I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald and Nella Gossett v. Merrfll, Lynch, Pierce, Fenner & Smith Inc. Docket Numben 2004-015158 Attorneys: For Claimant(s): Mflton Fried - Kingwood, TX For Respondent(s): Andrea Greene - Birmingham, AL Date Filed: 3/11/2004 First Scheduled: 07/11/2005 Dedded: 07/25/2005 Case Summary: Customer daimants allege breach of fidudary duty, breach of contract, failur

i New York Stock Exchange In the Matter of Arbitration Between Case: Charles Romine, Carl Romine, Judy Romine, Harold Romine and George Romine v. Edward Jones and Gary Klossner Docket Numben 2004-015137 Attomeys: For Claimant(s): David Mee - Kingwood, TX For Respondent(s): Trae D. Meyr - St. Louis, MO Date Filed: 2/25/2004 First Scheduled: 07/18/2005 Dedded: 08/10/2005 Case Summary: Customer Claimants allege breach of contract, breac

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. v. Russell Krutz, Jr. Docket Numben 2004-014933 Attomeys: For Claimant(s): Patrizia M. Salvaggio - Ft. Lauderdale, FL For Respondent(s): Russell Krutz - Destin, FL Date Filed: 1/13/2004 First Scheduled: 07/12/2005 Decided: 7/20/05 Case Summary: Member Firm Customer alleges breach of Employment Agre

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets v. Raymond N. Cornelius Docket Numben 2004-015065 Attomeys: For Claimant(s): Gregory R. Crochet • For Respondent(s): John E. MacDonald - Adanta, GA Lawrenceville, NJ DateFiled: 2/18/2004 First Scheduled: 8/10/2005 Dedded: 8/11/2005 Case Summary: Member firm claimant alleges breach of contract and non-payment on promissory note.

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kenneth W. Boswell v. Morgan Stanley Dean Witter and Christopher W. Kelly Docket Numben 2003-014891 Attomeys: For Gaimant(s): A. Danid Woska - Oklahoma City, OK For Respondent(s): Allison Donaghey Patton - Pensacola, FL Crystal Collins Spencer - Pensacola, FL DateFiled- 12/23/2003 First Scheduled: 01/11/2005 Dedded: 07/22/2005 Case Summary: Customer, cl

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Linda C. McClung v. Merrill Lynch Pierce Fenner Smith Docket Numben 2003-014747 Attomeys: For Gaimant(s): Geoff Gempler - Oklahoma, OK For Respondent(s): David E. Bamberger - New York, NY Date Filed: 11/10/2003 First Scheduled: 02/02/2005 Dedded: -y/z^/cs- Case Sununary. Claimant, customer, alleges negligence, misrepresentation, unsuitable investment recomm

, NYSE Arbitration Case #2003-014692 Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael A. Slack and Gwendolyn L. Slack v. Merrill, Lynch, Pierce, Fenner and Smith, Inc. and Joseph J. Coffey Docket Numben 2003-014692 Attorneys: For Claimant(s): Joseph C. Korsak - York, PA For Respondent(s): Paul G. Chryssikos - Philadelphia, PA DateFiled: 10/28/2003 First Scheduled: 07/20/2004 Dedded: 8/

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03775 Paula Colin, Claimant vs. Weiner, Abrams & Co., Inc. and David Edward Weiner, Respondents. ATTORNEYS: For Claimant appeared Stephen A. Baker, Esq., of the firm Allan & Shipp, P.A., St. Petersburg, FL. For Respondents appeared David Edward Weiner, Tenafly, NJ. DATE FILED: July 17, 2001 CASE SUMMARY: Claimant alleged that respondents were negligent in selling her unsuitable

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary E. Sommers vs. Salomon Smith Barney, Inc. Docket Number: 2003-014689 Attomeys: For Claimant(s): Deborah Brewer Hayes - Kingwood, TX For Respondent(s): Raul Sanchez - New York, NY DateFiled: 10/23/2003 First Scheduled: 8/5/2005 Dedded: 8/5/2005 Case Summary: Claimant Customer alleges violations of NYSE and NASD Rules and Regulations and Federal Securiti

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group, Inc., f/k/a Prudential Securities Inc. v. Jeffrey W. Henwood Docket Numben 2003-014606 Attomeys: For Gaimant(s): Marc S. Dobin - Jupiter, FL For Respondent(s): Jeffrey W. Henwood - Winter Park, FL DateFiled: 10/7/2003 First Scheduled: 07/19/2005 Dedded: i / n l ^ ^ Case Summary: Member firm claimant alleges b