I NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: William J. Maresca v. Salomon Smith Bamey, Inc. Docket Number: 2004-015510 Attomeys: For Claimant(s): C. David Mee - Kingwood, TX For Respondent(s): Joseph Calabrese - New York, NY Date Filed: 6/4/2004 First Scheduled: 03/29/2005 Decided: 03/30/2005 Case Summary: Claimant customer alleges unsuitability, breach of fiduciary duty, breach of contract,

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary LaMagna v. Edward D. Jones Docket Number: 2004-015398 Attomeys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Timothy M. Huskey - St. Louis, MO Date Filed: 5/12/2004 First Scheduled: 02/07/2005 Decided: 02/22/2005 Case Summary: Claimant, a public customer, alleges that Respondent member firm breached its fiduciary and contractual du

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Schultz, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 01-03676 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Philip M. Aidikoff, Esq. Keith D. Fraser, Esq. Aidikoff &Uhl Beverly Hills, California For Respondent: Peter R. Boutin, Esq. Kelly J. Moynihan, Esq. Keesal, Yo

i NYSE New York Stock Exchange In the Matier of Arbitration Between Case: Shirley Collins v. Menill Lynch, Pierce, Fenner & Smith. Inc. Docket Number: 2004-015366 Attomeys: For Claimant(s): Bruce Cain - Kingwood, TX For Respondent(s): Stuart T. Rebish - New York. NY Date Filed: 5/4/2004 First Scheduled: 02/08/2005 Decided: Case Summary: Customer claimant alleges unsuitable investments., breach of contract., violation of SRO

i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Walter H. Butler v. UBS Financial Services, hic. Docket Number: 2004-015381 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Cory Hohnbaum - Charlotte, NC Date Filed: 5/10/2004 First Scheduled: 01/18/2005 Decided: 03/15/2005 Case Summary: Customer claimant alleges negligence, misrepresentation, unsuitability, breach of

I New York Stock Exchange In the Matter of Arbitration Between Case: Lynn J. Ballew and Charles T. Ballew v. Morgan Stanley Dean Witter and William Long Docket Number: 2004-015334 Attomeys: For ClaimantCs): Charles and Lynn Ballew - Houston, TX For RespondentCs): Edmund Shea - New York, NY Date Filed: 6/9/2004 First Scheduled: 01/19/2005 Decided: 3 | S' / ^' ^ Case Summary: Customers, Claimants allege unsuitable investment ad

y • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jesus Manual Funcia alca Manuel J. Funcia v. William (Billy) Hackett and ING Fumian Selz Docket Number: 2004-015283 Attomeys: For Clainiant(s): Manuel J. Funda - Jersey City, NJ For Respoodeni(s): Sharon Parella - New York, NY DateFiled: 1/24/2004 First Scheduled: 03/07/2005 Decided: ^M/^r Case Sununary: Claimanl, non-member, aUeges he had an

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald R. McFariand v. Edward D. Jones & Co., Docket Number: 2004-015146 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Kimber L. Monroe - St. Louis, MO Date Filed: 3/5/2004 First Scheduled: 03/15/2005 Decided: Y/^*^/^-^ Case Summary: Claimant, customer, alleges breach of fiduciary of duty, failure to supervise, breach

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Fisk Family Trust SPH (separate property husband) UAD 1/20/99, Richard A. Fisk and Susan L. Fisk, Trustees, The Fisk Family Tmst CP (community property) UAD 1/20/99, Richard A. Fisk and Susan L. FISK, Trustees, The Richard A. Fisk Trust, Richard A. Fisk, Trustee, The Susan L. Fisk Trust UAD 11/15/00, Susan L. Fisk,Trastee and Richard A. Fisk (Individually) v. Advest, Inc. and Mich

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Freddie R. Pauley vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015105 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Peter S. Fruin - Montgomery, AL Date Filed: 2/10/2004 First Scheduled: 04/25/2005 Decided: S'/'f/z dcS' Case Summary: Claimant, customer, alleges breach of fiduciary duty, failur