• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gary L. Fyfe v. Piper Jaffray Docket Niunber: 2004-015815 Attomeys: For Claiinant(s): Stephen M. Hansen - Tacoma, WA For Respondent(s): William D. Nelson - Denver, CO Date Ffled: 11/4/2004 First Scheduled: 08/02/2005 Dedded: 8/3/2005 Case Siunmary: Customer daimant alleges violations of federal securities laws and SRO rules, negligence, misrepresentations, unsu

w i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James and Mary Bays v. MerriU Lynch, Pierce, Fenner & Smith Inc., and MerriU Lynch & Co., Inc. Docket Numben 2004-015804 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 11/1/2004 First Scheduled: 4/1/2005 Dedded: 4/1/2005 Case Summary: Customer claimant alleges breach of contract,

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerald Wollert, as trustee for The Gerald Wollert Revocable Tmst v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch & Co., Inc. Docket Numben 2004-015798 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/1/2004 First Scheduled: Decided: 5/12/2005 Case Summary: Customer

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Priscilla and Edward Greenwald v. Salomon Smith Bamey, Inc. Docket Numben 2004-015772 Attomeys: For Claimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): Richard Szuch - New York, NY Date Ffled: 10/14/2004 First Scheduled: 06/21/2005 Decided: 7/19/05 Case Summary: Claimant, a customer, aUege respondent mismanaged daimant's account, failed to prop

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roger Gaeckler v. Citigroup Global Markets, Inc. f/n/a Salomon Smith Barney, Inc. Docket Number: 2004-015759 Attomeys: For Claimant(s): Brian J. NeviUe - New York, NY For Respondent(s): Jonathan C. Thau - New York, NY Date FUed: 10/12/2004 First Scheduled: 06/14/2005 Decided: 6/15/2005 Case Summary: Claimant, a former employee and registered representative,

NYSE Arbitration Case #2004-015692 Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. v. Robert P. Baranowsky Docket Numben 2004-015692 Attomeys: For Gaimant(s): Gregory R. Crochet - Atlanta, GA For Respondent(s): Robert P. Baranowsky - CharlottesviUe, VA Date Ffled-9/7/2004 First Scheduled: 06/16/2005 Dedded: 6/24/2005 Case Summa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott R. and Eileen S. Crowder, Claimants v. Wells Fargo Securities, Inc., David A. Galluccio, and Drew A. Stanford, Respondents Case Number: 01-03779 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Dennis R. Villavicencio, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: Michael J. Lawson, Esq. Steefel, Levitt & Weiss

n 1 UL/ muiuaiiyjll \^a»C ff^^UUt-U 1 JOJH Page 1 of2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John A. Serth v, Morgan Stanley Docket Numben 2004-015654 Attomeys: For Gaimant(s): John A. Sertii - Clifton Park, NY For Respondent(s): Harrison Kaufman - Purchase, NY Date Ffled: 8/10/2004 First Scheduled: 06/14/2005 Dedded: 8/10/2005 Case Smnmary: Customer v. Member Firm alleging failure to ex

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. v. Michael Day Docket Numben 2004-015592 Attomeys: For Gaimant(s): Jennifer W. Burke - Cranford, NJ For Respondent(s): Michael Day - Wilmington, DE Date Ffled: 7/16/2004 First Scheduled: 07/26/2005 Dedded: 08712/2005 Case Summary. Claimant member firm alleges respondent, former employee, breach

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Murphy, as trustee for the benefit of The Robert Murphy Profit Sharing Plan, and Robert J. Murphy, Jr., as trustee for the benefit of The Robert Murphy Pension Plan V. MerriU Lynch, Pierce, Fenner & Smith Inc., & MerriU Lynch & Co., Inc. Docket Numben 2004-015583 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York,