Finra FINRADR In the Matter of Arbitration Between Case: Richard and Jane Portanova v. Salomon Smith Barney and Amir Vishani Docket 2004-015148 Attorneys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Alejandro Schwed - New York, NY Date Filed: 2/26/2004 First Scheduled: 07/14/2005 Decided: 10/3/2005 Case Summary: Customer Claimants allege unsuitability, negligence, misrepresentation, failure to diversify, breach

Finra FINRADR In the Matter of Arbitration Between Case: Sally Y. Gevalt, individually and as Trustee of the Charies T. Young Trust and the Frederick C. Gevalt, Jr. Trust v. Deutsche Bank Alex. Brown, Inc., Deutsche Bank Securities, Inc., and Joseph Nachman Docket: 2003-014641 Attorneys: For Claimant(s): Max Folkenflik - New York, NY For Respondent(s): Daniel J. Donovan - Baltimore, MA Date Filed: 10/9/2003 First Scheduled: 12/15/2005 De

Finra FINRADR In the Matter of Arbitration Between Case: Richard C. Keenan v. A.G. Edwards 8{ Sons Inc, Paul Nieholls, Jr. and Fred Gennelly Docket 2003-014586 Attorneys: For Claimant(s): Susan F. Drogin - Boston, MA For Respondent(s): Jeffrey W. Coverdell - St. Louis, MO Date Filed: 10/2/2003 First Scheduled: 01/18/2005 Decided: 7/26/2005 Case Summary: Customer claimant alleges unsuitable trading, breach of contract, negligence, breach of fiduc

Finra FINRADR In the Matter of Arbitration Between Case: Frank X. Pamelia, Trustee Philip P. Brous Inc. Special Money Purchase Pension Plan & Trust v Lehman Brothers, Inc., John Goodman, S.G. Cowen Securities Corp. Docket 2003-011831 Attorneys: For Claimant(s): Edgar H. Boles - Pepper Pike, OH For Respondent(s): Christopher M. Burky - Chicago, IL Scott Matasar - Cleveland, OH Date Filed: 5/6/2003 First Scheduled: 08/18/2004 Decided: 12/30/2005

Finra FINRADR In the Matter of Arbitration Between Case: Jay D. Hirsch, individually and as Trustee of the Hirsch, Sheiness & Garcia, PLLC 401 (K) Plan; and Susan L. Hirsch, individually and as Trustee v. Merrill Lynch and Jack Bell Docket 2003-011800 Attorneys: For Claimant(s): William B. Federman - Oklahoma City, OK For Respondent(s): Jack D. Ballard - Houston, TX Date Filed: 4/10/2003 First Scheduled: 08/17/2004 Decided: 6/21/2005 Cas

Finra FINRADR In the Matter of Arbitration Between Case: Lawrence Leonard, Mareia Leonard and Edward J. Leonard v. Fred Dowd and Ra)Tnond James Financial Services Inc. Docket: 2003-011516 Attorneys: For Claimant(s): Robert E. Mittel - Portland, ME For Respondent(s): Joseph C. Coates - West Palm Beach, FL Date Filed: 3/6/2003 First Scheduled: 05/18/2004 Decided: 12/9/2004 Case Summary: Customer claimants allege unsuitable trading and use of cover

Finra FINRADR In the Matter of Arbitration Between Case: Arthur Weiss, TTEE, Arthur Weiss Profit Sharing Plan, Arthur Weiss IRA, Arthur Weiss, TTEI Arthur Weiss Money Market Plan v. Legg Mason Wood Walker and Paul Chavenson Docket: 2003-011378 Attorneys: For Claimant(s): Anthony J. Horn - New York, NY For Respondent(s): Gretehen L. Klebasko - Baltimore, MD Date Filed: 2/3/2003 First Scheduled: 05/18/2005 Decided: 12/5/2005 Case Summary

Finra FINRADR In the Matter of Arbitration Between Case: Roy R. Schechter v. A.G. Edwards & Sons Inc. Docket: 2003-011466 Attorneys: For Claimant(s): Stuart A. Goldstein - Miami, FL For Respondent(s): Nuviah Shirazi - St. Louis, MO Date Filed: 2/18/2003 First Scheduled: 05/11 /2004 Decided: 3/14/2005 Case Summary: Registered representative alleges wrongful termination and age discrimination and seeks reinstatement and compensatory damages. P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05099 Herbert Singer and Mrs. Marlene Singer Trust u/a/d 9/15/70, claimants vs. Salomon Smith Barney, Inc., and Gerald Maestu, respondents. ATTORNEYS: Claimanis appeared pro se» Los Angeles, CA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY, DATE FILED; September 28, 2001 CASE SUMMARY: Claimants alleged that respondents charged excess commissions for transa

Finra FINRADR In the Matter of Arbitration Between Case: Craig W. French v Goldman Sachs, Inc. Docket 2003-011282 Attorneys: For Claimant(s): Craig W. French - Yardley, PA For Respondent(s): Robin Fessel - New York, NY Date Filed: 1/9/2003 First Scheduled: 10/08/2003 Decided: 11/2/2004 Case Summary: Former registered representative against member firm for delivery of 900 shares of Goldman Sachs, Inc., common stock and punitive damages. Produ