I NYSE ^ew York Stock Exchange n the Matter of Arbitration Between Zase: Irma Lopez and Manuel G. Lopez v. Edward Jones Docket Numben 2004-015236 Attorneys: i'or Claimant(s): Debra Brewer Hayes - Kingwood, TX j'or Respondent(s): Kimber L. Monroe - St. Louis, MO Date Filed: 4/5/2004 First Scheduled: 7/15/2005 Dedded: 7/15/2005 Zase Smnmary: Customer claimants allege unsuitable trading in risky growth and aggressive mutual fiinds,

iNYSE Mew York Stock Exchange [n the Matter of Arbitration Between [>ise: Robert DePalo v. Fleet Securities, Inc. Docket Numben 2004-014949 Attomeys: For Qaunant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Joel E. Davidson - Orangeburg, NY DateFiled: 1/27/2004 First Scheduled: 07/29/2005 Dedded: 8/9/2005 Case Summary: Claimant customer aUeges unsuitability, negligence and misrepresentation in connection with mutal fund i

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Eugene Mazur and Emily Mazur vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. Docket Numben 2004-014947 Attomeys: For GaimantCs): A. Danid Woska - Oklahoma City, OK Geoffrey J. Gempeler - Denver, CO For Respondent(s): Joseph L. Hood, Jr. - El Paso, TX DateFiled: 1/21/2004 First Scheduled: 07/12/2005 Dedded: 7/13/2005 Case Summary: Customer Claimants allege vio

NYSE Arbitration Case #2003-014792 Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Susan Sacher and Joel Sacher v. Raymond Hayes and RBC Dain Rauscher Corporation Docket Numben 2003-014792 Attorneys: For Claimant(s): Charles J. Hecht - New York, NY For Respondent(s): Joel Davidson - Orangeburg, NY DateFiled: 11/21/2003 Pint Scheduled: 10/06/2004 Dedded: 7/6/2005 Case Summary: Customer

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George Batchelor and Ruth Batchelor v. Salomon Smith Bamey, Leonard Santangelo, and David Fiero Docket Numben 2003-014742 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK James TourteUotte - Oklahoma City, OK For Respondent(s): WiUiam A. Hohauser - New York, NY Date Filed: 11/6/2003 First Scheduled: 05/18/2004 Dedded: ~y j^ y^ ^^^ Case Summary

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: R. Loraine Buchwald v. Prudential Securities, Inc. and Maureen "Jersey" Lynch Docket Numben 2003-014723 Attomeys: For Qaimant(s): A. Daniel Woska • For Respondent(s): Alan S. Brodherson Oklahoma, OK New York, NY DateFiled: 11/4/2003 First Scheduled: 10/27/2004 Dedded: -y/zz/c^^ Case Summary: Claimant, customer, alleges negligence and failure to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03760 Jeffrey Godfrey Names of the Respondents Hearing Site: Tampa, FL Kashner Davidson Securities Corporation Fiserv Correspondent Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeffrey Godfrey, hereinafter referred to as "Claimant": Steele T. Williams, Esq., Steele T. Williams, P.

NJYSE Arbitration Case #2003-014721 Page 1 of 2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Matthew Rivers 8c Barbara Baker, Trustees for Mary Baker; Mary Baker through her Trustees M. Rivers and B. Baker v MerriU Lynch and Brian P. Clark Docket Number: 2003-014721 Attorneys: For Qaimant(s): Marvin J. Brauth - Woodbridge, NJ For Respondent(s): Richard Szuch - Morristown, NJ DateFiled: 11/4/2003 First Sch

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ido E. Colantuoni v. Ferris, Baker Watts, Inc. and Boyd Bohlool Docket Number: 2003-014574 Attomeys: For Claimant(s): Ido E. Colantuoni - McLean, VA For Respondent(s): Dana M.S. Gloor - Baltimore, MD Date Filed: 10/3/2003 First Scheduled: 11/29/2004 Decided: 5/16/2005 Case Summary: Claimant, a public customer, alleges Respondent, a member firm, failed to execut

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald D. Webb, Jr. v. Prudential Securities, Matthew Gibson Docket Numben 2003-012040 Attorneys: For Claimant(s): Caroline Smith Gidiere - Birmingham, AL For Respondent(s): Anne Sikes Homsby - Birmingham, AL Lange Clark - Birmingham, AL Date Filed: 7/2/2003 First Sdieduled: 04/05/2005 Dedded: July 20, 2005 Case Summary: Customer claimant alleges respon