i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Citigroup Global Markets v. Stephen M. Stork Docket Number: 2003-014592 Attomeys: For Claimant(s): Gregory R. Crochet - Atlanta, GA For Respondent(s): Stephen Stork - Houston, TX Date Filed: 10/7/2003 First Scheduled: 4/19/2005 Decided: 6/4/2005 Case Summary: Claimant a member firm, alleges Respondent, a fonner employee, failed to repay a Promissory

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles B. Schiele v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Marc N. Jaffe Docket Numben 2003-012158 Attomeys: For Claimant(s): Thomas H. Tucker - Duxbury, MA For Respondent(s): Anne N. DePerez - Indianapolis, IN B. Keith Shake - Indianapolis, IN P Date Filed: 7/20/2003 First Scheduled: 01/13/2005 Dedded: Case Summary: Customer alleges unsuitabili

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard Tucker Loero and Rictuc Ltd. vs. Lehman Brothers, Inc., Jose de Castro and Hannes C. Grascher Docket Number: 2003-011939 Attomeys: For Claimant(s): Samantha L. Southall - New York, NY For Respondent(s): Brian F. McDonough - New York, NY Date Filed: 6/10/2003 First Scheduled: 02/19/2004 Dedded: 6/8/2005 Case Summary: Claimants Customers allege breach of

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ray Voss v. Merrill Lynch Pierce Fenner & Smith Inc. Docket Number: 2003-011935 Attomeys: For Claimant(s): Celeste M. Chiaramonte - Kingwood, TX For RespoDdent(s): Jack D. Ballard / Ann Ryan Robertson - Houston, TX Date Filed: 6/10/2003 First Scheduled: 08/18/2004 Dedded: 12/16/04 Case Summary: Customer claimant alleges respondent member firm mismanaged

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Randie and Debbie Greenberg Individualy and as Tenants in Common v. Gmntal and Company, Inc, Richard Schlesinger and Abe Borenstein Docket Numben 2003-011751 Attomeys: For Gaimant(s): Eugene L. Small - New York, NY For Respondent(s): Edwin Zipf - New York, NY DateFiled: 4/17/2003 First Scheduled: 04/30/2004 Dedded: r///^-^ Case Summary: Claimants, c

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Mark Flash Docket Number: 2003-011608 Attomeys: For Gaimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Mark A. Flash - Bay Village, OH Date Filed: 3/20/2003 First Scheduled: 07/09/2004 Decided: ^7a/< ^^ Case Summary: Member firm claimant alleges breach of contract based on the failure to repay a promissory no

ew York Stock Exchange in the Matter of Arbitration Between 1/ NYSE Case: David Lul< e Lumley v. Salomon Smith Barney, Inc. Attorneys: For Claimant(s): David Lul< e Lumley - Wapato, WA For Respondent(s): Ann Parry Esq. - New York, NY Date Filed: 02/10/2003 First Scheduled: 04/29/2003 Decided: 04/29/2003 Case Summary: Claimant alleges that he Instructed Respondent to sell any shares of Pfizer that he had left In his account, but tha

Tew York Stock Exchange In the Matter of Arbitration Between V NYSE Case: Claude E. IHawitins v. Edward Jones & Co. Attorneys: For Claimant(s): Claude E. Hawldns - Holts Summit, MO For Respondent(s): Kimberly G. Anderson Esq. - St. Louis, MO Date Filed: 12/23/2002 First Scheduled: Decided: 03/28/2003 Case Summary: Claimant, a customer, has alleged that the respondent made a misrepresentation regarding the financial condition of Xcei

NYSE Arbitration Case #2005-01601: Page 1 of2 •i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lee Ann Quenault v. Citigroup, Inc., Salomon Smith Barney Inc., Jack Grubman, and Lorelei, Inc. and Lara Harris Docket Numben 2005-016013 Attorneys: For Claimant(s): Tina L. Winer - Chicago, IL For Respondent(s): H. Nicholas Berberian - Chicago, IL John Singer - New York, NY DateFiled: 2/17/2005 First S

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Deanna Dean Magee POA for the Benefit of Hilda Dean v Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015947 Attorneys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 06/14/2005 Decided: 7/8/05 Case Summary: Customer v. Member Fir