 81-115 Allegations: Current Status: Final Resolution: Consent Resolution Date: 02/06/1982 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $60,000.00 Resolution Details: Summary: NEW YORK STOCK EXCHANGE DECISION, FEBRUARY 6, 1982, NO. 81-115 DEAN WITTER REYNOLDS SUBMITTED A STIPULATION OF FACTS AND CONSENT TO PENALTY TO THE NYSE FOR THE PURPOSE OF SETTLING THE DISCIPLINARY PROCEEDING. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE HEARING PANEL FINDING THAT THE FIRM VIOLATED SECTION 10(B) OF THE SEC ACT OF 1934 AND RULES 10B-6 AND 10B-7 THEREUNDER, IN THAT THE FIRM, WHILE ACTING AS MANAGING UNDERWRITER IN A DISTRIBUTION OF SHARES OF A COMMON STOCK, INITIATED STABILIZING TRANSACTIONS IN THE SECURITY AT A PRICE HIGHER THAN THE LAST REPORTED INDEPENDENT BID. THE FIRM WAS FOUND TO HAVE VIOLATED EXCHANGE RULE 342 IN THAT, AS THE UNDERWRITER, IT FAILED TO PROVIDE FOR AND/OR IMPLEMENT APPROPRIATE PROCEDURES FOR INTERNAL SUPERVISION AND CONTROL TO ENSURE ITS COMPLIANCE WITH SECTION 10B OF THE SEC ACT OF 1934 AND RULES 10B-6 AND 10B-7 THEREUNDER. THE FIRM CONSENTED TO THE PENALTY IMPOSED BY THE EXCHANGE OF A CENSURE, A $60,000 FINE AND ANCILLARY REQUIREMENTS, WHICH REQUIRED THE FIRM TO IMPLEMENT REVISED PROCEDURES TO INSURE COMPLIANCE WITH SEC RULE 10B-6 AND 10B-7. NOTE: THE NAME OF COMMON STOCK INVOLVED WAS NOT MENTIONED IN THE HEARING PANEL DECISION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 02/06/1982 Docket/ Case Number: 81-115 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 02/06/1982 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $60,000.00 Resolution Details: SEE ITEM #13 Summary: NEW YORK STOCK EXCHANGE DECISION, FEBRUARY 6, 1982 NO. 81-115 DEAN WITTER REYNOLDS SUBMITTED A STIPULATION OF FACTS AND NASD BrokerCheck October 14, 2005 Page 120 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) CONSENT TO PENALTY TO THE NYSE FOR THE PURPOSE OF SETTLING THE DISCIPLINARY PROCEEDING. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE HEARING PANEL FINDING THAT THE FIRM VIOLATED SECTION 10(B) OF THE SEC ACT OF 1934 AND RULES 10B-6 AND 10B-7 THEREUNDER, IN THAT THE FIRM, WHILE ACTING AS MANAGING UNDERWRITER IN A DISTRIBUTION OF SHARES OF A COMMON STOCK, INITIATED STABILIZING TRANSACTIONS IN THE SECURITY AT A PRICE HIGHER THAN THE LAST REPORTED INDEPENDENT BID. THE FIRM WAS FOUND TO HAVE VIOLATED EXCHANGE RULE 342 IN THAT, AS THE UNDERWRITER, IT FAILED TO PROVIDE FOR AND/OR IMPLEMENT APPROPRIATE PROCEDURES FOR INTERNAL SUPERVISION AND CONTROL TO ENSURE ITS COMPLIANCE WITH SECTION 10B OF THE SEC ACT OF 1934 AND RULES 10B-6 AND 10B-7 THEREUNDER. THE FIRM CONSENTED TO THE PENALTY IMPOSED BY THE EXCHANGE OF A CENSURE, A $60,000 FINE AND ANCILLARY REQUIREMENTS, WHICH REQUIRED THE FIRM TO IMPLEMENT REVISED PROCEDURES TO INSURE COMPLIANCE WIHT SEC RULE 10B AND 10B-7. ****** REGULATORY ACTION (122 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/11/1982 Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 11/13/1981 Docket/ Case Number: SB82-2 Allegations: Current Status: Final Resolution: Decision Resolution Date: 11/13/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Resolution Details: Summary: PHILADELPHIA EXCHANGE, JANUARY 11, 1982, SB82-2. AN EXCHANGE HEARING PANEL ISSUED A DECISION EFFECTIVE NOVEMBER 13, 1981, WHICH FINED DEAN WITTER REYNOLDS AND MICHAEL WABER SEPARATELY IN THE AMOUNT OF $200 AND FOUND THEM JOINTLY AND SEVERALLY TO HAVE VIOLATED EXCHANGE RULE 1001. BY EXCEEDING THE POSITION LIMITS RULE ON NOVEMBER 3, 1980 WITHOUT HAVING SOUGHT OR OBTAINED THE PRIOR WRITTEN APPROVAL OF THE EXCHANGE. COSTS OF THE HEARING WERE IMPOSED ON THE RESPONDENTS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 11/13/1981 Docket/ Case Number: SB82-2 Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 11/13/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution NASD BrokerCheck October 14, 2005 Page 121 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (123 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/24/1981 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 12/24/1981 Docket/ Case Number: 81-0082 Allegations: Current Status: Final Resolution: Consent Resolution Date: 12/24/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,500.00 Resolution Details: Summary: CHICAGO BOARD OPTIONS EXCHANGE, INC. FILE NO. 81-0082, ISSUED DECEMBER 24, 1981. THE BUSINESS CONDUCT COMMITTEE HAS ACCEPTED AN OFFER OF SETTLEMENT SUBMITTED BY DEAN WITTER REYNOLDS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS MADE BY THE EXCHANGE'S STAFF. THE EXCHANGE'S STAFF ALLEGED THAT DURING THE PERIOD OF JANUARY 1, 1979 THROUGH SEPTEMBER 30, 1980 FAILED TO PROPERLY CONDUCT A NON-MEMBER CUSTOMER BUSINESS IN THAT: THE FIRM PERMITTED CUSTOMERS TO TRADE LISTED OPTIONS WITHOUT BRANCH OFFICE MANAGER OR REGISTERED OPTIONS PRINCIPAL APPROVAL; AND PERMITTED CUSTOMERS TO TRADE LISTED OPTIONS WITHOUT REGISTERED OPTION PRINCIPAL APPROVAL. THE BUSINESS COMMITTEE FOUND THAT DEAN WITTER'S ACTION VIOLATED EXCHANGE RULE 9.7 (A) AND (B) AND ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT THAT IT BE FINED IN THE AMOUNT OF $7,500. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 12/24/1981 Docket/ Case Number: 81-0082 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 12/24/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: CHICAGO BOARD OPTIONS EXCHANGE INC. FILE NO. 81-0082, ISSUED DECEMBER 24, 1981, HAS ACCEPTED AN OFFER OF SETTLEMENT SUBMITTED BY DEAN WITTER REYNOLDS, INC. WHICH THE FIRM NEITHER ADMITTED NOR DENIED THE ALLEGATIONS MADE BY THE EXCHANGE'S STAFF THAT DURING THE PERIOD OF JANUARY 1, 1979 THROUGH SEPTEMBER 30, 1980 FAILED TO PROPERLY CONDUCT A NON-MEMBER CUSTOMER BUSINESS IN THAT: THE FIRM PERMITTED CUSTOMERS TO TRADE LISTED OPTIONS WITHOUT BRANCH OFFICE MANAGER OR NASD BrokerCheck October 14, 2005 Page 122 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) REGISTERED OPTIONS PRINCIPAL APPROVAL; AND PERMITTED CUSTOMERS TO TRADE LISTED OPTIONS WITHOUT REGISTERED OPTIONS PRINCIPAL APPROVAL. THE BUSINESS COMMITTEE FOUND THAT DEAN WITTER'S ACTION VIOLATED EXCHANGE RULE 9.7(A) AND (B) AND ACCEPTED DEAN WITTER'S OFFER OF SETTLEMENT THAT IT BE FINED IN THE AMOUNT OF $7,500. ****** REGULATORY ACTION (124 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/06/1981 Initiated By: FLORIDA Date initiated: 04/06/1981 Docket/ Case Number: 81-4-DOS Allegations: Current Status: Pending Summary: 81-4-DOS 04/06/81: STATE OF FL-ADMINISTRATIVE PROCEEDINGS HELD *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: FLORIDA Date initiated: 04/06/1981 Docket/ Case Number: 81-4-DOS Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 04/06/1981 Sanctions Ordered: Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (125 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/26/1981 Initiated By: ARKANSAS Date initiated: 03/26/1981 Docket/ Case Number: S-1990-I Allegations: Current Status: Final Resolution: Decision Resolution Date: 03/26/1981 Sanctions Ordered: Cease and Desist/Injunction NASD BrokerCheck October 14, 2005 Page 123 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: Summary: 03/26/81: STATE OF AR: DOCKET #S-1990-I: ORDER TO CEASE AND DESIST. 03/26/81: WAIVES RIGHT OF APPEAL 03/26/81: DECISION FINAL *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: ARKANSAS Date initiated: 03/26/1981 Docket/ Case Number: S-1990-I Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 03/26/1981 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (126 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/24/1980 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/30/1979 Docket/ Case Number: ATL-610 Allegations: Current Status: Pending Summary: #ATL-610 FILED 10/30/79 DIST. #7 10/06/80: CENSURED; FINED $2,500 J & S; AND ASSESSED COSTS OF $2,051 J&S. 11/19/80: TO BE FINAL 10/20/80: APPEALED TO B/G 10/24/80: B/G REVIEW *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. Date initiated: 10/30/1979 Docket/ Case Number: ATL-610 Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 10/30/1979 Sanctions Ordered: Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution NASD BrokerCheck October 14, 2005 Page 124 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (127 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/08/1980 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/08/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/08/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Resolution Details: Summary: 10/08/80: ASE FINED RESPONDENT MEMBER $200 10/08/80: DECISION FINAL *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/05/2004 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 10/08/1980 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 10/08/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $200.00 Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (128 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/30/1980 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 09/30/1980 Docket/ Case Number: 80-0045 NASD BrokerCheck October 14, 2005 Page 125 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Consent Resolution Date: 09/30/1980 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: Summary: CBOE: FILE NO. 80-0045 09/30/80 - ACCORDINGLY IT IS ORDERED, THAT RESPONDENT SHALL BE AND HEREBY IS CENSURED AND FINED IN THE AMOUNT OF $15,000. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 09/30/1980 Docket/ Case Number: 80-0045 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 09/30/1980 Sanctions Ordered: Monetary/Fine, Censure Resolution Details: SEE ITEM #13 Summary: CBOE FILE NO. 80-0045 09/30/80 - RESPONDENT WAS CENSURED AND FINED IN THE AMOUNT OF $15,000. ****** REGULATORY ACTION (129 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/08/1980 Initiated By: ILLINOIS Date initiated: 09/08/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 09/08/1980 Sanctions Ordered: Resolution Details: Summary: STATE OF IL: 09/08/80 CONSENT ORDER OF PROHOBITION *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: NASD BrokerCheck October 14, 2005 Page 126 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Initiated By: ILLINOIS Date initiated: 09/08/1980 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 09/08/1980 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: STATE OF ILLINOIS: 09/08/80 CONSENT ORDER OF PROHIBITION ****** REGULATORY ACTION (130 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/04/1980 Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 06/04/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/04/1980 Sanctions Ordered: Resolution Details: Summary: PHLX - JUNE 13, 1980 JUNE 4, 1980 - OFFER OF SETTLEMENT ACCEPTED BY COMMITTEE ON FLOOR PROCEDURE. CONSENTED TO PENALTY OF REPRIMAND AND A LIMIT ON THE NUMBER OF EQUITY ISSUES IN WHICH IT MAKES MARKETS TO AN AVERAGE OF 25 ISSUES PER SPECIALIST FOR THE PERIOD OF (1) YEAR. IN ADDITION, AGREED TO IMPLEMENT AND MAINTAIN PROCEDURES DESIGNED TO ENSURE COMPLIANCE WITH THE RULE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN COMPLAINT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: PHILADELPHIA STOCK EXCHANGE Date initiated: 06/04/1980 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 06/04/1980 Sanctions Ordered: Other Sanctions: SEE ITEM #13 NASD BrokerCheck October 14, 2005 Page 127 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution Details: SEE ITEM #13 Summary: PHLX - JUNE 13, 1980 OFFER OF SETTLEMENT ACCEPTED BY COMMITTEE ON FLOOR PROCEDURE. CONSENTED TO PENALTY OF REPRIMAND AND A LIMIT ON THE NUMBER OF EQUITY ISSUES IN WHICH IT MAKES MARKETS TO AN AVERAGE OF 25 ISSUES PER SPECIALIST FOR THE PERIOD OF (1) YEAR. IN ADDITION, AGREED TO IMPLEMENT AND MAINTAIN PROCEDURES DESIGNED TO ENSURE COMPLIANCE WITH THE RULE, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED IN THE COMPLAINT. ****** REGULATORY ACTION (131 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/16/1980 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 05/16/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 05/16/1980 Sanctions Ordered: Resolution Details: Summary: ND 80-97 05/16/80 REL. 34-16808 CONSENTED TO ENTRY OF FINDINGS, ORDER, AND REMEDIAL SANCTIONS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 05/16/1980 Docket/ Case Number: SEC EXCHANGE ACT RELEASE NO. 34-18623 Allegations: SEE ITEM #13 Current Status: Final Resolution: Consent Resolution Date: 05/16/1980 Sanctions Ordered: Other Sanctions: ORDER OF SETTLEMETN ON REMEDIAL ORDER Resolution Details: SEE ITEM #13 Summary: IN SEC EXCHANGE ACT RELEASE 34-18623 WITHOUT ADMITTING OR DENYING THE COMPLAINT ALLEGATIONS, FIRM CONSENTED TO THE FOLLOWING FINDINGS: FAILURE TO REASONABLY SUPERVISE AN AGENT. THE FIRM WAS ORDERED TO IMPLEMENT CERTAIN PROCEDURES RELATING TO THE APPROVAL BY THE FIRM OF A REGISTERED REPRESENTATIVE'S SOLICITATION OF STOCKS NOT RECOMMENDED BY THE FIRM. THE FIRM WAS ALSO REQUIRED TO COMPLY WITH UNDERTAKINGS TO REVIEW AND REVISE, IF APPROPRIATE, CERTAIN OTHER SUPERVISORY PROCEDURES. ****** REGULATORY ACTION (132 of 140) ****** NASD BrokerCheck October 14, 2005 Page 128 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 04/07/1980 Initiated By: ILLINOIS Date initiated: 04/07/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 04/07/1980 Sanctions Ordered: Suspension Resolution Details: Summary: STATE OF IL: BULL. NO. 316 APRIL 1980 04/07/80: ORDER OF SUSPENSION ENTERED *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/07/2005 Initiated By: ILLINOIS Date initiated: 04/07/1980 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 04/07/1980 Sanctions Ordered: Suspension Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: PLEASE REMOVE THIS DRP; IT HAS BEEN FILED IN ERROR. THIS SUSPENSION IS AGAINST AN INDIVIDUAL NOT THE FIRM. ****** REGULATORY ACTION (133 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/26/1980 Initiated By: FLORIDA Date initiated: 03/26/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 03/26/1980 Sanctions NASD BrokerCheck October 14, 2005 Page 129 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Ordered: Resolution Details: Summary: STATE OF FLORIDA - ADMINISTRATIVE ACTIONS - PAGE 75 - ENFORCEMENT BULLETIN 03/26/80 - STIPULATION AND CONSENT AGREEMENT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: FLORIDA Date initiated: 03/26/1980 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 03/26/1980 Sanctions Ordered: Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (134 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/18/1980 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/18/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/18/1980 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: Summary: FLORIDA CRIMINAL ACTION REPORT 01/18/80 PAGE 74 TEMPORARY CEASE AND DESIST ORDER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/05/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. Date initiated: 01/18/1980 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. NASD BrokerCheck October 14, 2005 Page 130 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Other Resolution Date: 01/18/1980 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (135 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/03/1979 Initiated By: FLORIDA Date initiated: 12/03/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 12/03/1979 Sanctions Ordered: Censure Resolution Details: Summary: FLORIDA CRIMINAL ACTION REPORT 12/03/79 PAGE 76 CENSURE LETTER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: FLORIDA Date initiated: 12/03/1979 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 12/03/1979 Sanctions Ordered: Censure Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (136 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/24/1979 Initiated By: ILLINOIS Date initiated: 09/24/1979 NASD BrokerCheck October 14, 2005 Page 131 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Docket/ Case Number: Allegations: Current Status: Pending Summary: STATE OF IL: 09/24/79 SECURITIES DEPT. BULLETIN 09/24/79 HEARING TO BE HELD. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: ILLINOIS Date initiated: 09/24/1979 Docket/ Case Number: Allegations: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 09/24/1979 Sanctions Ordered: Other Sanctions: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Resolution Details: DUE TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (137 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/14/1979 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/14/1979 Docket/ Case Number: 79-8 Allegations: Current Status: Final Resolution: Decision Resolution Date: 06/14/1979 Sanctions Ordered: Monetary/Fine, Censure Resolution Details: Summary: NYSE (DECISION 79-8) 06/14/79 PENALTY OF CENSURE AND FINE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/27/2001 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/14/1979 Docket/ Case Number: 79-8 NASD BrokerCheck October 14, 2005 Page 132 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Allegations: CLAIMED VIOLATIONS OF NYSE 342(A) AND 345.13 Current Status: Final Resolution: Decision Resolution Date: 06/14/1979 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: SEE ITEM #13 Summary: NYSE HEARING PANEL DECISION NO. 79-8 06/14/79. WITHOUT ADMITTING OR DENYING GUILT, CONSENTED TO STIPULATION AND CONSENT INCORPORATING PENATLY OF CENSURE AND FINE OF $5,000. ****** REGULATORY ACTION (138 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/30/1979 Initiated By: FLORIDA Date initiated: 05/30/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/30/1979 Sanctions Ordered: Censure Resolution Details: Summary: FLORIDA CRIMINAL ACTION REPORT 05/30/79 PAGE 69 DEALER CENSURE LETTER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/22/2004 Initiated By: FLORIDA Date initiated: 05/30/1979 Docket/ Case Number: Allegations: DUE TO THE AGE OF THE FILING NO OTHER INFORMATION WAS PROVIDE. Current Status: Final Resolution: Other Resolution Date: 05/30/1979 Sanctions Ordered: Censure Resolution Details: DU TO THE AGE OF THIS FILING NO OTHER INFORMATION WAS PROVIDE. Summary: ****** REGULATORY ACTION (139 of 140) ****** NASD BrokerCheck October 14, 2005 Page 133 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 06/30/1978 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/30/1978 Docket/ Case Number: 78-28 Allegations: Current Status: Final Resolution: Consent Resolution Date: 06/30/1978 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: 06/30/78, NYSE: ENTERED A STIPULATION OF FACTS AND CONSENT TO PENALTY. WITHOUT ADMITTING OR DENYING GUILT WAS FOUND TO HAVE ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE. CONSENTED TO A CENSURE AND FINE OF $7,500 (DEC.78-28). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/30/1978 Docket/ Case Number: 78-28 Allegations: ALLEGED VIOLATIONS OF NYSE RULES AND SEC RULE 10B-6 Current Status: Final Resolution: Consent Resolution Date: 06/30/1978 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: SEE ITEM #13 Summary: NYSE HEARING PANEL DECISION NO. 78-28: ENTERED A STIPULATION OF FACTS AND CONSENT TO PENALTY WITHOUT ADMITTING OR DENYING GUILT WAS FOUND TO HAVE ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE. CONSENTED TO A CENSURE AND FINE OF $7,500. ****** REGULATORY ACTION (140 of 140) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/05/1975 Initiated By: MASSACHUSETTS Date initiated: 11/05/1975 Docket/ Case Number: Allegations: Current Status: Final NASD BrokerCheck October 14, 2005 Page 134 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 REGULATORY ACTIONS(cont.) Resolution: Settled Resolution Date: 11/05/1975 Sanctions Ordered: Resolution Details: Summary: 08-75, STATE OF MA: ORDER TO APPEAR AND SHOW CAUSE. 11/05/75, STATE OF MA: SUBMITTED AN OFFER OF SETTLEMENT WHICH WAS ACCEPTED STATING THAT THEY WOULD ESTABLISH MORE STRINGENT SUPERVISORY PROCEDURES FOR OFFICES LOCATED IN THE COMMONWEALTH OF MA., WITHOUT ADMITTING OR DENYING THAT THEY FAILED TO SUPERVISE THE ACTIVITIES OF AN AGENT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS Date initiated: 11/05/1975 Docket/ Case Number: Allegations: SEE ITEM #13 Current Status: Final Resolution: Settled Resolution Date: 11/05/1975 Sanctions Ordered: Resolution Details: SEE ITEM #13 Summary: 11/05/75, STATE OF MA: SUBMITTED AN OFFER OF SETTLEMENT WHICH WAS ACCEPTED. WITHOUT ADMITTING OR DENYING COMPLAINT, THE FIRM ARGEED THAT THEY WOULD ESTABLISH MORE STRINGENT SUPERVISORY PROCEDURES FOR OFFICES LOCATED IN THE COMMONWEALTH OF MASSACHUSETTS, WITHOUT ADMITTING OR DENYING THAT THEY FAILED TO SUPERVISE THE ACTIVITIES OF AN AGENT. NASD BrokerCheck October 14, 2005 Page 135 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 ******************************************************************************** BROKERAGE FIRM ARBITRATIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains summary information regarding arbitration awards rendered in a forum administered by NASD that involve securities or commodities disputes between NASD member firms and public customers. Some of the fields in this section of the report may be blank if the information was not provided to CRD. Unlike the arbitration information required to be reported by individual brokers via Form U-4, brokerage firm arbitration information is not required to be reported on Form BD and is therefore disclosed through NASD BrokerCheck via a slightly different mechanism. Summary information regarding NASD arbitration awards involving securities and commodity disputes between public customers and NASD member firms is updated and disclosed on brokerage firm NASD BrokerCheck reports generally within 10-15 days after the arbitration award is signed and served to all parties. The full text of arbitration awards issued by arbitrators at NASD and at other forums is available online as a cooperative arrangement between NASD Dispute Resolution and the Securities Arbitration Commentator (SAC) at www.nasdadr.com. The awards are generally available within one month after the arbitration award is signed and served to all parties. To access the arbitration award information it is suggested that you first view the summary information available via NASD BrokerCheck, and then use the case number included in NASD BrokerCheck report to access the full text of the award at www.nasdadr.com. ** OCCURRENCE COUNTS ** 1129 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Type of Event: Type of disclosure event (e.g., arbitration) that details pertain to. * Update: An indication (i.e., yes or no) as to whether the information is an update to earlier information reported about the arbitration proceeding. * Arbitration Forum: Forum that administered the arbitration proceeding. * Case Served Date: Date case was served on respondent(s). * Case Number: Case number assigned to the arbitration proceeding. * Allegations: Allegations made by the customer(s) which lead to the arbitration proceeding. * Type of Securities: Type of securities allegations relate to. * Relief Asked: Alleged dollar amount of compensatory damages sought by the customer(s). * Disposition: Disposition of the arbitration proceeding. * Disposition Date: Date of disposition. * Relief Awarded: Details related to the relief awarded to the parties involved in the arbitration proceeding. ******************************************************************************** ** BROKERAGE FIRM ARBITRATION (1 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/27/2004 Case Number: 04-03003 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $305,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $610,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 136 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $10,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (2 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/16/2004 Case Number: 04-02724 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability Type of Securities: Common Stock;Government Securities;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $249,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/11/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $39,000.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (3 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/23/2004 Case Number: 04-08575 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity - NASD BrokerCheck October 14, 2005 Page 137 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Omission of Facts Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $205,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $22,180.93; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (4 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/07/2004 Case Number: 04-04763 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $343,742.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $141,433.66; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (5 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 138 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/13/2005 Case Number: 05-03003 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $8,089.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $1,500.00 SEVERALLY ; Other costs, ASKED AMOUNT $325.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $162.50 ** BROKERAGE FIRM ARBITRATION (6 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/28/2004 Case Number: 04-07134 Allegations: Account Related-Negligence; Fraudulent Activity - Omission of Facts Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $4,320.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/03/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (7 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/26/2004 Case Number: 04-07411 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $213,148.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 139 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $154,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (8 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/26/2003 Case Number: 03-09035 Allegations: Fraudulent Activity-Suitability; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $200,000.00; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (9 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/07/2004 Case Number: 04-07039 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Churning; Account Related-Breach of Contract Type of Securities: Common Stock;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $863,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, NASD BrokerCheck October 14, 2005 Page 140 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $125,000.00; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $23,538.27; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (10 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/07/2004 Case Number: 04-04752 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (11 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/10/2004 Case Number: 04-05591 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $60,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 141 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 09/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $25,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (12 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/28/2003 Case Number: 03-07596 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $283,505.96 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Declaratory Judgement, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (13 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/17/2003 Case Number: 03-07102 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,333,585.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, NASD BrokerCheck October 14, 2005 Page 142 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (14 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/30/2003 Case Number: 03-04618 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (15 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/24/2003 Case Number: 02-07736 Allegations: Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $95,648.00; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (16 of 1129) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 143 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/13/2004 Case Number: 04-06440 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $86,879.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (17 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/22/2004 Case Number: 04-07098 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $123,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (18 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/31/2004 Case Number: 04-06111 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account NASD BrokerCheck October 14, 2005 Page 144 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Related-Negligence; Account Related - Failure to Supervise Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $19,161.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $19,160.51; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/31/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (19 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06844 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $680,953.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $59,200.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $375.00; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/25/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $5,600.00; Other costs, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (20 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 145 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/06/2002 Case Number: 02-03212 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (21 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2004 Case Number: 04-06868 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $98,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $11,000.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary NASD BrokerCheck October 14, 2005 Page 146 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (22 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/07/2004 Case Number: 04-03554 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $15,000.00; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $5,000.00 ** BROKERAGE FIRM ARBITRATION (23 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-03604 Allegations: Fraudulent Activity-Suitability; Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,200,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $63,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (24 of 1129) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 147 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/06/2004 Case Number: 04-00394 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation Type of Securities: Annuities;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $275,621.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (25 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/28/2005 Case Number: 05-01249 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other; Account Related-Negligence; Executions-Failure to Execute Type of Securities: Common Stock;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $800.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $1,600.00 SEVERALLY ; Other costs, ASKED AMOUNT $75.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $800.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $75.00 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/01/2005 8c. Relief Awarded: Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (26 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2004 Case Number: 04-01711 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Churning NASD BrokerCheck October 14, 2005 Page 148 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,800,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,800,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $110,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (27 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2004 Case Number: 04-04206 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability; Account Related-Breach of Contract Type of Securities: Annuities;Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (28 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 149 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/08/2005 Case Number: 05-00690 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (29 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2004 Case Number: 04-06633 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,500,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 150 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $500.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (30 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/12/2004 Case Number: 04-04870 Allegations: Executions-Failure to Execute; Account Related-Breach of Contract Type of Securities: Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $32,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $10,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/18/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $175.00 ** BROKERAGE FIRM ARBITRATION (31 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/10/2004 Case Number: 04-05545 Allegations: Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $453,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $453,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $102,567.50; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been NASD BrokerCheck October 14, 2005 Page 151 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (32 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/18/2003 Case Number: 03-06774 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $14,000.00 ** BROKERAGE FIRM ARBITRATION (33 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/28/2003 Case Number: 03-07595 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Mutual Funds;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $197,186.49 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Declaratory Judgement, Relief Request has been denied in full; Declaratory Judgement, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Other costs, Relief has been awarded (partial or full, Award Amount $0.01 NASD BrokerCheck October 14, 2005 Page 152 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (34 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/10/2004 Case Number: 04-04408 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities;Unknown type of securities;Unknown type of securities;Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $200,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (35 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/27/2004 Case Number: 03-08918 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation Type of Securities: Freddie Macs;Common Stock;Corporate Bonds;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $460,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been NASD BrokerCheck October 14, 2005 Page 153 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (36 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/2004 Case Number: 04-07664 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Churning; Fraudulent Activity - Omission of Facts Type of Securities: Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,015.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $13,985.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $11,015.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/23/2005 8c. Relief Awarded: Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $8,000.00; Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (37 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/2003 Case Number: 03-01420 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Annuities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $2,664.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $160,000.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $2,664.00; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 14, 2005 Page 154 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (38 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2003 Case Number: 03-06794 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $17,500.00; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (39 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/23/2003 Case Number: 03-08970 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $245,604.30 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $250,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $37,500.00 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/03/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $500.00 NASD BrokerCheck October 14, 2005 Page 155 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (40 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2004 Case Number: 04-02873 Allegations: Fraudulent Activity-Suitability; Account Related-Negligence; Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $135,804.76 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $135,804.76 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (41 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/22/2004 Case Number: 04-00286 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Annuities;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $275,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2005 NASD BrokerCheck October 14, 2005 Page 156 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $110,000.00; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (42 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/01/2003 Case Number: 03-08040 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (43 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/08/2003 Case Number: 03-04979 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation Type of Securities: Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $240,302.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $50,463.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $720,906.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $191,511.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $40,217.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $574,533.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief NASD BrokerCheck October 14, 2005 Page 157 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (44 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/2004 Case Number: 04-00792 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Account Related-Negligence Type of Securities: Common Stock;Mutual Funds;Government Securities;Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $122,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (45 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/2004 Case Number: 04-04028 Allegations: Account Related-Collection; Account Related-Negligence; Fraudulent Activity-Churning; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Mutual Funds;Real Estate Investment Trust ** BROKERAGE FIRM ARBITRATION (46 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/29/2004 Case Number: 04-00477 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $488,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 158 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $325,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $10,816.22; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (47 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/2005 Case Number: 05-00308 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $250,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $120,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (48 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/29/2004 Case Number: 04-02375 Allegations: Account Related-Negligence; Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED NASD BrokerCheck October 14, 2005 Page 159 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/13/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $88,155.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $6,225.00; Other costs, Relief has been awarded (partial or full ** BROKERAGE FIRM ARBITRATION (49 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/09/2004 Case Number: 04-04041 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,384.50; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $3,600.00; Interest, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $200.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (50 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 160 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/13/2004 Case Number: 04-03442 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $75,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (51 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/25/2004 Case Number: 04-01952 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity - Omission of Facts; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $15,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (52 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/03/2004 Case Number: 04-01393 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Annuities NASD BrokerCheck October 14, 2005 Page 161 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $414,439.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (53 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/18/2003 Case Number: 03-07301 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Other; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $111,063.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $76,244.00; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $561.75; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (54 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/29/2004 Case Number: 04-01503 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Mutual Funds NASD BrokerCheck October 14, 2005 Page 162 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $150,000.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (55 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/16/2004 Case Number: 03-07012 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Unauthorized Trading Type of Securities: Options Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $28,251.99 SEVERALLY ; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/27/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $13,517.83 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $29,751.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/27/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $29,751.00 ** BROKERAGE FIRM ARBITRATION (56 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2004 Case Number: 04-02095 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Churning; Fraudulent Activity-Suitability Type of Securities: Common Stock;Other types of securities;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,052,161.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 14, 2005 Page 163 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $125,400.00; Other costs, Relief has been awarded (partial or full, Award Amount $250.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (57 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1997 Case Number: 97-01394 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity-Other Type of Securities: Limited Partnerships Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,342,267.61; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (58 of 1129) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 164 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/15/2004 Case Number: 04-07985 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $3,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (59 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/27/2004 Case Number: 04-04651 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $24,974.22 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (60 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 165 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/30/2003 Case Number: 03-08429 Allegations: Fraudulent Activity-Other; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $408,626.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $817,252.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (61 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02155 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Annuities;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $447,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $59,167.17; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full, Award Amount ; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (62 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/31/2003 NASD BrokerCheck October 14, 2005 Page 166 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-07733 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: NO AWARD AGAINST PARTY 8b. Status Date: 04/18/2005 8c. Relief Awarded: Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (63 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/10/2003 Case Number: 03-06280 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,514,446.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $450,000.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/08/2005 8c. Relief NASD BrokerCheck October 14, 2005 Page 167 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (64 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/01/2003 Case Number: 03-04665 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Churning Type of Securities: Common Stock;Corporate Bonds;Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $695,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $10,000,000.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $50,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (65 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/29/2004 Case Number: 04-07021 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,912.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $325.00 SEVERALLY ; Other costs, ASKED AMOUNT $40.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $95.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $325.00; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief NASD BrokerCheck October 14, 2005 Page 168 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Request has been denied in full; Other costs, Relief has been awarded (partial or full; Other costs, Relief Request has been denied in full 7c. Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/05/2005 8c. Relief Awarded: Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (66 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/25/2004 Case Number: 04-01943 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Mutual Funds;Annuities;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $90,325.30 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/05/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $42,750.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $50,000.00 ** BROKERAGE FIRM ARBITRATION (67 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/07/2004 Case Number: 04-00035 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Account Related-Negligence; Fraudulent NASD BrokerCheck October 14, 2005 Page 169 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,000,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $3,062,325.00; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (68 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/16/2003 Case Number: 03-07396 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Unauthorized Trading Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $190,967.37 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $138,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (69 of 1129) ** Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 170 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/05/2004 Case Number: 04-02272 Allegations: Fraudulent Activity-Suitability; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (70 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/07/2004 Case Number: 03-06132 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $128,798.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $128,798.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $18,552.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (71 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/2004 Case Number: 04-05095 NASD BrokerCheck October 14, 2005 Page 171 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (72 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/26/2004 Case Number: 03-08998 Allegations: Account Related-Margin Calls; Account Related-Negligence; Account Related - Failure to Supervise; Account Related-Transfer Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (73 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/12/2003 Case Number: 02-07151 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Churning; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been NASD BrokerCheck October 14, 2005 Page 172 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full ** BROKERAGE FIRM ARBITRATION (74 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/04/2003 Case Number: 03-08511 Allegations: Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $42,882.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $14,000.00; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $3,500.00; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (75 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/16/2003 Case Number: 03-06823 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Other; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Common Stock;Mutual Funds Relief Asked: Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/2005 Relief Awarded: Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $68,853.97 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/18/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $68,853.97; Interest, Relief has been awarded (partial or full, Award Amount $0.01 NASD BrokerCheck October 14, 2005 Page 173 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (76 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2003 Case Number: 03-00820 Allegations: Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $625,150.99 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $28,000.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $375.00; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (77 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/22/2003 Case Number: 03-07126 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Account Related-Other; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $636,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $636,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $11,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (78 of 1129) ** NASD BrokerCheck October 14, 2005 Page 174 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/25/2004 Case Number: 04-01256 Allegations: EXECUTIONS-EXECUTION PRICE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $240,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/03/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (79 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06112 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2005 NASD BrokerCheck October 14, 2005 Page 175 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $89,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (80 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/01/2003 Case Number: 03-04609 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,813.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,813.50; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL NASD BrokerCheck October 14, 2005 Page 176 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (81 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/10/2004 Case Number: 04-00781 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $539,954.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/23/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (82 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/20/2003 Case Number: 03-03563 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,484,041.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $102,022.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (83 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2003 NASD BrokerCheck October 14, 2005 Page 177 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-08036 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES;MUTUAL FUNDS;GOVERNMENT SECURITIES;GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,287.26 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/17/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,100.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,176.00 ** BROKERAGE FIRM ARBITRATION (84 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2003 Case Number: 03-04984 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (85 of 1129) ** Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 178 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 11/11/2003 Case Number: 03-07874 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,886,833.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/15/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (86 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2003 Case Number: 03-04329 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/11/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 ** BROKERAGE FIRM ARBITRATION (87 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 179 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/13/2003 Case Number: 03-00775 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $315,805.77 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Declaratory Judgement, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (88 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/14/2004 Case Number: 04-03248 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $95,750,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $2,250.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/07/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (89 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/14/2004 Case Number: 04-02322 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-NEGLIGENCE; NASD BrokerCheck October 14, 2005 Page 180 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,345.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $385,380.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/24/2005 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 ** BROKERAGE FIRM ARBITRATION (90 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-01628 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $84,886.29; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/21/2005 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00 ** BROKERAGE FIRM ARBITRATION (91 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/25/2003 NASD BrokerCheck October 14, 2005 Page 181 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-08342 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,478.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (92 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/2003 Case Number: 03-07823 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,565.40 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (93 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06739 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $305,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 182 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (94 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/17/2004 Case Number: 03-09078 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,034,621.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (95 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/07/2003 Case Number: 03-05711 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 183 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/12/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (96 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/2003 Case Number: 03-00864 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,866,632.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/07/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $392,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $29,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $126,300.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (97 of 1129) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/01/2002 Case Number: 02-05524 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 184 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,085.26 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,204.89 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/07/2005 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/07/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL ** BROKERAGE FIRM ARBITRATION (98 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/21/2004 Case Number: 04-03345 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/06/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ** BROKERAGE FIRM ARBITRATION (99 of 1129) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 185 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/02/2004 Case Number: 04-01343 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/06/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (100 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07604 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 186 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (101 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/2003 Case Number: 03-06593 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $800,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/29/2004 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $48,000.00; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (102 of 1129) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 187 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07773 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,993.86; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (103 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/2002 Case Number: 02-04932 Allegations: Account Related-Breach of Contract; Account Related-Errors-charges; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Mutual Funds;Common Stock;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/21/2004 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been NASD BrokerCheck October 14, 2005 Page 188 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full * BROKERAGE FIRM ARBITRATION (104 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/09/2001 Case Number: 01-04839 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $425,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,275,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (105 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/2004 Case Number: 04-04282 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,100.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,100.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/14/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,825.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $243.75 * BROKERAGE FIRM ARBITRATION (106 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/2004 Case Number: 04-03888 NASD BrokerCheck October 14, 2005 Page 189 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (107 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/22/2004 Case Number: 03-09155 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/14/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,295.32 * BROKERAGE FIRM ARBITRATION (108 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/29/2003 Case Number: 03-03428 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 190 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $252,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $603.24; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,232.94; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/14/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (109 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/12/2004 Case Number: 04-03355 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,998.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (110 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/15/2003 NASD BrokerCheck October 14, 2005 Page 191 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-07707 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $850,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (111 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/26/2003 Case Number: 03-06820 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,414.50; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,925.24; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; NASD BrokerCheck October 14, 2005 Page 192 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (112 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 03-07117 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (113 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/2004 Case Number: 04-01179 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,254.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $98.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (114 of 1129) * NASD BrokerCheck October 14, 2005 Page 193 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2003 Case Number: 03-08287 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUNICIPAL BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $7,500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $975.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $23,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF NASD BrokerCheck October 14, 2005 Page 194 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,473.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $975.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/30/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,461.82; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00 * BROKERAGE FIRM ARBITRATION (115 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/20/2003 Case Number: 03-03565 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/2004 Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00 * BROKERAGE FIRM ARBITRATION (116 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-00711 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,751.11 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,751.11; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (117 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/20/2003 Case Number: 03-03382 NASD BrokerCheck October 14, 2005 Page 195 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-MARGIN CALLS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $410,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,834.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (118 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2003 Case Number: 03-08618 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,556.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $145,668.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (119 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-03923 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 14, 2005 Page 196 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;OPTIONS;COMMODITIES FUTURES;STOCK INDEX FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $510,736.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,021,472.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (120 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/23/2004 Case Number: 04-02931 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $975.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (121 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/28/2004 Case Number: 04-00468 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $322,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/2004 NASD BrokerCheck October 14, 2005 Page 197 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/15/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $322,882.43; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $129,152.97 * BROKERAGE FIRM ARBITRATION (122 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/2003 Case Number: 03-07775 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-EXECUTION PRICE; FRAUDULENT ACTIVITY-MISREPRESENTATION; TRADING DISPUTES-MARK-UPS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (123 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/25/2003 Case Number: 03-04028 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 198 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/15/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (124 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07587 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,890.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (125 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2003 Case Number: 03-06169 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 199 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $280,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/08/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (126 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/19/2003 Case Number: 03-03392 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $562.50 * BROKERAGE FIRM ARBITRATION (127 of 1129) * NASD BrokerCheck October 14, 2005 Page 200 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2003 Case Number: 03-08636 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $142,012.91 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (128 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/03/2003 Case Number: 02-07730 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $79,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 201 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (129 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 03-00057 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/03/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $155,500.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $59,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00 * BROKERAGE FIRM ARBITRATION (130 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/05/2003 Case Number: 03-02961 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 14, 2005 Page 202 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/01/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (131 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/27/2003 Case Number: 03-03489 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $210,697.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 203 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,962.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (132 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/15/2003 Case Number: 03-00534 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $262,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $262,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $262,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/27/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 204 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (133 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/10/2001 Case Number: 01-03363 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (134 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/19/2004 Case Number: 04-03577 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,817.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (135 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2004 NASD BrokerCheck October 14, 2005 Page 205 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-09177 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/21/2004 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (136 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/27/2001 Case Number: 01-01468 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $351,850.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (137 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/06/2003 Case Number: 03-04604 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 206 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $216,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (138 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/2003 Case Number: 03-03679 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/18/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,180.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00 * BROKERAGE FIRM ARBITRATION (139 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/10/2003 Case Number: 03-02462 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,987,143.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 NASD BrokerCheck October 14, 2005 Page 207 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (140 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/28/2003 Case Number: 03-03539 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,310,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $275,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (141 of 1129) * NASD BrokerCheck October 14, 2005 Page 208 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2003 Case Number: 03-05443 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (142 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/24/2003 Case Number: 03-04429 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $267,718.92 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (143 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 209 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 04/08/2003 Case Number: 03-02399 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/21/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 * BROKERAGE FIRM ARBITRATION (144 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/30/2003 Case Number: 03-07662 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $257,448.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (145 of 1129) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 14, 2005 Page 210 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/23/2004 Case Number: 04-00365 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,718.11 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00 * BROKERAGE FIRM ARBITRATION (146 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/21/2001 Case Number: 01-06257 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/17/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (147 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/2003 Case Number: 03-00523 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $892,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED NASD BrokerCheck October 14, 2005 Page 211 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $445,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (148 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/15/2003 Case Number: 03-06618 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (149 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/13/2003 Case Number: 03-05126 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 212 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $46,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (150 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/22/2003 Case Number: 03-06753 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $303,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (151 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2003 Case Number: 02-07770 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $336,188.51 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 213 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (152 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2002 Case Number: 02-01644 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $351,013.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (153 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/26/2002 Case Number: 02-01051 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,937,816.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $3,875,632.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/2004 NASD BrokerCheck October 14, 2005 Page 214 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (154 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 02-07885 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $550,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,989.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $550,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (155 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/25/2003 Case Number: 03-04523 Allegations: ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER NASD BrokerCheck October 14, 2005 Page 215 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: PREFERRED STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (156 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/04/2004 Case Number: 04-00592 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,638.07 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $13,885.29 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $825.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $400.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,638.07; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,885.29; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 * BROKERAGE FIRM ARBITRATION (157 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/09/2002 Case Number: 02-04367 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2004 NASD BrokerCheck October 14, 2005 Page 216 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (158 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/18/1997 Case Number: 97-01277 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (159 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/11/1996 Case Number: 96-04852 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $144,905.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/26/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 217 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (160 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1996 Case Number: 96-03190 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,262.85 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (161 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/1994 Case Number: 94-01547 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,620.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $380.00 * BROKERAGE FIRM ARBITRATION (162 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/25/1994 Case Number: 94-01407 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,400.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 218 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (163 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/23/1994 Case Number: 94-00219 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (164 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-04448 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/12/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 219 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (166 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/27/1991 Case Number: 90-03272 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: REAL ESTATE INVESTMENT TRUST Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/19/1991 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (167 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/25/1990 Case Number: 90-01716 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (168 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 220 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03621 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $76,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,275.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $21,280.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/18/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (169 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03463 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/02/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/02/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (170 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 221 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/01/1988 Case Number: 88-00379 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,340.44 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,212.45; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (171 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02212 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-COLLECTION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,113,085.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $920,154.55; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (172 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/06/2000 Case Number: 00-00259 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/04/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 222 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL * BROKERAGE FIRM ARBITRATION (173 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/2003 Case Number: 03-04568 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $59,505.44; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,027.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00 * BROKERAGE FIRM ARBITRATION (174 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/28/2003 Case Number: 03-03659 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $655,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $507,968.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (175 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 223 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/31/2003 Case Number: 03-00599 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS;CORPORATE BONDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $425,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,661.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (176 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/2003 Case Number: 03-02318 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $471,936.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,889.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 NASD BrokerCheck October 14, 2005 Page 224 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (177 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/25/2003 Case Number: 03-02009 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,550.72 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,550.72 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/12/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,674.00 * BROKERAGE FIRM ARBITRATION (178 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2003 Case Number: 03-03279 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $196,339.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $589,017.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (179 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 225 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/16/2003 Case Number: 03-04227 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,296.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,030.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (180 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/2003 Case Number: 03-00533 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $475,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/07/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00 * BROKERAGE FIRM ARBITRATION (181 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 226 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/10/2002 Case Number: 02-05923 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS;MUTUAL FUNDS;CORPORATE BONDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $355,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (182 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2002 Case Number: 02-03506 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (183 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 227 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/30/2003 Case Number: 03-02869 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $56,209.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,549.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (184 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/2003 Case Number: 03-00045 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,979.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $155,937.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (185 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/21/2004 Case Number: 04-00272 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO NASD BrokerCheck October 14, 2005 Page 228 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,750.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (186 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/2003 Case Number: 03-00902 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (187 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/23/2003 Case Number: 03-05025 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,487.83 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $148,463.49 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 229 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,487.83; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (188 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/2004 Case Number: 03-05839 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,132.22 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,713.22 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,284.92 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $275.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (189 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2003 Case Number: 03-02192 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 230 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/18/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (190 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2003 Case Number: 03-01707 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (191 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/2002 Case Number: 02-07028 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/2004 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 231 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/14/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (192 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/16/2003 Case Number: 03-02562 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/10/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 * BROKERAGE FIRM ARBITRATION (193 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/2003 Case Number: 03-03649 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 232 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $109,740.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (194 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/10/2003 Case Number: 03-05963 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,702.35 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00 * BROKERAGE FIRM ARBITRATION (195 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2002 Case Number: 02-06804 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (196 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 233 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/15/2003 Case Number: 03-03253 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,716.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,800.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (197 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04975 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;CORPORATE BONDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $225,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/24/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 * BROKERAGE FIRM ARBITRATION (198 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2003 Case Number: 03-06179 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 14, 2005 Page 234 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/21/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (199 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/2003 Case Number: 03-01462 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $316,391.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 235 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/20/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $238,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $187.50; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (200 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/2003 Case Number: 03-00171 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $249,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (201 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/2002 Case Number: 02-01351 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,856.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $331,712.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY NASD BrokerCheck October 14, 2005 Page 236 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/19/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $72,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (202 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2002 Case Number: 02-03438 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (203 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/2003 Case Number: 03-04995 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 237 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (204 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/2003 Case Number: 02-06930 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $348,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $275,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (205 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/13/2002 Case Number: 02-03320 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $306,396.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (206 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 238 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/20/2003 Case Number: 03-03149 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (207 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2002 Case Number: 02-04247 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (208 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07531 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 239 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (209 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/2003 Case Number: 03-01809 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $279,376.97 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,723.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (210 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/2003 Case Number: 03-05723 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 240 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $59,787.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,101.36; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (211 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/2001 Case Number: 01-06548 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (212 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/2002 Case Number: 02-04397 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,070.72 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,047.48; INTEREST, NASD BrokerCheck October 14, 2005 Page 241 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,195.10; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/16/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (213 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/2000 Case Number: 00-02113 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (214 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/2001 Case Number: 01-06440 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $142,666.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,670.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; NASD BrokerCheck October 14, 2005 Page 242 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (215 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/21/2003 Case Number: 03-00212 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;REPURCHASE AGREEMENTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/07/2004 8C. RELIEF AWARDED: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (216 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/2003 Case Number: 03-01624 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (217 of 1129) * NASD BrokerCheck October 14, 2005 Page 243 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/2003 Case Number: 02-07674 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $240,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $260,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,263.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/06/2004 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,375.00 * BROKERAGE FIRM ARBITRATION (218 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2003 Case Number: 03-03562 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $450.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/01/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (219 of 1129) * NASD BrokerCheck October 14, 2005 Page 244 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/2003 Case Number: 03-02767 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (220 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/2003 Case Number: 03-01717 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (221 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/2002 Case Number: 02-05127 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - NASD BrokerCheck October 14, 2005 Page 245 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $484,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $302,755.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/30/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,285.00 * BROKERAGE FIRM ARBITRATION (222 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/2003 Case Number: 03-01264 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $443,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (223 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/2002 Case Number: 02-01715 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 246 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $54,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (224 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/2002 Case Number: 02-05326 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $156,107.42 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $343,892.58 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (225 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/2003 Case Number: 03-05453 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 247 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (226 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/2003 Case Number: 03-00709 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $121,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/19/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00 * BROKERAGE FIRM ARBITRATION (227 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/2002 Case Number: 02-06943 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $197,885.95 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 248 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (228 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/2001 Case Number: 01-06534 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,467,997.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 249 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (229 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/02/2003 Case Number: 03-07084 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (230 of 1129) * NASD BrokerCheck October 14, 2005 Page 250 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 03-00080 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,747.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,051.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (231 of 1129) * NASD BrokerCheck October 14, 2005 Page 251 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/2003 Case Number: 03-00134 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (232 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/2002 Case Number: 02-06143 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,792.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,328.90; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (233 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2002 NASD BrokerCheck October 14, 2005 Page 252 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-04293 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $956,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/09/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (234 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2002 Case Number: 02-05740 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (235 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/07/2003 Case Number: 02-07690 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, NASD BrokerCheck October 14, 2005 Page 253 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (236 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/2003 Case Number: 03-00139 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $145,870.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (237 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/2003 Case Number: 03-01004 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,184.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 254 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (238 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/2002 Case Number: 02-07628 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $327,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (239 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2002 Case Number: 02-01678 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: ANNUITIES;COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $186,466.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/27/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 255 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (240 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/2002 Case Number: 02-04743 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (241 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/2002 Case Number: 02-02202 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $86,922.00 NASD BrokerCheck October 14, 2005 Page 256 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (242 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/2002 Case Number: 02-00508 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,205,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (243 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/2003 Case Number: 03-06102 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; TRADING DISPUTES-SELL OUTS NASD BrokerCheck October 14, 2005 Page 257 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,100.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $330.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (244 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/2002 Case Number: 02-05321 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $410,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/20/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (245 of 1129) * NASD BrokerCheck October 14, 2005 Page 258 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-04381 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/19/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,125.00 * BROKERAGE FIRM ARBITRATION (246 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2003 Case Number: 03-02194 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,620.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (247 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 259 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06333 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (248 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2002 Case Number: 02-04809 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,568.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $5,505.97 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 260 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (249 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/16/2002 Case Number: 02-05967 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $650,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $213,371.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,038.70; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,500.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/09/2004 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,512.00 * BROKERAGE FIRM ARBITRATION (250 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2002 Case Number: 02-04222 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $330,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 261 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/05/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $258,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,700.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (251 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/2000 Case Number: 00-04843 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (252 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 262 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/01/2002 Case Number: 02-01639 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,357,688.20 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (253 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/2001 Case Number: 01-05369 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,320,729.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $2,641,458.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (254 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 263 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2003 Case Number: 03-00813 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (255 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/2002 Case Number: 02-00841 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (256 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2003 Case Number: 03-00908 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,540.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,016.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 14, 2005 Page 264 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (257 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2002 Case Number: 02-05772 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/26/2004 Relief Awarded: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (258 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/2001 Case Number: 01-04196 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $584,499.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,865.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $410,790.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY NASD BrokerCheck October 14, 2005 Page 265 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $409,149.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $287,553.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $166.67; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $166.67 * BROKERAGE FIRM ARBITRATION (259 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/2002 Case Number: 02-04711 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,604.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (260 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 266 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 12/24/2002 Case Number: 02-07298 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $166,214.32 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,069.26 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87,621.33; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/13/2004 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,000.00 * BROKERAGE FIRM ARBITRATION (261 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/2003 Case Number: 03-05838 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 267 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/09/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (262 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-05033 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,238.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,238.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (263 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/2002 Case Number: 02-03347 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,324,209.50 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (264 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 268 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 11/27/2002 Case Number: 02-06733 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,888.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (265 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/2002 Case Number: 02-04297 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, NASD BrokerCheck October 14, 2005 Page 269 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (266 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/21/2003 Case Number: 03-00206 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $232,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $135,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (267 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/2002 Case Number: 02-06723 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-MARGIN CALLS Type of Securities: COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 270 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (268 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2001 Case Number: 01-04462 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $117,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (269 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/2002 Case Number: 02-07041 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $240,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (270 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 271 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/08/2002 Case Number: 02-05903 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $252,296.55 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (271 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2002 Case Number: 02-04638 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $179,688.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $179,688.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,200.00 * BROKERAGE FIRM ARBITRATION (272 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/2003 NASD BrokerCheck October 14, 2005 Page 272 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-07343 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $256,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (273 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/11/2002 Case Number: 02-05129 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS * BROKERAGE FIRM ARBITRATION (274 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/2002 Case Number: 02-04846 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;CORPORATE BONDS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 273 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (275 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2002 Case Number: 02-05052 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106,200.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (276 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/2002 Case Number: 02-06581 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 NASD BrokerCheck October 14, 2005 Page 274 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,821.54; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/09/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (277 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/2003 Case Number: 03-00144 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $133,386.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/04/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,332.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (278 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/2003 Case Number: 02-07587 NASD BrokerCheck October 14, 2005 Page 275 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,656.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/04/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $96.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (279 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/03/2002 Case Number: 02-03174 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $86,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,974.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (280 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2002 Case Number: 02-02719 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 276 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $116,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $180,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (281 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/2002 Case Number: 02-04312 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,238.08 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,761.92 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $300.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $1,125.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $92,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/01/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (282 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2001 Case Number: 01-05171 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 277 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (283 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/2002 Case Number: 02-03401 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $319,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 14, 2005 Page 278 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (284 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/2002 Case Number: 02-00983 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 279 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (285 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/2002 Case Number: 02-03617 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (286 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2001 Case Number: 01-04052 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $146,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 280 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (287 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/2002 Case Number: 02-04407 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $185,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/18/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/18/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (288 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 281 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/23/2002 Case Number: 02-06214 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,523.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $28,569.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,358.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/17/2003 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (289 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/2001 Case Number: 01-06189 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $378,533.20 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,135,533.60 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 282 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (290 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/2000 Case Number: 00-00730 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/11/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00 * BROKERAGE FIRM ARBITRATION (291 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/2002 Case Number: 02-05702 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 14, 2005 Page 283 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (292 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/2002 Case Number: 02-04632 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (293 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/2002 Case Number: 02-04592 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,654.48 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (294 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/2002 Case Number: 02-02593 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 284 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (295 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/2003 Case Number: 03-00776 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (296 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/2002 Case Number: 02-04982 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $240,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 285 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 10/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/31/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 * BROKERAGE FIRM ARBITRATION (297 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/2003 Case Number: 03-04295 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,900.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (298 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/2002 Case Number: 02-07043 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (299 of 1129) * NASD BrokerCheck October 14, 2005 Page 286 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2002 Case Number: 02-04280 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (300 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/2002 Case Number: 02-07386 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $212,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (301 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05876 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 14, 2005 Page 287 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,651.48 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $61,999.82 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (302 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05875 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,538.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,538.79 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (303 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05874 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,651.04 NASD BrokerCheck October 14, 2005 Page 288 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $52,292.92 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (304 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/2003 Case Number: 03-01041 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,261.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (305 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/31/2001 Case Number: 01-04953 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,600,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 289 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/14/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $156,667.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (306 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/2002 Case Number: 02-03323 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (307 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05748 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;MUTUAL FUNDS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,603.29 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $29,603.29 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 290 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (308 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/2002 Case Number: 02-07376 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS * BROKERAGE FIRM ARBITRATION (309 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/2001 Case Number: 01-04380 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (310 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-03682 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,686.99 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 291 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $131,060.97 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $750.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $208,509.11 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (311 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2002 Case Number: 02-05639 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,946.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $277,892.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (312 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/2002 Case Number: 02-04310 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 292 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (313 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/2002 Case Number: 02-01337 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $107,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (314 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/2002 Case Number: 02-04085 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/2003 NASD BrokerCheck October 14, 2005 Page 293 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (315 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05750 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,875.91 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $152,717.99 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (316 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/28/2002 Case Number: 02-02907 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $219,985.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 294 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL; DECLARATORY JUDGEMENT, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,675.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (317 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/19/2002 Case Number: 02-02941 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (318 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/2000 Case Number: 00-03712 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 295 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (319 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05746 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,320.85 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $279,175.12 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (320 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/02/2002 Case Number: 02-04920 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $358,731.16 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,576.00; NASD BrokerCheck October 14, 2005 Page 296 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (321 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2002 Case Number: 02-02365 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,400,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $497,228.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (322 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 297 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/27/2001 Case Number: 01-03111 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (323 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/2003 Case Number: 03-02801 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,463.46 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,865.87 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,463.46 SEVERALLY ; INTEREST, ASKED AMOUNT $1,865.87 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/09/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,979.57; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $108.33; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (324 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 298 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/21/2003 Case Number: 03-00742 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,570.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (325 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05747 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;LIMITED PARTNERSHIPS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,515.12 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $41,859.12 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (326 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2002 Case Number: 02-00266 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $725,750.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 299 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (327 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2003 Case Number: 02-07515 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $18,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (328 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/2002 Case Number: 01-05928 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,758.19 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,556.28 NASD BrokerCheck October 14, 2005 Page 300 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (329 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/12/2002 Case Number: 02-01200 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,218.41; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (330 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/2002 Case Number: 01-07137 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $181,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 301 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (331 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/2002 Case Number: 01-06381 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (332 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/2001 Case Number: 01-06882 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $340,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (333 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 302 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 05/23/2002 Case Number: 02-02951 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/06/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,539.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/06/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,539.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (334 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2003 Case Number: 03-01743 Allegations: ACCOUNT RELATED-OTHER; TRADING DISPUTES-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,885.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,875.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,114.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (335 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2003 Case Number: 02-04705 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;MUTUAL FUNDS NASD BrokerCheck October 14, 2005 Page 303 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,161.68 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $12,838.32 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (336 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/2003 Case Number: 03-00177 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $281,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (337 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/2002 Case Number: 02-03722 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $176,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 304 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $165,786.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (338 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/2002 Case Number: 02-06715 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,709.05 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $17,127.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,709.05; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,709.05; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (339 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/2002 Case Number: 02-00307 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 305 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (340 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07620 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,617.11 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (341 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/2002 Case Number: 02-07591 Allegations: EXECUTIONS-EXECUTION PRICE; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,300.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,135.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $787.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/09/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 * BROKERAGE FIRM ARBITRATION (342 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/2002 NASD BrokerCheck October 14, 2005 Page 306 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-05970 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,100.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/09/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,268.39; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (343 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/13/2002 Case Number: 02-03219 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $112,630.40 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $105,409.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $144,591.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (344 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/2001 Case Number: 01-06272 NASD BrokerCheck October 14, 2005 Page 307 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $644,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (345 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05861 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $160,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/01/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,975.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (346 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 308 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/07/2002 Case Number: 02-02348 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (347 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2002 Case Number: 02-05434 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/30/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 * BROKERAGE FIRM ARBITRATION (348 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/2001 Case Number: 01-05646 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 14, 2005 Page 309 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/27/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (349 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/01/2002 Case Number: 02-00543 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK * BROKERAGE FIRM ARBITRATION (350 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/22/2001 Case Number: 01-02174 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 14, 2005 Page 310 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/25/2003 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (351 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/03/2002 Case Number: 02-03679 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $271,880.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (352 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/2001 Case Number: 01-06165 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $843,005.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (353 of 1129) * NASD BrokerCheck October 14, 2005 Page 311 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2002 Case Number: 02-02537 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,726.76 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (354 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/2002 Case Number: 02-02573 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $635,125.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/16/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $93,016.00 * BROKERAGE FIRM ARBITRATION (355 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/2001 Case Number: 01-06035 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 312 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $113,750.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (356 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2002 Case Number: 02-03540 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $375,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (357 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2002 Case Number: 02-03632 NASD BrokerCheck October 14, 2005 Page 313 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $243,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $729,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (358 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/2002 Case Number: 02-00857 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $143,371.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (359 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/2002 Case Number: 02-00764 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 314 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-UNAUTHORIZED TRADING Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $285,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,752.24 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,558.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,727.95 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (360 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2002 Case Number: 02-01469 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,863.44; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (361 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/2001 Case Number: 01-05657 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 315 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,890.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (362 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/2001 Case Number: 01-02849 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/29/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00 * BROKERAGE FIRM ARBITRATION (363 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/2002 NASD BrokerCheck October 14, 2005 Page 316 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-01217 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (364 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/2001 Case Number: 01-06425 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (365 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/2002 Case Number: 02-02284 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $216,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 317 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (366 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2002 Case Number: 02-02481 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $281,405.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 14, 2005 Page 318 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (367 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/2002 Case Number: 02-01191 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $540,889.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $540,889.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $121,372.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $121,372.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,462.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $33,462.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (368 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 319 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/22/2002 Case Number: 02-00279 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-DIVIDENDS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BONDS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $86,025.19 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $172,050.38 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (369 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/2002 Case Number: 02-03706 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $91,977.33 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $91,977.33 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (370 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2001 Case Number: 01-05993 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 14, 2005 Page 320 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/09/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (371 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/21/2002 Case Number: 02-01545 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 321 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/08/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (372 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/2002 Case Number: 02-00559 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,560.16 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $14,395.09 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,932.41; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,974.19; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (373 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/17/2000 Case Number: 00-04650 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 322 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (374 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/22/2002 Case Number: 02-00190 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/2003 Relief Awarded: DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,917.43; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 323 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/28/2003 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,050.00 * BROKERAGE FIRM ARBITRATION (375 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2002 Case Number: 02-00301 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $205,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $207,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S NASD BrokerCheck October 14, 2005 Page 324 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (376 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/2002 Case Number: 02-00740 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (377 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 325 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 06/25/2002 Case Number: 02-03498 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,602.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,779.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/11/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,602.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 14, 2005 Page 326 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (378 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/2002 Case Number: 02-06535 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/11/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,688.56; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (379 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/2001 Case Number: 01-06131 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $318,663.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $68,233.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (380 of 1129) * NASD BrokerCheck October 14, 2005 Page 327 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/2001 Case Number: 01-03376 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,680.26; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,471.95; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (381 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2002 Case Number: 02-02687 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,312.61 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 328 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,921.90; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,855.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (382 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/17/2002 Case Number: 02-03986 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,600.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (383 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/2002 Case Number: 02-00806 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 329 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (384 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/2002 Case Number: 02-00400 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/2003 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (385 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/2002 Case Number: 02-03908 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/2003 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (386 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/2001 Case Number: 01-05143 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 330 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,379.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/24/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00 * BROKERAGE FIRM ARBITRATION (387 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/22/2001 Case Number: 01-03013 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $150,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $40,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $30,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/24/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00 * BROKERAGE FIRM ARBITRATION (388 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2002 Case Number: 02-02501 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $123,953.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 331 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 03/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,496.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/20/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (389 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/2001 Case Number: 01-06327 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/18/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (390 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/2002 Case Number: 02-05135 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $7,425.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/13/2003 NASD BrokerCheck October 14, 2005 Page 332 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (391 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/2001 Case Number: 01-06790 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,818.05 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (392 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2001 Case Number: 01-01531 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (393 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2002 NASD BrokerCheck October 14, 2005 Page 333 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-00044 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,700,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,700,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (394 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/31/2001 Case Number: 01-04779 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (395 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/09/2001 Case Number: 01-04090 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 334 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (396 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/2002 Case Number: 02-02811 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,078.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (397 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/2001 Case Number: 01-05403 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $436,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 335 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 03/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,600.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (398 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/2000 Case Number: 00-00035 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $345,676.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (399 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/31/2001 Case Number: 01-03978 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,076,218.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 336 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $334,280.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,578.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (400 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/2001 Case Number: 01-01443 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,372,500.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,700.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/26/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 337 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (401 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/2001 Case Number: 01-02843 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $139,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,910.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/19/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,276.46; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (402 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2001 Case Number: 01-04576 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 338 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (403 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/2001 Case Number: 01-01621 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $277,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $300.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/06/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 339 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (404 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/2002 Case Number: 02-01607 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,234.29 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,810.72 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,147.81 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (405 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2000 Case Number: 00-03729 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $546,648.42 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 340 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (406 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/2001 Case Number: 01-06528 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (407 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/2001 Case Number: 01-04641 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $849,096.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $395,750.66 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $600.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/24/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 341 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $395,750.66; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 * BROKERAGE FIRM ARBITRATION (408 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/2001 Case Number: 01-01862 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,699,817.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,766,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (409 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/2001 Case Number: 01-06507 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/17/2003 NASD BrokerCheck October 14, 2005 Page 342 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (410 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/2001 Case Number: 01-05642 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (411 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/2002 Case Number: 02-04899 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,963.76 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $175.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $1,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,864.64; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 7C. NASD BrokerCheck October 14, 2005 Page 343 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/10/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $99.12 * BROKERAGE FIRM ARBITRATION (412 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/2001 Case Number: 01-06415 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (413 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/02/2002 Case Number: 01-06806 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;CERTIFICATE OF DEPOSIT;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (414 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 344 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 03/07/2002 Case Number: 02-01143 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (415 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 345 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/19/2001 Case Number: 01-03930 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,153.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/23/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,168.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (416 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/04/2001 Case Number: 01-04326 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (417 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/2001 NASD BrokerCheck October 14, 2005 Page 346 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 00-05754 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,460.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (418 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/18/2001 Case Number: 01-04819 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $154,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $138,940.18; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (419 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/2001 Case Number: 01-05454 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS NASD BrokerCheck October 14, 2005 Page 347 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $76,893.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (420 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2002 Case Number: 01-07112 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,351.32 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/27/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (421 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/22/2001 Case Number: 01-02466 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 348 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (422 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2001 Case Number: 01-03026 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $209,371.62 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,253.77 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00 * BROKERAGE FIRM ARBITRATION (423 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2000 Case Number: 00-00810 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 349 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (424 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/2000 Case Number: 00-03783 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/08/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (425 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/2002 Case Number: 02-03455 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,750.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/06/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 NASD BrokerCheck October 14, 2005 Page 350 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (426 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/01/2002 Case Number: 02-01101 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,027.33 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,027.33; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/06/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 * BROKERAGE FIRM ARBITRATION (427 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/2001 Case Number: 01-06031 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (428 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 351 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/13/2001 Case Number: 01-03756 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,467.76 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,625.58 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/29/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (429 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/2001 Case Number: 01-05162 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $215,909.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/17/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (430 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 352 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/04/2001 Case Number: 01-05192 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (431 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/2002 Case Number: 02-00668 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,435.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,701.38; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (432 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/2002 NASD BrokerCheck October 14, 2005 Page 353 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 01-06406 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,101.32 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $24,539.32 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (433 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/2001 Case Number: 01-05313 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,900.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (434 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/2002 Case Number: 02-03267 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,851.51 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,828.49 SEVERALLY ; INTEREST, ASKED AMOUNT $1,320.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 354 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $308.09; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (435 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/2001 Case Number: 01-05958 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (436 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 355 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/18/2001 Case Number: 01-06747 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS * BROKERAGE FIRM ARBITRATION (437 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/2001 Case Number: 01-02775 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (438 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/2001 Case Number: 01-06188 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $91,564.52 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 14, 2005 Page 356 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (439 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/14/2001 Case Number: 01-01523 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,492.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (440 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/2001 Case Number: 01-05606 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (441 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/2002 NASD BrokerCheck October 14, 2005 Page 357 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-01706 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,506.27 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,506.27; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/27/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (442 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/22/2002 Case Number: 02-02898 Allegations: EXECUTIONS-INCORRECT QUANTITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,144.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (443 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2002 Case Number: 02-02716 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,425.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/12/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 358 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,425.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $200.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/12/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,333.75; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50 * BROKERAGE FIRM ARBITRATION (444 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/2001 Case Number: 00-01166 Allegations: OTHER-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,300.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/11/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (445 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/2001 Case Number: 01-02629 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,383.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, NASD BrokerCheck October 14, 2005 Page 359 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (447 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/27/2001 Case Number: 01-02084 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS;ANNUITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 360 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,848.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,874.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $146,065.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $470,315.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,748.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,253.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,145.00 * BROKERAGE FIRM ARBITRATION (448 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/30/2001 Case Number: 01-05616 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (449 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/06/2001 Case Number: 01-02886 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 361 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (450 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/20/2001 Case Number: 01-01882 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $597,479.49 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (451 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/2002 Case Number: 02-01277 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,121.59 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,394.06 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 362 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (452 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2001 Case Number: 01-02052 Allegations: FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,322.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $11,286.18 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/19/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00 * BROKERAGE FIRM ARBITRATION (453 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/04/2002 Case Number: 02-01570 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,410.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, NASD BrokerCheck October 14, 2005 Page 363 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (454 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2001 Case Number: 01-02186 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,158.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,264.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,426.45; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,575.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/05/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (455 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/2001 Case Number: 01-03827 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 14, 2005 Page 364 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/18/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,851.00 * BROKERAGE FIRM ARBITRATION (456 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1999 Case Number: 99-03692 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (457 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/2000 Case Number: 00-01581 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 365 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (458 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/2002 Case Number: 02-00733 Allegations: ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/12/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $643.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (459 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/2001 Case Number: 01-00300 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $30,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 366 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/25/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (460 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/18/2001 Case Number: 01-01518 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (461 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2001 Case Number: 01-03368 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,501.83 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,568.02 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,637.07 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,685.69 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $629.15 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY NASD BrokerCheck October 14, 2005 Page 367 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/21/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (462 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/2001 Case Number: 01-03952 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,281.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $856.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $12,843.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $4,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,760.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,352.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $20,280.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (463 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/2000 Case Number: 00-05272 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $909,591.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 368 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (464 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/2000 Case Number: 00-04523 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (465 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2001 Case Number: 01-05020 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,824.58 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 369 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (466 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/18/2001 Case Number: 01-03529 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,188.88 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (467 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/2001 Case Number: 01-04747 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CERTIFICATE OF DEPOSIT;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 370 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,155.38; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $367.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $575.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (468 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2000 Case Number: 00-00571 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,300.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (469 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 371 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/30/2000 Case Number: 00-05028 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (470 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/2000 Case Number: 00-04677 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,231,665.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (471 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/2001 Case Number: 01-03296 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,131.68 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/2002 NASD BrokerCheck October 14, 2005 Page 372 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,074.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (472 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/01/2000 Case Number: 00-04806 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,511.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (473 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/2001 Case Number: 01-00077 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BONDS * BROKERAGE FIRM ARBITRATION (474 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/10/2001 Case Number: 01-04956 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 373 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,101.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,899.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (475 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/2001 Case Number: 01-05830 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (476 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/18/2001 Case Number: 01-06176 Allegations: TRADING DISPUTES-SELL OUTS; ACCOUNT RELATED-TRANSFER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,962.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/13/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (477 of 1129) * NASD BrokerCheck October 14, 2005 Page 374 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/2001 Case Number: 01-01614 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (478 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/2000 Case Number: 00-04075 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $126,419.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (479 of 1129) * NASD BrokerCheck October 14, 2005 Page 375 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/2001 Case Number: 01-02205 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,872.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $575.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/26/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (480 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2000 Case Number: 00-00489 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (481 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/2001 Case Number: 01-00521 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;COMMON STOCK;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 376 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (482 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/2000 Case Number: 00-04712 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/18/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (483 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/18/2001 Case Number: 01-03329 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 377 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (484 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/04/2000 Case Number: 00-03115 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $313,198.34 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $120,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (485 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/2001 Case Number: 01-04369 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS;COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,796.54 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 378 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (486 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/17/2001 Case Number: 01-02939 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,697.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,697.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/28/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,697.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (487 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/2001 Case Number: 01-01007 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $227,481.52 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $682,444.56 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (488 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 379 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/22/2000 Case Number: 00-03869 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,269.94 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,138.14 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,138.14 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (489 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/2000 Case Number: 00-04161 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,630.69 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $49,261.38 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 380 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (490 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/17/2001 Case Number: 01-02258 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,682.98 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/07/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (491 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/2001 Case Number: 01-03702 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,546.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (492 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2001 Case Number: 01-01108 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,883.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 381 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (493 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/1999 Case Number: 99-00292 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (494 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1997 Case Number: 97-05380 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,541.82 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (495 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1999 Case Number: 99-05301 NASD BrokerCheck October 14, 2005 Page 382 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,946,701.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $278,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,500.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/08/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,108.12; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (496 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/06/2000 Case Number: 00-04226 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/07/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/07/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,250.00 * BROKERAGE FIRM ARBITRATION (497 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 383 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/26/2001 Case Number: 01-00361 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $225,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (498 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2001 Case Number: 01-01404 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-DIVIDENDS Type of Securities: GOVERNMENT SECURITIES;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (499 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/26/2001 Case Number: 01-03860 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 14, 2005 Page 384 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,871.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (500 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/2000 Case Number: 00-04111 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (501 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/01/2001 Case Number: 01-00284 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,497.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $325.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (502 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 385 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 05/14/2001 Case Number: 01-02355 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,284.06 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,048.29 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $2,899.79 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $2,807.85 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $2,576.42 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,048.28 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,332.35 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/09/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,284.06; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (503 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1999 Case Number: 99-00719 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/31/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (504 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/04/2001 Case Number: 01-01794 NASD BrokerCheck October 14, 2005 Page 386 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,250.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (505 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/27/2000 Case Number: 00-04878 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $415,997.73 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $300.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/2001 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,733.33; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 NASD BrokerCheck October 14, 2005 Page 387 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (507 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/24/1999 Case Number: 99-02669 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $450,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/12/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (508 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/2001 Case Number: 01-00231 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,372.95 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $75.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $50.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 388 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (509 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/2000 Case Number: 00-03601 Allegations: ACCOUNT RELATED-DIVIDENDS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,887.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (511 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2000 Case Number: 00-01971 NASD BrokerCheck October 14, 2005 Page 389 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $171,828.10 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/20/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $171,828.10; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (512 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/2000 Case Number: 00-02798 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/06/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (513 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/23/2000 Case Number: 00-02318 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,342.20 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 390 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/03/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (514 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1998 Case Number: 98-00453 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/05/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (515 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/03/2000 Case Number: 00-00315 Allegations: OTHER-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,672,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,450.08; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (516 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 391 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/04/2000 Case Number: 99-05483 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (517 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/2000 Case Number: 99-05460 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (518 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/2000 Case Number: 00-00758 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 14, 2005 Page 392 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $68,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $204,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/06/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (519 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1999 Case Number: 99-05200 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/01/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (520 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/19/2000 Case Number: 00-01392 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 393 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/29/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (521 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/2000 Case Number: 00-02885 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER-CLEARING DISPUTES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,328.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (522 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2000 Case Number: 00-02455 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,774.41 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/09/2001 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 394 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00 * BROKERAGE FIRM ARBITRATION (523 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/02/1998 Case Number: 98-02412 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,220.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (524 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1999 Case Number: 99-04311 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;PREFERRED STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $147,589.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $295,178.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $44,276.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $88,552.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/06/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $46,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 395 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (525 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2000 Case Number: 00-02746 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,600.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (526 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1999 Case Number: 99-04568 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,478.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (527 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2000 Case Number: 00-02472 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,875.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,875.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/23/2001 NASD BrokerCheck October 14, 2005 Page 396 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/23/2001 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (528 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/29/1999 Case Number: 99-05528 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (529 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/20/2000 Case Number: 00-02960 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (530 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/2000 NASD BrokerCheck October 14, 2005 Page 397 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 00-00502 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (531 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/13/2000 Case Number: 00-00924 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,863.40 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/18/2001 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (532 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/17/1999 NASD BrokerCheck October 14, 2005 Page 398 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 99-02936 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,750,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,800.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/28/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (533 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/17/2000 Case Number: 00-02811 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,922.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/03/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (534 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/1999 Case Number: 99-03407 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT NASD BrokerCheck October 14, 2005 Page 399 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $68,097.25 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (535 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/2000 Case Number: 00-00431 Allegations: EXECUTIONS-EXECUTION PRICE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-OTHER; EXECUTIONS-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,491.61 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $170.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $389.18; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (536 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/2000 Case Number: 00-01416 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; EXECUTIONS-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,800.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $5,600.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 400 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (537 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/05/2000 Case Number: 00-00896 Allegations: ACCOUNT RELATED-TRANSFER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,302.53 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,607.59 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/31/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (538 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/2000 Case Number: 00-00651 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,180.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,180.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (539 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/1999 Case Number: 99-00834 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 14, 2005 Page 401 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/09/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (540 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1999 Case Number: 98-03273 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $233,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/13/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (541 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/19/1999 Case Number: 99-01120 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 402 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/31/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (542 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/1998 Case Number: 98-02479 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/16/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (543 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/2000 Case Number: 99-05579 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/08/2001 8C. RELIEF AWARDED: DECLARATORY JUDGEMENT, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 14, 2005 Page 403 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (544 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2000 Case Number: 00-00466 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-EXECUTION PRICE; TRADING DISPUTES-BUY IN; ACCOUNT RELATED-MARGIN CALLS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,003.84 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,996.16 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $575.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $5,950.99 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/07/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,003.84 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $575.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/07/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,501.92; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $287.50 * BROKERAGE FIRM ARBITRATION (545 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/17/2000 Case Number: 99-05291 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $113,328.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,105.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; INTEREST, NASD BrokerCheck October 14, 2005 Page 404 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/31/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (546 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/2000 Case Number: 00-02943 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; OTHER-INDEMNIFICATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,666.37 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,594.23; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (547 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/2000 Case Number: 00-05323 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,189.67 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/17/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 14, 2005 Page 405 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (548 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/2000 Case Number: 00-00621 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $557.40 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,506.33 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,234.37 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/10/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,236.86; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (549 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/2001 Case Number: 00-05196 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,612.50 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $235.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/05/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (550 of 1129) * NASD BrokerCheck October 14, 2005 Page 406 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1999 Case Number: 98-04493 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/29/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (551 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/09/1999 Case Number: 99-03525 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/06/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (552 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 407 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/26/1999 Case Number: 99-01279 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,645,424.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/05/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (553 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/15/1999 Case Number: 99-00580 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/04/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (554 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1999 Case Number: 99-01728 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 408 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (555 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/1999 Case Number: 99-00688 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,100,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (556 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/27/1999 Case Number: 99-03276 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, NASD BrokerCheck October 14, 2005 Page 409 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,325.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,175.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (557 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1999 Case Number: 99-03817 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OTHER TYPES OF SECURITIES NASD BrokerCheck October 14, 2005 Page 410 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,717.80 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,282.20 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,524.32; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/22/2000 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (558 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/1999 Case Number: 99-02675 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,150.09 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,300.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (559 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/29/1999 Case Number: 99-05082 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS NASD BrokerCheck October 14, 2005 Page 411 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,552.15 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (560 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/29/1999 Case Number: 99-05082 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,552.15 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (561 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/1999 Case Number: 99-03033 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,022.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/05/2000 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (562 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 412 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1999 Case Number: 99-02660 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/20/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (563 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1998 Case Number: 98-03947 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,473.18 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (564 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/26/1998 Case Number: 98-01489 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/2000 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 413 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL * BROKERAGE FIRM ARBITRATION (565 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/1998 Case Number: 98-01713 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (566 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1997 Case Number: 97-05109 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $135,801.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (567 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1997 NASD BrokerCheck October 14, 2005 Page 414 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 97-02259 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;OPTIONS;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $29,022.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $27,128.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $29,022.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,128.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (568 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1997 Case Number: 97-03858 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (569 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/27/1997 Case Number: 97-03670 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $455,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 14, 2005 Page 415 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $182,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (571 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1998 Case Number: 98-01217 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $112,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/09/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,134.00; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 416 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (572 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1998 Case Number: 98-02002 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/29/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (573 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/11/1998 Case Number: 98-02962 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,003.23 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,918.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,117.48 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $51,197.54 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/28/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (574 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/04/1998 Case Number: 98-02065 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; NASD BrokerCheck October 14, 2005 Page 417 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $84,848.49 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $93,244.78 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (575 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1999 Case Number: 98-04757 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $3,900.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/1999 NASD BrokerCheck October 14, 2005 Page 418 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $110,772.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (576 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/1996 Case Number: 96-00485 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (577 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1999 Case Number: 98-04689 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,862.52 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1999 NASD BrokerCheck October 14, 2005 Page 419 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/30/1999 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (578 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/05/1998 Case Number: 98-03302 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (579 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/23/1998 Case Number: 98-01770 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,435.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/16/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 420 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (580 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1998 Case Number: 98-03247 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $771.28 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $771.28 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $30.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/27/1999 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30.00 * BROKERAGE FIRM ARBITRATION (581 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/11/1998 Case Number: 98-01649 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,418.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (582 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/1998 NASD BrokerCheck October 14, 2005 Page 421 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 98-01238 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,939.22 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/22/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (583 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/1998 Case Number: 98-00796 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,332.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (584 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1998 Case Number: 98-00589 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUNICIPAL BONDS;WARRANTS/RIGHTS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 422 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (585 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1998 Case Number: 98-00454 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,807.59 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/15/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,807.59 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,807.59 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/15/1999 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,777.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,777.00 * BROKERAGE FIRM ARBITRATION (586 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1998 Case Number: 98-00312 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,097.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; OTHER NASD BrokerCheck October 14, 2005 Page 423 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (587 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/1998 Case Number: 98-00004 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $84,649.83 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (588 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/1998 Case Number: 97-05692 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $141,109.27 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 424 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 04/08/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (589 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1997 Case Number: 97-05476 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,551.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/07/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (590 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/25/1997 Case Number: 97-05427 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;PREFERRED STOCK;WARRANTS/RIGHTS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 425 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (591 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/11/1997 Case Number: 97-04140 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,700.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,100.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/14/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,700.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/14/1998 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (592 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1997 Case Number: 97-04094 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $583,188.64 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (593 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/1997 Case Number: 97-04060 NASD BrokerCheck October 14, 2005 Page 426 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $190,382.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (594 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/1997 Case Number: 97-03997 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 14, 2005 Page 427 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FULL * BROKERAGE FIRM ARBITRATION (595 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1997 Case Number: 97-03993 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,369.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/27/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (596 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1997 Case Number: 97-03654 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (597 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 428 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/07/1997 Case Number: 97-03608 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/11/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (598 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/1997 Case Number: 97-03606 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/14/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (599 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/23/1997 Case Number: 97-03132 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;PREFERRED STOCK;CORPORATE BONDS;MUNICIPAL BOND FUNDS Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 429 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1998 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (600 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/1997 Case Number: 97-03131 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,142.50 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (601 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1997 Case Number: 97-03105 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 430 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 * BROKERAGE FIRM ARBITRATION (602 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/1997 Case Number: 97-02760 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,500.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $7,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (603 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/04/1997 Case Number: 97-02677 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (604 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 431 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 04/28/1997 Case Number: 97-02018 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (605 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/1997 Case Number: 97-01635 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $83,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/04/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,118.60; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (606 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1997 Case Number: 97-01159 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OPTIONS;MUNICIPAL BONDS;OTHER TYPES OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 432 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/11/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (607 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/04/1997 Case Number: 97-01090 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,135.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $138,330.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $11,521.85 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $9,913.33 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $2,625.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/19/1998 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,625.00 NASD BrokerCheck October 14, 2005 Page 433 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (608 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1997 Case Number: 97-01022 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/06/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $140,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81,127.86; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,015.73; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,987.59 * BROKERAGE FIRM ARBITRATION (609 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/1997 Case Number: 97-00961 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $733.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/16/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, NASD BrokerCheck October 14, 2005 Page 434 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (610 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/1997 Case Number: 97-00379 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,819.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,917.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $34,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (611 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1997 Case Number: 97-00263 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,651.52 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,729.83 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,366.01 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 435 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (613 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/14/1997 Case Number: 96-05689 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $850,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED NASD BrokerCheck October 14, 2005 Page 436 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $53,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (614 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1996 Case Number: 96-05558 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 437 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (615 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/1997 Case Number: 96-05367 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,784.71 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (616 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/1996 Case Number: 96-04945 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,815.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 438 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (617 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/1996 Case Number: 96-04868 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $8,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,778.35; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (618 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1996 Case Number: 96-04835 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,146.10 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/01/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (619 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/1997 Case Number: 96-04755 NASD BrokerCheck October 14, 2005 Page 439 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/25/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (620 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1996 Case Number: 96-04667 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,422.84 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 440 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 01/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (621 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1997 Case Number: 96-04528 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $83,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $17,633.02 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,469.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (622 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/1997 Case Number: 96-04508 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $737,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $109,650.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 441 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (623 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/07/1996 Case Number: 96-04234 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,409.85 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $650.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (624 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/21/1996 Case Number: 96-04096 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,302.54 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,796.33 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $543.78 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,578.67 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 442 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (625 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/10/1996 Case Number: 96-03966 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,793.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,793.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,793.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,793.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/06/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (626 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/11/1996 Case Number: 96-03842 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GOVERNMENT SECURITIES;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,865.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 443 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 02/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (627 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/1996 Case Number: 96-03398 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,732.50 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $1,250.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,732.50; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,250.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62.50 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/14/1997 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (628 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1996 Case Number: 96-03385 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $252,188.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,500.00 NASD BrokerCheck October 14, 2005 Page 444 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (629 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1996 Case Number: 96-02960 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,337.45 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,350.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/20/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (630 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/1996 Case Number: 96-02611 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $245,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $245,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 14, 2005 Page 445 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (631 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1996 Case Number: 96-02600 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;PREFERRED STOCK;MUNICIPAL BOND FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (632 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/1996 Case Number: 96-02593 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 446 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (633 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/1996 Case Number: 96-02455 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (634 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1996 Case Number: 96-02344 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (635 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1996 Case Number: 96-02241 NASD BrokerCheck October 14, 2005 Page 447 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,279.04 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/08/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,279.09; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (636 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1996 Case Number: 96-02233 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $585,432.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,314.57; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (637 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/1996 Case Number: 96-02211 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $258,061.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 448 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (638 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/1996 Case Number: 96-02088 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/05/1997 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (639 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/1996 Case Number: 96-01912 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,200.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1996 NASD BrokerCheck October 14, 2005 Page 449 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $288.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/06/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (640 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/1996 Case Number: 96-01839 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,208.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/07/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00 * BROKERAGE FIRM ARBITRATION (641 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/1996 Case Number: 96-01824 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/04/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 450 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (642 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1996 Case Number: 96-01695 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (643 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/1996 Case Number: 96-01533 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;FANNY MAE Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,333.11 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 451 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (644 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1996 Case Number: 96-01528 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00 * BROKERAGE FIRM ARBITRATION (645 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1996 Case Number: 96-01378 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,594.48 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (646 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1996 Case Number: 96-01361 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,188.56 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 452 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (647 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1996 Case Number: 96-01276 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (648 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1996 Case Number: 96-00965 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $514,896.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 453 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (649 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/1996 Case Number: 96-00671 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/30/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (650 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/1996 Case Number: 96-00612 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: WARRANTS/RIGHTS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $197,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (651 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1996 Case Number: 96-00543 NASD BrokerCheck October 14, 2005 Page 454 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $137,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $412,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,272.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (652 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/1996 Case Number: 96-00519 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,475.97 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,951.48 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,350.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $75.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $800.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (653 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1996 Case Number: 96-00390 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,419.89 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/1996 NASD BrokerCheck October 14, 2005 Page 455 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/10/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (654 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1996 Case Number: 96-00314 Allegations: ACCOUNT RELATED-TRANSFER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: GOVERNMENT SECURITIES;MUNICIPAL BONDS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $222.79 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10.40 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/13/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $222.79; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (655 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1996 Case Number: 96-00281 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; OTHER-OTHER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;PREFERRED STOCK;FREDDIE MACS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,437.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,600.00; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (656 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1996 NASD BrokerCheck October 14, 2005 Page 456 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 96-00215 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,134.15 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (657 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1996 Case Number: 96-00200 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,195.79; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (658 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1996 Case Number: 96-00133 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 457 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $133,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (659 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1996 Case Number: 96-00034 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS;MUTUAL FUNDS;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,072,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $241,168.20 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $40,070.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/03/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (660 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1996 Case Number: 95-06086 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 458 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (661 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1995 Case Number: 95-05989 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,982.65 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,672.92 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $951.14 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,491.33; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $137.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (662 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1996 Case Number: 95-05968 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS;GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,195.63 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,181.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (663 of 1129) * NASD BrokerCheck October 14, 2005 Page 459 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1996 Case Number: 95-05938 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,982.16 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,177.89 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $773.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,949.11; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,177.89; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $773.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/14/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (664 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/19/1996 Case Number: 95-05870 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/10/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (665 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/11/1995 Case Number: 95-05726 NASD BrokerCheck October 14, 2005 Page 460 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/20/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (666 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1995 Case Number: 95-05497 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,588.20 * BROKERAGE FIRM ARBITRATION (667 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1995 Case Number: 95-05272 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 461 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,870.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/12/1997 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (668 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1995 Case Number: 95-05033 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;MUNICIPAL BONDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,300.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $309,900.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/02/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,873.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (669 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/1995 Case Number: 95-04934 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 14, 2005 Page 462 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,519.47 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (670 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1995 Case Number: 95-04738 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,981.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/07/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/07/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (671 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1995 Case Number: 95-04335 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (672 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 463 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 10/20/1995 Case Number: 95-04182 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,310.64 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (673 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/1996 Case Number: 95-04165 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $630.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $422.50 * BROKERAGE FIRM ARBITRATION (674 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/1995 Case Number: 95-04004 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: WARRANTS/RIGHTS;OPTIONS;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,260.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $115,952.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,080.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 464 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (675 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/1995 Case Number: 95-03822 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (676 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1995 Case Number: 95-03483 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $83,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (677 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/1995 NASD BrokerCheck October 14, 2005 Page 465 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-03428 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-MARGIN CALLS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,613.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,131.90 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $406,497.50 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (678 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1995 Case Number: 95-03383 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,228.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/12/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (679 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/18/1995 Case Number: 95-02973 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,317.45 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $11,682.55 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 466 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (680 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1995 Case Number: 95-02717 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,404.19; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,404.19; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,261.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (681 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/1995 Case Number: 95-02642 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (682 of 1129) * NASD BrokerCheck October 14, 2005 Page 467 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/26/1995 Case Number: 95-02626 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $815,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (683 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1995 Case Number: 95-02408 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (684 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/1995 NASD BrokerCheck October 14, 2005 Page 468 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-02193 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,001.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $80,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (685 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/30/1995 Case Number: 95-02158 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,446.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (686 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/1995 Case Number: 95-01941 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY NASD BrokerCheck October 14, 2005 Page 469 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/05/1997 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (687 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1995 Case Number: 95-01917 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,209.75 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (688 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/05/1995 Case Number: 95-01812 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $917.29 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (689 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/1995 Case Number: 95-01639 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BONDS;GOVERNMENT SECURITIES;FANNY MAE NASD BrokerCheck October 14, 2005 Page 470 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 * BROKERAGE FIRM ARBITRATION (690 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/12/1995 Case Number: 95-01609 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,159.52 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,800.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/26/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (691 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/12/1995 Case Number: 95-01605 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,995.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,218.75 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/30/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (692 of 1129) * NASD BrokerCheck October 14, 2005 Page 471 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/1995 Case Number: 95-01583 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/21/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (693 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/21/1995 Case Number: 95-01417 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,349.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $52,881.02; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (694 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01247 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,409.04 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/1995 NASD BrokerCheck October 14, 2005 Page 472 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/07/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (695 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1995 Case Number: 95-01187 Allegations: OTHER-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,199.80 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (696 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01091 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $431,145.57 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (697 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 473 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/24/1995 Case Number: 95-01062 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,094.73 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/16/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (698 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1995 Case Number: 95-00635 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (699 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1995 Case Number: 95-00561 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,614.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (700 of 1129) * NASD BrokerCheck October 14, 2005 Page 474 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/1995 Case Number: 95-00513 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,543.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (701 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/1995 Case Number: 95-00448 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,750.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (702 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/01/1995 Case Number: 95-00428 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 475 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (703 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1995 Case Number: 95-00169 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,628.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,697.66 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/03/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450.94 * BROKERAGE FIRM ARBITRATION (704 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/19/1995 Case Number: 95-00065 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,085.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,085.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 476 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (706 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/1995 Case Number: 94-05255 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: GINNIE MAES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,994.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/01/1996 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (707 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1994 Case Number: 94-05227 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,593.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $21,600.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $243,579.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 477 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (708 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1994 Case Number: 94-05119 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (709 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1994 Case Number: 94-05095 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,322.40 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (710 of 1129) * NASD BrokerCheck October 14, 2005 Page 478 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1994 Case Number: 94-04952 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,164.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/17/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (711 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1994 Case Number: 94-04896 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,080.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $650.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,458.25; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,875.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (712 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1994 Case Number: 94-04821 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 NASD BrokerCheck October 14, 2005 Page 479 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/25/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,475.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 08/25/1995 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (713 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/1994 Case Number: 94-04781 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GINNIE MAES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $6,550.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/01/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (714 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1994 Case Number: 94-04621 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,662.71 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,060.32; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 14, 2005 Page 480 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (715 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1994 Case Number: 94-04479 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS;MUNICIPAL BONDS;CORPORATE BONDS Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/04/1998 Relief Awarded: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (716 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1994 Case Number: 94-04462 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,380.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $345.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/24/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (717 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1994 Case Number: 94-04412 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; TRADING DISPUTES-OTHER; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,550.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 481 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $80,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $775.35; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (718 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1994 Case Number: 94-04315 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,400.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (719 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/1994 Case Number: 94-04299 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,461.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/16/1996 NASD BrokerCheck October 14, 2005 Page 482 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,795.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $104,327.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,000.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/16/1996 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $195,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $205,000.00 * BROKERAGE FIRM ARBITRATION (720 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/1994 Case Number: 94-04159 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/06/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (721 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/1994 Case Number: 94-04096 Allegations: ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,294.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,294.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,294.00 NASD BrokerCheck October 14, 2005 Page 483 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,294.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,294.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/11/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (722 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1994 Case Number: 94-04094 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (723 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/10/1994 Case Number: 94-03983 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (724 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 484 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1994 Case Number: 94-03904 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,972.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (725 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1994 Case Number: 94-03877 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,435.70 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (726 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1994 Case Number: 94-03798 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,544.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 485 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (727 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1994 Case Number: 94-03576 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $279,248.99 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,238.59 * BROKERAGE FIRM ARBITRATION (728 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/20/1994 Case Number: 94-03485 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (729 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/1994 Case Number: 94-03478 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT NASD BrokerCheck October 14, 2005 Page 486 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (730 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/22/1994 Case Number: 94-03419 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,061.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (731 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/1994 Case Number: 94-03033 Allegations: ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $275,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/05/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $280,000.00; NASD BrokerCheck October 14, 2005 Page 487 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (732 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/20/1994 Case Number: 94-02847 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,902.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,902.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (733 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/06/1994 Case Number: 94-02804 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (734 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/20/1994 Case Number: 94-02729 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - NASD BrokerCheck October 14, 2005 Page 488 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,865.37 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (735 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/08/1994 Case Number: 94-02658 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (736 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/1994 Case Number: 94-02584 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/15/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 489 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (737 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/06/1994 Case Number: 94-02576 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $145,681.38 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (738 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/1994 Case Number: 94-02548 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (739 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/11/1994 Case Number: 94-02455 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMODITIES FUTURES;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,230,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 490 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 01/07/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,374.09 * BROKERAGE FIRM ARBITRATION (740 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1994 Case Number: 94-02440 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $278,963.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $81,790.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (741 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1994 Case Number: 94-02270 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,967.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (742 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 491 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/22/1994 Case Number: 94-02129 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (743 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/1994 Case Number: 94-01966 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,225.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/01/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (744 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/01/1994 Case Number: 94-01895 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,668.29; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 492 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (745 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1994 Case Number: 94-01781 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (746 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1994 Case Number: 94-01763 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (747 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 493 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/19/1994 Case Number: 94-01747 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,001.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (748 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1994 Case Number: 94-01741 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (749 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1994 Case Number: 94-01717 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 494 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (750 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/1994 Case Number: 94-01651 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS;GINNIE MAES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $254,860.77 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $227,673.20 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $477,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (751 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1994 Case Number: 94-01318 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (752 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 495 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1994 Case Number: 94-01165 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: INTEREST, ASKED AMOUNT $670.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/05/1995 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (753 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1994 Case Number: 94-01106 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $989.99 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $324.62 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $354.38 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $989.99; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $324.62; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $354.38; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/08/1995 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (754 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/1994 Case Number: 94-01016 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,203.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 14, 2005 Page 496 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (755 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/23/1994 Case Number: 94-00885 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (756 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1994 Case Number: 94-00813 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 NASD BrokerCheck October 14, 2005 Page 497 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (757 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/14/1994 Case Number: 94-00747 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $77,297.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (758 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1994 Case Number: 94-00720 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: ANNUITIES;MUTUAL FUNDS;LIMITED PARTNERSHIPS;GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $247,119.19 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/15/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (759 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1994 Case Number: 94-00571 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER NASD BrokerCheck October 14, 2005 Page 498 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,085.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $750.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (760 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/19/1994 Case Number: 94-00496 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: OTHER COSTS, ASKED AMOUNT $30.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $489.02 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $418.04 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/28/1994 Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (761 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1994 Case Number: 94-00412 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (762 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 499 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/11/1994 Case Number: 94-00362 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,502.86 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (763 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1994 Case Number: 94-00266 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; OTHER-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $159,907.47 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (764 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1994 Case Number: 94-00007 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,001.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 500 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 02/16/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (765 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1994 Case Number: 94-00005 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,792,519.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $5,377,557.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (766 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1994 Case Number: 93-05320 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $168,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 501 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (767 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/03/1994 Case Number: 93-05228 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,300,755.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $223,334.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,250.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (768 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1994 Case Number: 93-05145 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (769 of 1129) * NASD BrokerCheck October 14, 2005 Page 502 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/1994 Case Number: 93-05117 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,086.59 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,043.30 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (770 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1994 Case Number: 93-04953 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (771 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1993 Case Number: 93-04909 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND NASD BrokerCheck October 14, 2005 Page 503 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/03/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (772 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1993 Case Number: 93-04866 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,155.55 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/19/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (773 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1994 Case Number: 93-04848 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $52,500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 504 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (774 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1993 Case Number: 93-04556 Allegations: FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $201,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (775 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1994 Case Number: 93-04267 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (776 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1993 Case Number: 93-04191 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,925.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,925.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 505 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (777 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1993 Case Number: 93-04096 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: GINNIE MAES;MUTUAL FUNDS;MUNICIPAL BOND FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $875,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (778 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1993 Case Number: 93-03997 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/15/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,250.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST NASD BrokerCheck October 14, 2005 Page 506 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (779 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03994 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (780 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/1993 Case Number: 93-03936 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $429.05 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $429.05 * BROKERAGE FIRM ARBITRATION (781 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/07/1993 Case Number: 93-03923 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 14, 2005 Page 507 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,805.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $81,400.31 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $62,415.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/16/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (782 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1993 Case Number: 93-03890 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $933.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (783 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03660 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (784 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 508 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/28/1993 Case Number: 93-03465 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $141,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $113,815.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (785 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/1993 Case Number: 93-03125 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,264.69 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/16/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,525.78 * BROKERAGE FIRM ARBITRATION (786 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/1993 Case Number: 93-02898 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,061.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/1994 NASD BrokerCheck October 14, 2005 Page 509 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,567.28; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (787 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/1993 Case Number: 93-02787 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $298,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $894,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (788 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/26/1993 Case Number: 93-02774 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $135,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,517.85; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,172.61; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL NASD BrokerCheck October 14, 2005 Page 510 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (789 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1993 Case Number: 93-02726 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (790 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/1993 Case Number: 93-02632 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $850.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/17/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (791 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1993 Case Number: 93-02547 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS NASD BrokerCheck October 14, 2005 Page 511 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,539.30 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $750.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (792 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/1993 Case Number: 93-02546 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,323.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (793 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/1993 Case Number: 93-02312 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,868.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 512 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/23/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (794 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1993 Case Number: 93-02308 Allegations: EXECUTIONS-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,478.07 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (795 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1993 Case Number: 93-02303 Allegations: FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $76,111.76 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (796 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/1993 Case Number: 93-02224 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT NASD BrokerCheck October 14, 2005 Page 513 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (797 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1993 Case Number: 93-02072 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/02/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,669.49 * BROKERAGE FIRM ARBITRATION (798 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1993 Case Number: 93-01955 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS;CORPORATE BONDS;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,687.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,405.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 514 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (799 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1993 Case Number: 93-01923 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (800 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/1993 Case Number: 93-01868 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (801 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/27/1993 Case Number: 93-01649 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 515 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,191.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (802 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1993 Case Number: 93-01597 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $52,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (803 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/03/1993 Case Number: 93-01113 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,164.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, NASD BrokerCheck October 14, 2005 Page 516 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,634.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (804 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1993 Case Number: 93-01084 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,861.97 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $816.00 SEVERALLY ; INTEREST, ASKED AMOUNT $800.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (805 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1993 Case Number: 93-00808 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,700.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 * BROKERAGE FIRM ARBITRATION (806 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1993 NASD BrokerCheck October 14, 2005 Page 517 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 93-00591 Allegations: OTHER-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (807 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/12/1993 Case Number: 93-00590 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (808 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/1993 Case Number: 93-00485 Allegations: FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,281.16 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (809 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1993 Case Number: 93-00453 NASD BrokerCheck October 14, 2005 Page 518 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/01/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (810 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/1993 Case Number: 93-00400 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,978.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,548.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (811 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/1993 Case Number: 93-00398 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,359.03 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (812 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 519 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/25/1993 Case Number: 93-00376 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,089.37 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (813 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/1993 Case Number: 93-00375 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,278.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (814 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/1993 Case Number: 93-00189 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,060.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,551.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (815 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 520 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/24/1993 Case Number: 93-00118 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,197.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $294,592.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (816 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1993 Case Number: 93-00096 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $192,360.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,640.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/03/1994 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,986.40 * BROKERAGE FIRM ARBITRATION (817 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/29/1993 Case Number: 93-00093 NASD BrokerCheck October 14, 2005 Page 521 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,325.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,674.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/20/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/20/1993 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00 * BROKERAGE FIRM ARBITRATION (818 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/07/1993 Case Number: 92-04293 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $173,315.81 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/02/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $173,315.81 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/02/1994 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,625.00 * BROKERAGE FIRM ARBITRATION (819 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/1993 Case Number: 92-04258 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,784.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 522 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (820 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/18/1992 Case Number: 92-04187 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,250.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (821 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1992 Case Number: 92-04118 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/1994 NASD BrokerCheck October 14, 2005 Page 523 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (822 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1992 Case Number: 92-04055 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (823 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/1993 Case Number: 92-04030 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 524 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $24,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (824 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1992 Case Number: 92-03968 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,847.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (825 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/1993 Case Number: 92-03960 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (826 of 1129) * NASD BrokerCheck October 14, 2005 Page 525 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1992 Case Number: 92-03940 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,673.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $58,235.44; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,108.32; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (827 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/16/1992 Case Number: 92-03832 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/14/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (828 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1992 Case Number: 92-03623 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS NASD BrokerCheck October 14, 2005 Page 526 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,269.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/28/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 * BROKERAGE FIRM ARBITRATION (829 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/1992 Case Number: 92-03493 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $101,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,501.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (830 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/1992 Case Number: 92-03466 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 527 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (831 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1992 Case Number: 92-03459 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $108,100.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,900.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/08/1993 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (832 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/03/1992 Case Number: 92-03419 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,093.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,400.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (833 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 528 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 12/08/1992 Case Number: 92-03255 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,560.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (834 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1992 Case Number: 92-03233 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; TRADING DISPUTES-OTHER Type of Securities: PREFERRED STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,540.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/20/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (835 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/1992 Case Number: 92-03212 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,456.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 529 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (836 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/28/1992 Case Number: 92-03164 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,560.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (837 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/1992 Case Number: 92-03111 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;REAL ESTATE INVESTMENT TRUST;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,500.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (838 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 530 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/02/1992 Case Number: 92-02942 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,769.00 SEVERALLY ; INTEREST, ASKED AMOUNT $5,100.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (839 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/02/1992 Case Number: 92-02907 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $218,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (840 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/1992 Case Number: 92-02894 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,735.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 14, 2005 Page 531 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (841 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/24/1992 Case Number: 92-02810 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/09/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $496,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200.00 * BROKERAGE FIRM ARBITRATION (842 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/20/1992 Case Number: 92-02806 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 532 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (843 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1992 Case Number: 92-02762 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (844 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/18/1992 Case Number: 92-02735 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (845 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 533 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/17/1992 Case Number: 92-02719 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $105,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,897.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (846 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1992 Case Number: 92-02714 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;PREFERRED STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,100.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (847 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1992 Case Number: 92-02686 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 534 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (848 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/03/1992 Case Number: 92-02665 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00 * BROKERAGE FIRM ARBITRATION (849 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/1992 Case Number: 92-02325 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,537.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (850 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/1992 Case Number: 92-02231 Allegations: EXECUTIONS-OTHER NASD BrokerCheck October 14, 2005 Page 535 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,450.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $519.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/04/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $519.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (851 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/1992 Case Number: 92-02228 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,901.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $935.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (852 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/08/1992 Case Number: 92-02200 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,930,347.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/05/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 536 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (853 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/24/1992 Case Number: 92-02049 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/06/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $30.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/06/1993 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15.00 * BROKERAGE FIRM ARBITRATION (854 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/24/1992 Case Number: 92-01973 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $5,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/25/1993 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 * BROKERAGE FIRM ARBITRATION (855 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/13/1992 Case Number: 92-01781 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,320.05 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 537 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 01/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,120.00 * BROKERAGE FIRM ARBITRATION (856 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/23/1992 Case Number: 92-01623 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,430.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (857 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/1992 Case Number: 92-01618 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,500.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 538 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (858 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/1992 Case Number: 92-01612 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,947.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,983.96 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/02/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (859 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/1992 Case Number: 92-01598 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,637.17 * BROKERAGE FIRM ARBITRATION (860 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1992 Case Number: 92-01562 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.00 NASD BrokerCheck October 14, 2005 Page 539 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $1,534.00 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,534.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/16/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,534.00 * BROKERAGE FIRM ARBITRATION (861 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1992 Case Number: 92-01448 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,514.26 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $48,690.03 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (862 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/22/1992 Case Number: 92-01417 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $545,279.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,100.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 540 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (863 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1992 Case Number: 92-01319 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,228.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,680.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (864 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/21/1992 Case Number: 92-01315 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $7,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (865 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/28/1992 Case Number: 92-01304 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES NASD BrokerCheck October 14, 2005 Page 541 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,824.82; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (866 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/1992 Case Number: 92-01258 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $185,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/11/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (867 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/1992 Case Number: 92-01255 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,107.95 SEVERALLY NASD BrokerCheck October 14, 2005 Page 542 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (868 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/28/1992 Case Number: 92-01171 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,830.00 * BROKERAGE FIRM ARBITRATION (869 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/16/1992 Case Number: 92-01148 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/23/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,586.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,519.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (870 of 1129) * NASD BrokerCheck October 14, 2005 Page 543 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1992 Case Number: 92-01139 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $128,500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00 * BROKERAGE FIRM ARBITRATION (871 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1992 Case Number: 92-01127 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (872 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/1993 Case Number: 92-01101 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,256.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 544 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (873 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/1992 Case Number: 92-01082 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,900.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (874 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/15/1992 Case Number: 92-00950 Allegations: FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,469.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (875 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1992 NASD BrokerCheck October 14, 2005 Page 545 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-00888 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (876 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/1992 Case Number: 92-00882 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (877 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1992 Case Number: 92-00841 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS NASD BrokerCheck October 14, 2005 Page 546 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/09/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (878 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1992 Case Number: 92-00773 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/09/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (879 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1992 Case Number: 92-00771 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/1992 NASD BrokerCheck October 14, 2005 Page 547 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (880 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/1992 Case Number: 92-00766 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $836.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $836.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $103.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (881 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/18/1992 Case Number: 92-00707 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;PREFERRED STOCK;OPTIONS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,964.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 548 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (882 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/1992 Case Number: 92-00677 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,154.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $90,076.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (883 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1992 Case Number: 92-00622 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950.00 * BROKERAGE FIRM ARBITRATION (884 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 549 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/22/1992 Case Number: 92-00530 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $227,969.56 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $683,908.68 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (885 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1992 Case Number: 92-00522 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,365.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,590.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (886 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/25/1992 Case Number: 92-00485 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,227.05 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,465.00 NASD BrokerCheck October 14, 2005 Page 550 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (887 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/1992 Case Number: 92-00455 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,370.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/05/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (888 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/21/1992 Case Number: 92-00450 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00 * BROKERAGE FIRM ARBITRATION (889 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1992 Case Number: 92-00415 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,250.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 551 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 12/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (890 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1992 Case Number: 92-00313 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00 * BROKERAGE FIRM ARBITRATION (891 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1992 Case Number: 92-00177 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/1994 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (892 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 552 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1992 Case Number: 92-00175 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,346.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (893 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/1992 Case Number: 92-00163 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,768.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,343.00 * BROKERAGE FIRM ARBITRATION (894 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1992 Case Number: 92-00139 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,920.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,018.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 553 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (895 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1992 Case Number: 92-00081 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;PREFERRED STOCK;OPTIONS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $109,800.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (896 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/1992 Case Number: 92-00055 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-TRANSFER; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,200.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $828.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (897 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 554 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1992 Case Number: 92-00026 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $68,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (898 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/1992 Case Number: 92-00015 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,354.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $31,410.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (899 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1992 Case Number: 91-04136 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 555 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $650,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $256,920.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,139.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (900 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/1992 Case Number: 91-04085 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;OPTIONS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (901 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/1992 Case Number: 91-04030 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: GOVERNMENT SECURITIES;LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,277.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/1993 NASD BrokerCheck October 14, 2005 Page 556 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00 * BROKERAGE FIRM ARBITRATION (902 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1991 Case Number: 91-04005 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (903 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/1992 Case Number: 91-03993 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (904 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/08/1992 Case Number: 91-03990 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 557 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/25/1992 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (905 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/1992 Case Number: 91-03875 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (906 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/1991 Case Number: 91-03767 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $462,564.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $38,997.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,097.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (907 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 558 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 12/04/1991 Case Number: 91-03761 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $31,985.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (908 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/29/1992 Case Number: 91-03753 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $540.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $4,400.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (909 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 91-03731 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 559 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (910 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 91-03717 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/05/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (911 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/1991 Case Number: 91-03682 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,935.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (912 of 1129) * NASD BrokerCheck October 14, 2005 Page 560 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1992 Case Number: 91-03649 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,124.72 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/25/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00 * BROKERAGE FIRM ARBITRATION (913 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/1992 Case Number: 91-03636 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $750,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (914 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1991 Case Number: 91-03627 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;GOVERNMENT SECURITIES;COMMON STOCK;UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 561 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,878.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,154.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/22/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (915 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/14/1991 Case Number: 91-03509 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,765.12 * BROKERAGE FIRM ARBITRATION (916 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1991 Case Number: 91-03376 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $241,974.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (917 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 562 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/30/1991 Case Number: 91-03349 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (918 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/30/1992 Case Number: 91-03297 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $264,066.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $792,198.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $303,400.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $800.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (919 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1991 Case Number: 91-03195 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS;STOCK INDEX FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 563 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,500.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (920 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 91-03177 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,072.44 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/16/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,072.44; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $120.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $94,144.88; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (921 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1991 Case Number: 91-03167 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GOVERNMENT SECURITIES;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,300.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $750.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/16/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 564 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (922 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1991 Case Number: 91-03147 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,318.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/13/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (923 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1991 Case Number: 91-03135 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,586.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (924 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1991 Case Number: 91-03093 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 14, 2005 Page 565 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,410.54 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $301,231.62 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,474.00; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (925 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1991 Case Number: 91-03081 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (926 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/04/1991 Case Number: 91-03007 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $585,000.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $1,755,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 566 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/01/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $99,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (927 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/26/1991 Case Number: 91-02880 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $850.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $255.00 * BROKERAGE FIRM ARBITRATION (928 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1991 Case Number: 91-02717 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $515.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $9,485.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/08/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (929 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/09/1991 Case Number: 91-02712 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION NASD BrokerCheck October 14, 2005 Page 567 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $421,039.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (930 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/1991 Case Number: 91-02706 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUNICIPAL BOND FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,567.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (931 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/06/1991 Case Number: 91-02670 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,260.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,630.00 * BROKERAGE FIRM ARBITRATION (932 of 1129) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 568 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/30/1991 Case Number: 91-02597 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,163.42; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (933 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/1991 Case Number: 91-02578 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,025.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (934 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/27/1991 Case Number: 91-02575 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS;COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,666.14 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 569 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (935 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/26/1991 Case Number: 91-02551 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $2,400,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/01/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,025.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (936 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1991 Case Number: 91-02540 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,264.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (937 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/1991 Case Number: 91-02399 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF NASD BrokerCheck October 14, 2005 Page 570 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $299,988.93 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/22/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $72,710.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (938 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/1991 Case Number: 91-02354 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: STOCK INDEX FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,672.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $25,802.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $1,250.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $320.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (939 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/09/1991 Case Number: 91-02338 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $313,317.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $939,951.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 571 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (940 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1991 Case Number: 91-02294 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $143,374.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (941 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1991 Case Number: 91-02268 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/1992 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (942 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/03/1991 NASD BrokerCheck October 14, 2005 Page 572 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 91-02235 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;MUNICIPAL BOND FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/08/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (943 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/1991 Case Number: 91-02228 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,563.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (944 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/1991 Case Number: 91-02147 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS;COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,593.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 14, 2005 Page 573 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (945 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/1991 Case Number: 91-02130 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,750.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (946 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/1991 Case Number: 91-02050 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $419,378.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $139,792.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,026,647.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $560,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $131,340.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 574 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,963.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $82,531.00 * BROKERAGE FIRM ARBITRATION (947 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1991 Case Number: 91-02036 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,197.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,116.00 * BROKERAGE FIRM ARBITRATION (948 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1991 Case Number: 91-01967 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/13/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (949 of 1129) * NASD BrokerCheck October 14, 2005 Page 575 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/1991 Case Number: 91-01864 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS;GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (950 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/19/1991 Case Number: 91-01721 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $277,012.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $277,012.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/13/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $205,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (951 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/06/1991 Case Number: 91-01622 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,497.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 576 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 03/05/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,650.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (952 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/1991 Case Number: 91-01586 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,434.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (953 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/1991 Case Number: 91-01571 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $41,122.89 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (954 of 1129) * NASD BrokerCheck October 14, 2005 Page 577 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1991 Case Number: 91-01448 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS;COMMON STOCK;MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $488,813.32 SEVERALLY ; INTEREST, ASKED AMOUNT $170,287.81 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $329,550.57 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $2,965,955.09 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $110,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (955 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/05/1991 Case Number: 91-01398 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-CHURNING Type of Securities: LIMITED PARTNERSHIPS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (956 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/1991 Case Number: 91-01346 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF NASD BrokerCheck October 14, 2005 Page 578 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (957 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/1991 Case Number: 91-01283 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: REAL ESTATE INVESTMENT TRUST;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $154,520.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $154,520.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (958 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/06/1991 Case Number: 91-01275 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $197,815.35 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/03/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 579 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $35,905.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (959 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/30/1991 Case Number: 91-01267 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/19/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (960 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/1991 Case Number: 91-01260 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,328.00 * BROKERAGE FIRM ARBITRATION (961 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1991 Case Number: 91-01149 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT NASD BrokerCheck October 14, 2005 Page 580 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) $495,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/13/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (962 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/1991 Case Number: 91-01093 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,019.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $84,038.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $38,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (963 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/09/1991 Case Number: 91-01091 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,159.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $112,318.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (964 of 1129) * Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 581 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 04/17/1991 Case Number: 91-00882 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $163,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,063.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,814.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/28/1992 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,814.00 * BROKERAGE FIRM ARBITRATION (965 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/1991 Case Number: 91-00795 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (966 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/14/1991 Case Number: 91-00761 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 582 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES;LIMITED PARTNERSHIPS;MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,892.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $107,108.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (967 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/21/1991 Case Number: 91-00758 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,032.75 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (968 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/1991 Case Number: 91-00660 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: CORPORATE BONDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,812.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,665.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 583 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $4,046.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/09/1992 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,684.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,157.00 * BROKERAGE FIRM ARBITRATION (969 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/08/1991 Case Number: 91-00618 Allegations: ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,016.12 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,016.12 * BROKERAGE FIRM ARBITRATION (970 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/1991 Case Number: 91-00612 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-OTHER Type of Securities: LIMITED PARTNERSHIPS;CORPORATE BONDS;OTHER TYPES OF SECURITIES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $112,721.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (971 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 584 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/01/1991 Case Number: 91-00541 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY Type of Securities: PREFERRED STOCK;COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $157,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (972 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/1991 Case Number: 91-00461 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,840.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (973 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/21/1991 Case Number: 91-00454 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 585 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $39,910.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $26,521.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $52,914.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/20/1992 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,138.74; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (974 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/1991 Case Number: 91-00452 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,632.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (975 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/1991 Case Number: 91-00410 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES;GINNIE MAES Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/25/1991 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER COSTS, RELIEF REQUEST HAS NASD BrokerCheck October 14, 2005 Page 586 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (976 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/1991 Case Number: 91-00244 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS;GINNIE MAES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,500.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/22/1991 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00 * BROKERAGE FIRM ARBITRATION (977 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/1991 Case Number: 91-00235 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $183,582.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (978 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1991 Case Number: 91-00227 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 587 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,750.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (979 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/1991 Case Number: 91-00178 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,558.10 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (980 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/1991 Case Number: 91-00075 Allegations: MISREPRESENTATION Type of Securities: CORPORATE BONDS; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES; UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,193.31; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $640.39 Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 09/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (981 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 588 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/15/1991 Case Number: 91-00054 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: FREDDIE MACS;GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $562.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $562.50 * BROKERAGE FIRM ARBITRATION (982 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1991 Case Number: 90-03485 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: OTHER TYPES OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,257.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,062.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/13/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (983 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/1990 Case Number: 90-03438 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,000.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 14, 2005 Page 589 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $2,420.00; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (984 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/1991 Case Number: 90-03402 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/09/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (985 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/1991 Case Number: 90-03366 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (986 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1990 Case Number: 90-03293 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;GOVERNMENT SECURITIES NASD BrokerCheck October 14, 2005 Page 590 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (987 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/1990 Case Number: 90-03283 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $221,603.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (988 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1990 Case Number: 90-03248 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $259,740.12 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $102,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/1991 NASD BrokerCheck October 14, 2005 Page 591 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (989 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/1991 Case Number: 90-03231 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,156.87 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $649.21; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $68.56; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (990 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/31/1991 Case Number: 90-03125 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES * BROKERAGE FIRM ARBITRATION (991 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1990 Case Number: 90-03079 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,877.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $4,409.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 592 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,876.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,250.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (992 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/1991 Case Number: 90-02900 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (993 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/12/1990 Case Number: 90-02807 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK;MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,085.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,841.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,966.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $240.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $15,366.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/28/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,640.17; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 593 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (994 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1991 Case Number: 90-02779 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (995 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1990 Case Number: 90-02761 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,449.81 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $38,250.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/03/1991 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,750.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (996 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/08/1990 Case Number: 90-02740 NASD BrokerCheck October 14, 2005 Page 594 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: GINNIE MAES;MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,308.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,170.51; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (997 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/19/1990 Case Number: 90-02707 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,682.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $89,632.00 SEVERALLY ; INTEREST, ASKED AMOUNT $16,726.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,682.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,726.00 * BROKERAGE FIRM ARBITRATION (998 of 1129) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/03/1990 Case Number: 90-02690 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $319.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $417.00 SEVERALLY ; INTEREST, ASKED AMOUNT $55.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $1,200.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1991 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 14, 2005 Page 595 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $50.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/30/1991 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 * BROKERAGE FIRM ARBITRATION (999 of 1129) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/1990 Case Number: 90-02544 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,909.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1000 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/1990 Case Number: 90-02533 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,307.37 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1001 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1990 Case Number: 90-02503 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS;OTHER TYPES OF SECURITIES NASD BrokerCheck October 14, 2005 Page 596 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1002 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/27/1990 Case Number: 90-02481 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,437.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/18/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,866.31; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1003 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1990 Case Number: 90-02441 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 14, 2005 Page 597 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1004 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1991 Case Number: 90-02398 Allegations: ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES;LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/28/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1005 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1990 Case Number: 90-02386 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1006 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/12/1990 Case Number: 90-02322 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING NASD BrokerCheck October 14, 2005 Page 598 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,206.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,100.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/13/1991 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1007 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1990 Case Number: 90-02303 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1008 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1990 Case Number: 90-02237 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/23/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1009 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/17/1990 NASD BrokerCheck October 14, 2005 Page 599 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 90-02210 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/08/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1010 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/15/1990 Case Number: 90-02209 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,828.47 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $4,172.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,225.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/20/1991 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 BROKERAGE FIRM ARBITRATION (1011 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/05/1990 Case Number: 90-02208 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,439.45 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 600 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/07/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,803.88; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $400.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/07/1991 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1012 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/14/1990 Case Number: 90-02112 Allegations: ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-OTHER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1013 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1990 Case Number: 90-02106 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,489.00 BROKERAGE FIRM ARBITRATION (1014 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/1990 NASD BrokerCheck October 14, 2005 Page 601 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 90-02100 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1015 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/17/1990 Case Number: 90-02067 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,511.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1016 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/1990 Case Number: 90-02014 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,473.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $275.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/09/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 602 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1017 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/1990 Case Number: 90-01938 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $270,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1018 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1990 Case Number: 90-01886 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: CORPORATE BONDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,152.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1019 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1990 Case Number: 90-01865 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; TRADING DISPUTES-MARK-UPS Type of Securities: COMMON STOCK NASD BrokerCheck October 14, 2005 Page 603 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,604.00 SEVERALLY ; INTEREST, ASKED AMOUNT $72,585.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $750.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1020 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/08/1990 Case Number: 90-01826 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $384.88 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $125.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/17/1991 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 BROKERAGE FIRM ARBITRATION (1021 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/19/1990 Case Number: 90-01819 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,800.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 BROKERAGE FIRM ARBITRATION (1022 of 1129) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 604 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 06/22/1990 Case Number: 90-01741 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,109.72; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1023 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1990 Case Number: 90-01722 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1024 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/24/1990 Case Number: 90-01658 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,648.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 NASD BrokerCheck October 14, 2005 Page 605 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,250.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1025 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/11/1990 Case Number: 90-01598 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/25/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $967,860.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1026 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1990 Case Number: 90-01589 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $390,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/07/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00 BROKERAGE FIRM ARBITRATION (1027 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/29/1990 NASD BrokerCheck October 14, 2005 Page 606 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 90-01506 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $164,251.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $492,753.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/25/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1028 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/30/1990 Case Number: 90-01476 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,301.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,555.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00 BROKERAGE FIRM ARBITRATION (1029 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1990 Case Number: 90-01292 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $697.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 607 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL BROKERAGE FIRM ARBITRATION (1030 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/30/1990 Case Number: 90-01159 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,800.00 BROKERAGE FIRM ARBITRATION (1031 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/20/1990 Case Number: 90-01124 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/05/1991 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1032 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1990 Case Number: 90-01012 Allegations: NASD BrokerCheck October 14, 2005 Page 608 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,337,643.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $153,415.00 BROKERAGE FIRM ARBITRATION (1033 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/1990 Case Number: 90-00997 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1034 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/04/1990 Case Number: 90-00936 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,390.46 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $14,609.54 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 BROKERAGE FIRM ARBITRATION (1035 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1990 Case Number: 90-00680 NASD BrokerCheck October 14, 2005 Page 609 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $890,572.41 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/05/1991 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1036 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1990 Case Number: 90-00397 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,000.00 BROKERAGE FIRM ARBITRATION (1037 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/1990 Case Number: 90-00326 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/09/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1038 of 1129) NASD BrokerCheck October 14, 2005 Page 610 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/1990 Case Number: 90-00190 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $154,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/25/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1039 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1990 Case Number: 90-00028 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,348.07 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,188.94; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1040 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1990 Case Number: 90-00010 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; OTHER-OTHER Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $106,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,900.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 14, 2005 Page 611 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1041 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-03564 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,350.98 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/03/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1042 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1989 Case Number: 89-03546 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 BROKERAGE FIRM ARBITRATION (1043 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1989 Case Number: 89-03539 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY NASD BrokerCheck October 14, 2005 Page 612 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/03/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1044 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/1989 Case Number: 89-03531 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $84,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1045 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/18/1989 Case Number: 89-03454 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,250.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,774.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1046 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 613 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-03421 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $944.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $472.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $15.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/30/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15.00 BROKERAGE FIRM ARBITRATION (1047 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1989 Case Number: 89-03412 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,496.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $63,300.00 BROKERAGE FIRM ARBITRATION (1048 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/20/1989 Case Number: 89-03303 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,002.51 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $768.00 BROKERAGE FIRM ARBITRATION (1049 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 614 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-03248 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.28 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/09/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1050 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/1989 Case Number: 89-03237 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,541.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1051 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1989 Case Number: 89-03196 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1052 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 615 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-03064 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,583.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/02/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/02/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1053 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/30/1989 Case Number: 89-02969 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,670.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,200.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/12/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,250.00 BROKERAGE FIRM ARBITRATION (1054 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02942 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,187.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $900.00 BROKERAGE FIRM ARBITRATION (1055 of 1129) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 616 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/30/1990 Case Number: 89-02912 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $92,556.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,776.00 BROKERAGE FIRM ARBITRATION (1056 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02786 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-MARGIN CALLS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $801.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/17/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1057 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/01/1989 Case Number: 89-02711 Allegations: Type of Securities: NASD BrokerCheck October 14, 2005 Page 617 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,510,327.78 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1058 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1989 Case Number: 89-02698 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $166,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,267.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1059 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02659 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,009.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1060 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 618 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-02630 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,426.68 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,770.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/16/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1061 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1990 Case Number: 89-02434 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,645.95 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1062 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1989 Case Number: 89-02269 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $112,740.98 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 03/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 14, 2005 Page 619 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1063 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/1989 Case Number: 89-02153 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $213,170.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/21/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1064 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02102 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,036.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/07/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,036.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/07/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15.88 BROKERAGE FIRM ARBITRATION (1065 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02006 NASD BrokerCheck October 14, 2005 Page 620 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,000.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/08/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1066 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01968 Allegations: ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,779.60 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,779.60 BROKERAGE FIRM ARBITRATION (1067 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01714 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/17/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,187.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/17/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1068 of 1129) NASD BrokerCheck October 14, 2005 Page 621 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/15/1989 Case Number: 89-01658 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,571.53 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,540.38 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,043.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,580.53 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/14/1991 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,006.84; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1069 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01601 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/16/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1070 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 622 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/01/1989 Case Number: 89-01373 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1071 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01263 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,226.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1072 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1990 Case Number: 89-01188 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $692,199.00 BROKERAGE FIRM ARBITRATION (1073 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 NASD BrokerCheck October 14, 2005 Page 623 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 89-01032 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $918.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/02/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1074 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01021 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,034.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/23/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1075 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00992 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,605.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1076 of 1129) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 624 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00914 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,447.39 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/16/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1077 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1989 Case Number: 89-00871 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,725.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $550,162.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $27,335.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,716.67; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1078 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00870 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-COLLECTION Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 14, 2005 Page 625 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 04/09/1990 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,687.89; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1079 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00865 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/18/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1080 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00616 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,177.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,347.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $25.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $25.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/19/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 BROKERAGE FIRM ARBITRATION (1081 of 1129) NASD BrokerCheck October 14, 2005 Page 626 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00573 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,357.80 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/01/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $400.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/01/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1082 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/21/1989 Case Number: 89-00544 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,217.22 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1083 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00432 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,133.89 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/04/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $6,940.16 JOINTLY AND SEVERALLY; NASD BrokerCheck October 14, 2005 Page 627 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/04/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1084 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00279 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,076.93 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1085 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00188 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-EXECUTION PRICE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,371.53 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $40,114.59 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/19/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1086 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00139 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 628 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,061.56 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,061.86; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1087 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/26/1989 Case Number: 89-00131 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/31/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1088 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00065 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,540.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1089 of 1129) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 14, 2005 Page 629 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00041 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/13/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,500.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/13/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1090 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03762 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,682.09 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $347.37 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/23/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1091 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03709 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 630 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 11/30/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1092 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03660 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,284.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1093 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03475 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,616.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,616.00 BROKERAGE FIRM ARBITRATION (1094 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03304 NASD BrokerCheck October 14, 2005 Page 631 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1095 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03257 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $473,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 BROKERAGE FIRM ARBITRATION (1096 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03250 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/19/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $639.00 BROKERAGE FIRM ARBITRATION (1097 of 1129) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 632 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03070 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,667.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/16/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,100.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/16/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1098 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02930 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $151,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 08/31/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1099 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02791 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $542,246.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 14, 2005 Page 633 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $210,000.00 7C. RELIEF ASKED: TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/31/1990 8C. RELIEF AWARDED: TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1100 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02761 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,774.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,774.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $15,144.86 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $550.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/13/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1101 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02737 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,840.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,600.00 NASD BrokerCheck October 14, 2005 Page 634 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1102 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02714 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/15/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1103 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02676 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $714,382.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $443,222.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/26/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $253,784.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,307.00 BROKERAGE FIRM ARBITRATION (1104 of 1129) NASD BrokerCheck October 14, 2005 Page 635 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02666 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,828.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/15/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1105 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02539 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,300.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/23/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1106 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02438 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 14, 2005 Page 636 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,477.50 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1107 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02259 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/31/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00 BROKERAGE FIRM ARBITRATION (1108 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02207 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,366.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1109 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 NASD BrokerCheck October 14, 2005 Page 637 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 88-02159 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/22/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00 BROKERAGE FIRM ARBITRATION (1110 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01432 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1111 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01318 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-COLLECTION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/08/1990 Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1112 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01234 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT NASD BrokerCheck October 14, 2005 Page 638 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,440.06 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: TREBLE DAMAGES, ASKED AMOUNT $310,320.18 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $310,320.18 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,440.06 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/18/1989 8C. RELIEF AWARDED: TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00 BROKERAGE FIRM ARBITRATION (1113 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/19/1988 Case Number: 88-01165 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,950,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/10/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $119,391.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/10/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1114 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00482 Allegations: ACCOUNT RELATED-COLLECTION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,432.66 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 14, 2005 Page 639 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,900.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1115 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/16/1988 Case Number: 88-00322 Allegations: Type of Securities: OPTIONS Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/1991 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $93,040.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1116 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00225 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,625.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/24/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1117 of 1129) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00224 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 640 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $124.00 BROKERAGE FIRM ARBITRATION (1118 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00188 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,250.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1119 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02807 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1120 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02717 Allegations: ACCOUNT RELATED-DIVIDENDS; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 14, 2005 Page 641 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1121 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02585 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1122 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02343 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $945.35 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,265.60 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $1,377.39 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $390.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/12/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1123 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 14, 2005 Page 642 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/01/1987 Case Number: 87-02331 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1124 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02297 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,156.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1125 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01895 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,874.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,681.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $745.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/18/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1126 of 1129) Type of Event: ARBITRATION NASD BrokerCheck October 14, 2005 Page 643 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01845 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,069.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1127 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01062 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,623.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/1989 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1128 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1986 Case Number: 86-00953 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1990 NASD BrokerCheck October 14, 2005 Page 644 This information is current as of: 10/14/2005 ________________________________________________________________________________ NASD Member Firm: MORGAN STANLEY DW INC. CRD Number: 7556 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/30/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,689.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1129 of 1129) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1986 Case Number: 86-00360 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $780.14 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/19/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL ************ END OF REPORT ************