i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Anthony Garland Docket Number: 2004-015564 Attomeys: For Qaimant(s): Christopher Freeze - New York, NY For Respondent(s): Anthony Garland - Washington, DC Date FUed: 6/30/2004 First Scheduled: 05/02/2005 Dedded: -p/^o/cs- Case Summary: Member firm alleges former registered representative acted in breach of contract and failed

§ NYSE ew York Stock Exchange the Matter of Arbitration Between Case: James Francis Isenhart v. Salomon Smith Barney Docket Number: 2004-015484 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY DateFiled: 5/17/2004 Fust Scheduled: 08/18/2005 Dedded: 8/18/2005 ^Pase Summary: Claimant alleges unsuitability, breach of fiduciary duty, breach of contract, faUure to diversify, faUu

I NYSE New York Stock Exchange In the Matter of Aibitration Between Case: Alice R. Baldwin v. Salomon Smith Barney, Inc. Docket Numben 2004-015397 Attorneys: For Qaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Rebecca Behr - New York, NY DateFiled: 5/4/2004 First Scheduled: 07/05/2005 Dedded: 7/15/2005 Case Siunmary: Claimant customer aUeges negligence, misrepresentation and grossly unsuitable investment recommen

I JnDi NYSE York Stock Exchange le Matter of Arbitration Between Zase: Paul C. Henderson vs. UBS Financial Services, Inc. Docket Numben 2004-015395 Attorneys: i'or Claimant(s): Jeff"Musslewhite - Kingwood, TX 'or Respondent(s): Jon D. Kaplon - Weehawken, NJ Date Filed: 5/4/2004 First Scheduled: 06/01 /2005 Dedded: 7/18/2005 Wx Summary: Customer Claimant alleges negUgence, misrepresentation, unsuitable investment recommendations a

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rita Gantt, as next friend of Gary Don Gantt v. MerriU Lynch, Pierce, Fenner 8c Smith, Inc. Docket Numben 2004-015375 Attorneys: For Claimant(s): Thomas R. Ajamie - Houston,, TX For Respondent(s): John W. Joyce - New Orleans, LA Date Filed: 5/7/2004 First Scheduled: 05/31/2005 Decided: 7/5/05 Case Summary: Claimant, a customer aUeges respondent made unsuitable

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian Kennedy and Diane Kennedy, Claimants v. Kirlin Securities, Inc., Joseph Rosenberg and Joel Soren, Respondents Case Number: 01-03762 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Brian Kennedy appeared on behalf of himself and Diane Kennedy, hereinafter collectively referred to as "Claimants". For Kirlin Securities, Inc.("Kirlin"), Joseph Rosenberg (

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gilbert Waine v. MerriU Lynch, Pierce, Fenner 8c Smith, Inc., and MerriU Lynch 8c Co., Inc. Docket Numben 2004-015364 Attomeys: For Claimant(s): Kevin E. Love - Coral Gables, FL For Respondent(s): Bonnie L. Altro - New York, NY Date Filed: 4/29/2004 First Scheduled: 03/29/2005 Dedded: 5/13/2005 Case Summary: Customer claimant aUeges breach of contract, fail

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cecil Wurster, Charles Wurster and Albert Wurster v. MerriU Lynch, Pierce, Fenner 8c Smith, Inc., and MerriU Lynch 8c Co., Inc. Docket Numben 2004-015361 Attorneys: For Claimant(s): Kevin E. Love - Coral Gables, FL For Respondent(s): Bonnie L. Altro - New York, NY Date Filed: 4/29/2004 First Scheduled: Dedded: 6/27/2005 Case Summary: Customer claimant aUege

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David C Steedley v. Wachovia Securities, Inc. Docket Numben 2004-015346 Attomeys: For Claimant(s): Edward J. Dovin - Atlanta, GA For Respondent(s): Todd Ratner - Richmond, VA Date FUed: 5/5/2004 First Scheduled: 06/07/2005 Dedded: 6/29/2005 Case Summary: Claimant customer aUeges breach of fiduciary duty, breach of contract, unsuitability, churning, frau

i New York Stock Exchange In the Matter of Arbitration Between Case: Marie Spera v. MerriU, Lynch, Pierce, Fenner 8c Smith, Inc. and Justin T. Cho Docket Numben 2004-015330 Attomeys: For Claimant(s): Denis P. KeUeher - New York, NY For Respondent(s): John A. Piskora - New York, NY Date Filed: 4/29/2004 First Scheduled: 12/15/2004 Dedded: 7/7/2005 Case Summary: Claimant, a public customer, aUeges that Respondents breached their fi