• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Meyer Max Ganem and Melicent S. Ganem v. Salomon Smith Bamey, Inc.; Saul Salonsky; John Thomas Buffa; Joseph Heyer; and William Joseph Bums Docket Number: 2004-014922 Attomeys: For Claimant(s): Debra Hayes - Kingwood, TX For Respondent(s): Daniel R. Korb - New York, NY Date Filed: 1/7/2004 First Scheduled: 11/09/2004 Dedded: 05/11/2005 Case Summary:

AWARD NASD Dispute Resolution, Int. In the Matter of the Arbitration Between Roger A. Graul and Maryhelen Graul and 01-03711 Omaha, Nebraska U.S. Bancorp Investments, Inc., and U.S. Bank RL E hES-E NTATION OF PARTIES Roger A. Graul and Maryhelen Graul ("Claimants") were represented by Kenneth Cobb, Lsq., Law Office of Kenneth Cobb, F.C., Lincoln, Nebraska. U.S. Bancorp Investments, Inc. and U.S. Bank ("Respondents") were represented by S

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph R. Claus, as Grantor and Beneficiary for the Joseph R. Claus IRA Dated February 11,2000 and Carmen L. Claus, as Grantor and Beneficiary for the Carmen L. Claus IRA Dated Febmary 11,2000 v. Pmdential Equity Group, Inc. and Wachovia Securities, LLC, f/k/a Pmdential Securities Inc. Docket Number: 2003-014826 Attomeys: For Claimant(s): Glenn S. Gitomer - Radnor, PA

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Craig Richardson v Merrill Lynch and James O'Keefe Docket Number: 2003-014739 Attomeys: For Qaimant(s): Robert D. Zatorski - Saddle Brook, NJ For Respondent(s): Ethan Leonard - New York, NY DateFiled: 11/7/2003 First Scheduled: 05/25/2005 Dedded: ^/pL^/oST Case Summary: Customer Claimant alleges unsuitable investment recommendations and excessive use of

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Timothy M. Herceg v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Jim Woods Docket Number: 2003-014628 Attomeys: For Claimant(s): David Mee - Kingwood, TX For Respondent(s): Angela A. Turiano - New York, NY Date Filed: 10/15/2003 First Scheduled: 09/09/2004 Dedded: c^/^r/ ^iT Case Summary: Claimant, customer, alleges breach of fiduciary of duty, failure to

^•NYSE New York Stock Exchange In the Matter of Arbitration Between Case; Larry Selza v Judith Ldte-Feiraz Attorneys: For Claiinant(s): Jessica Siegel - Houston, TX For Respondent(s): Samuel Edwards - Hbustxn. TX For 3rd Party: ' Date Filed; 10/13/2003 First Scheduled: 10/17/2003 Decided; 10/17/2003 Ca^e Sununaiy: : Rjegistered represezitative requests agreed upon expungment frota CRD record of Teference to NYSE case #2001-002451

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Vivian Judson v. UBS PaineWebber Docket Number: 2003-012253 Attomeys: For Gaimant(s): Vivian Judson - New York, NY For Respondent(s): Jonathan L. Hochman, Esq. - New York, NY Rebecca L. Fine, Esq. - New York, NY Date Filed: 9/4/2003 First Scheduled: 09/20/2004 Dedded- 06-08-2005 Case Sununary: Claimant customer alleges fraud, negUgence, misrepresentatio

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arthur E. DE Cordova v. Bernard Tamberella, Jr. Attorneys: For Claimant(s): Arthur De Cordova - Nokomis, FL For Respondent(s): Bernard Tamberella, Jr. - Hoboken, NJ DateFiled: 7/29/2003 First Scheduled: 11/19/2003 Decided: j-z. / ^ / ^ *" " Case Summary: The statement of claim alleges a failure to pay under a seat lease agreement. Produc

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Melvin Simmons v Prudential Securities and William Brownell Docket Number: 2003-012189 Attorneys: For Claimant(s): Sidney Jackson - Mobile, AL For Respondent(s): Francis X. Manning - Cherry Hill, NJ Date Filed: 8/7/2003 05/17/2005 First Scheduled: Decided: 6/6/05 Case Summary: Claimant, a customer, has alleged that respondents, member firms and

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Benson Fischer, Mona Fischer v. Salomon Smith Barney, Neil Kaplan and Jack Grubman Docket Number 2003-012071 Attorneys: For Clainiant(s): Brian J. Neville - New York, NY For Respondent(s): Jennifer Blunt - Washington, DC Date Filed: 7/8/2003 First Scheduled: 07/19/2004 Dedded: 6/3/2005 Case Summary: Claimants, Public Customers, allege fraud, negligence, misrepr