• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jerome Bresson Revocable Trust, Jerome Bresson, Trustee v Wachovia Securities, successor in interest to First Union Securities Docket Number: 2003-011313 Attorneys: For Qaimant(s): Jeffrey S. Kahn - Plymouth Meeting, PA For Respondent(s): Demien Betz - Richmond, VA Date Filed: 1/13/2003 First Scheduled: Decided: 11/03/2004 06/20/2005 Cas

• NYSE New York Stock Exchange In the Matter of Aibitration Between Case: Gerald Jeandron v. Legg Mason Wood Walker, Incorporated and Frank J. Murry, Jamie M. Waldren, John Gilner, Gregory McShea and Moira Melloy Docket Numben 2003-011271 Attomeys: For Qaimant(s): Patrick G. Finegan, Jr. Washington, DC For Respondent(s): Dana N. Pescosolido - Baltimore, MD Neil J. Bixler - Owings Mills, MD Sheila Mosmiller Vidmar - Baltimore, MD

• NYSE ^ New York Stock Exchange In the Matter of Arbitration Between Case: Steven Davis and Tim Rittenhouse v A.G. Edwards Docket Number: 2002-010814 Attomeys: For Claimant(s): Marc Susswein - New York, NY For Respondent(s): Nuviah Shirazi - St. Louis, MO Date Filed: 8/26/2002 First Scheduled: 09/17/2003 Decided: 08/11/2005 Case Summary: Claimants, former employee, have alleged that they were wrongfully terminated and that responden

• NYSE New York Stock Ezchan^ In the Matter of Arbitration Between Case Anthony Postiglione v Donaldson, Lufkin & Jenrette Securities Corp., Credit Suisse First Boston Corp. and Richard S. Jaffe Docket Numben 2002-009822 Attorneys: For Claimaiit(s): Gregory G. Stagliano - Media, PA Jeffrey L. Liddle - New York, NY For Respondent(s): J. Michael Riordan Florham Park, NJ DateFiled: 1/8/2002 First Scheduled: 11/03/2003 Dedded: 7/

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Board of Trustees of Shopmen's Local #527 Pension Plan, Ernest Heinauer, Martin Marinack, Donald H. Landis and John Mihm vs. David Foster, Merrill Lynch, Merrill Lynch Trust Company and Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2002-009774 Attorneys: For Claimant(s): Stephen J. O'Brien - Pittsburgh, PA For Respondent(s): Michael S. Nelson - Pittsburgh, P

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William and Shareen Holman v Morgan Stanley Dean Witter, Robert Townsend, Jeff McDougall, Michael Conn and John Wauters Docket Number: 2001-009441 Attomeys: For Claimant(s): Timothy A. Canning - Novato, CA For Respondent(s): Eric Wallis - Oakland, CA Date Filed: 9/1/2001 First Scheduled: 07/09/2002 Decided: 7/19/2005 Case Summary: Claimants, customers, have all

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Javier Gutierrez and Pearl Gutierrez vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Attorneys: For Ciaimant(s): Harry Munsinger - San Antonio, TX For Respondent(s): Jack Ballard - Houston, TX Date Filed: 12/13/2002 First Scheduled: 11/18/2003 Decided: 12/11/2003 Case Summary: Claimants, customers, have alleged that respondents made misrepresentations r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edwin Lingsch, Trustee, Lingsch Family Trust, Claimant v. Couch & Company, Incorporated, Raymond McKayle, Anthony Joe Radicone, Nancy Louden Couch and Philip Jay Horowitz, Respondents Case Number: 01-03759 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondent Couch & Company, Incorporated: For Respondent Raymond McKayle: For R

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jana Jones Whitfield and Eddie Whitfield vs. Merrill Lynch Pierce Fenner & Smith Docket Number: 2002-011200 Attorneys: For Claimant(s): Thomas R. Ajamie - Houston, TX For Respondent(s): Linda Brooks - Houston, TX Date Filed: 12/18/2002 First Scheduled: 07/13/2004 Decided: 6/10/05 Case Summary: Claimants, customer, have alleged unsuitable and unauthorized tr

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bonnie J. Dahl and Christina Dahl v Robert W. Baird & Co., Inc. and Torey Jacobs Attorneys: For Claimant(s): John Hudson - Des Moines, IA For Respondent(s): Gregory Wille - Milwaukee, WI DateFiled: 12/20/2002 First Scheduled: 9/30/2003 Decided: 10/28/2003 Case Summary: Claimants allege misrepresentations, breach of fiduciary duty, breach of contract,