• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alice G. Rosenthal v. Wachovia Securities Docket Number: 2004-015601 Attomeys: For CIaimant(s): Jules Lang - Norwalk, CT For Respondent(s): Patricia E. Cowart - Richmond, VA Date Filed: 7/26/2004 First Scheduled: Decided: 4/12/2005 Case Summary: Customer Claimant v. Member Firm alleging unauthorized trading and unsuitable trading. Product: Equity - NYSE

i NYSE New York Stock Exchange In the Matter of Arbitration Between (Dase: John and Frances McCullough, as trustees for the benfit of. The McCullough Revocable Trust v. Merrill Lynch, Pierce, Fenner & Smith Inc., & Merill Lynch & Co., Inc. Docket Numben 2004-015582 Attorneys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY DateFiled: 7/14/2004 First Scheduled: 05/17/2005 Dedded: 6/14/

• NYSE New York Stock Exchange e Matter of Arbitration Between m. Case: Phillip and Ann Miller, as tmstees for the benefit of The Phillip and Ann Miller Tmst, v. Merrill, Lynch, Pierce, Fenner & Smith, Inc. & Merrill Lynch & Co., Inc. Docket Number: 2004-015576 Attomeys: For Claimaiit(s): Kevin B. Love - Coral Gables, FL For Respondeiit(s): Bonnie Altro - New York, NY Date Filed: 7/7/2004 First Scheduled: 5/13/2005 Decided: 5/13/2005

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marilyn Widrow and Beth C. Clark v. CIBC Oppenheimer Docket Numben 2004-015541 Attomeys: For Qaimant(s): Marilyn Widrow - New York, NY For Respondent(s): Elizabeth Rose Aylett - New York, NY Date Filed: 6/22/2004 Furst Scheduled: 11/11/2004 Dedded: 6 I IS I c^ Case Summary: Claimants, customers, alleges unsuitable equity investments, negligence and

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Eileen Bolick v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Brett Freeman Docket Number: 2004-015532 Attomeys: For Claimant(s): Eileen Bolick - Richboro, PA For Respondent(s): I. Scott Bieler - New York, NY Date Filed: 6/14/2004 First Scheduled: Decided: 5/24/2005 Case Summary: Claimant, a public customer, alleges unsuitability, chuming, misrepresentat

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. v. Erik P. Pmden Docket Number: 2004-015527 Attomeys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Erik P Pmden - Wilton, CT Date Filed: 6/10/2004 First Scheduled: 04/14/2005 Dedded: 04/21/2005 Case Summary: Member Firm Claimant alleges breach of contract and non-payment of promissory note. Produc

'NYSE New York Stock Exdiange In the Matter of Arbitration Between Case: Gladys Harden v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015437 Attomeys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Julie W. Portera - Birmingham, AL Date Filed: 5/1/2004 Furst Scheduled: 5/20/2005 Dedded: 5/20/2005 Case Summary: Customer claimant alleges violations of securities laws and SRO rules, negligence, mis

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jerry Murphy as trustee to Patricia K. Martin Trust v. Salomon Smith Barney, Inc. Docket Numben 2004-015405 Attomeys: For Clabnant(s): Jeff Musslewhite - Kingwood, TX For Respondent(s): Kristina L. Carlson - Minneapolis, MN Date Filed: 5/12/2004 First 05/05/2005 Scheduled: Decided: 6/3/05 Case Summary: Customer Claimant alleges unsuitability, fa

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Tonya M. Blankenship and Donte Jamael Bolden vs. Wachovia Securities, LLC Docket Number: 2004-015391 Attomeys: For Claimant(s): Jeffi-ey Musslewhite - Kingwood, TX For Respondent(s): Todd Ratner - Richmond, VA Date Filed: 5/4/2004 First Scheduled: 04/05/2005 Decided: 4/18/05 Case Siunmary: Customer Claimants allege unsuitability, failure to hedge, failu

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Selma Reiter, Individually, and as Executrix for the Estate of Sidney Reiter v. Morgan Stanley Dean Witter, Inc. Docket Number: 2004-015389 Attomeys: For Claimant(s): Jean Price Hanna - Radnor, PA For Respondent(s): Christine M. Debevec - Philadelphia, PA Date Filed: 5/10/2004 First Scheduled: 05/10/2005 Dedded: 05/16/2005 Case Summaiy: Claimant cus