• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bryan Ross v. Salomon Smith Barney Docket Numben 2004-015863 Attorneys: For Claimant(s): Bryan S. Ross - Washington, DC For Respondent(s): Rebecca Behr - New York, NY DateFiled: 11/24/2004 First Scheduled: 04/28/2005 Decided: c^/z^/^^s- Case Summary: Claimant, customer, alleges respondent member firm failed to follow his instructions to sell options.

i New York Stock Exchange In the Matter of Arbitration Between Case: Gerald R. Randolph and Janet Sue Randolph vs. UBS Financial Services, Inc. and Michele Schneider Docket Number: 2004-015830 Attomeys: For Qaimant(s): Nicholas D. Thomas - Raleigh, NC For Respondent(s): Rebecca E. Swenson - Ft. Lauderdale, FL DateFiled: 11/5/2004 First Scheduled: 06/07/2005 Dedded: O6/15/2005 Case Summary: Customer claimants allege fraud, neglige

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Virginia Yeager, as biistee for The Richard Yeager Tmst v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015806 Attomeys: For ClaimantCs): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/2/2004 First Scheduled: 1/12/05 Decided: 4/26/05 Case Summary: Customer clai

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Soo-Sang Choe and Clia-Nam Choe as tmstees for The Soo-Sang Choe Money Purchase Plan v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015803 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/1/2004 First Scheduled: 3/31/05 Dedded: 3/3^/^^

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ralph J. Fritzsch, individually, and Ralph B. Fritzsch as custodian for the benefit of John Fritzsch v. Merrill Lynch, Pierce Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015800 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/1/2004 First Scheduled: 1/12/05

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jeffery and Willo Baker v. Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2004-015786 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): David E Bamberger - New York, NY Date Filed: 10/26/2004 First Scheduled: 4/15/05 Decided: 5/24/2005 Case Summary: Customer Claimants allege unsuitability, failure to diversify, overco

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roy E. Smith, an individual and trustee for the first amended Roy E. Smith Revocable Trust v. Edward D. Jones & Co. and Michael Hood Docket Numben 2004-015781 Attomeys: For Claimant(s): Paul G. Taggart - Carson City, NV For Respondent(s): Ryan W. Herrick - Reno, NV DateFiled: 10/22/2004 First Scheduled: 05/25/2005 Dedded: 6/13/05 Case Summary: Claimant, a c

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Lewis Maniloff Docket Number: 2004-015701 Attomeys: For Claimant(s): James C. Creel, III - Philadelphia, PA For Respondent(s): Lewis Maniloff- Elkins Park, PA Date Filed: 9/1/2004 First Scheduled: 05/05/2005 Decided: 05/05/2005 Case Summary: Claimant member firm alleges respondent, financial consultant and former employee

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Jennings v Kevin Collier & UBS Warburg Docket Numben 2004-015641 Attomeys: For Claimant(s): W. Carl Spining - Nashville, TN For Respondent(s): Wes Holston - Fort Lauderdale, FL Date Filed: 8/6/2004 First Scheduled: 04/28/2005 Dedded: 06/23/2005 Case Summary: Public customer claimant alleges negligence, breach of fiduciary duty and failure to disclo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of thf flfPTP^TlT* ^ flfiF NlTmfoft" 01-03720 David and Alice Anton Hearing-Site: Pittsburgh, PA Cadaret, Grant & Co., Inc. Edward Sweeney New Horizons Financial Corporation pf,pRFSFNTATTnN OF PARTIES Claimants, David and Alice Anton ("Anton"), hereinafter collectively referred to as "Claimants' Robert M. Kramer, Esq., Pittsburgh, PA. Respondents, Cadaret, Grant & Co