i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dorothy Annette Kirk v. Merrill Lynch Docket Number: 2003-014875 Attomeys: For Claimant(s): Milton Fried - Kingwood, TX For Respondent(s): William J. Manning, Jr. - New York, NY Date Filed: 12/18/2003 First Scheduled: 03/29/2005 Decided: 04/18/05 Case Summary: Claimant customer alleges negligence, misrepresentation, unsuitable investments, over- con

i NYSE New York Stock Exchange In tbe Matier of Arbitration Between Case: Credit Suisse First Boston LLC vs. Lance W. Bridges Docket Number: 2003-014828 Attorneys: For Ciaimant(s): Michael Lawson - San Francisco, CA Robert L. Herskovits - New York, NY For Respondenf(s): G. Mark Brewer - LaJolla. CA DateFiled: 12/2/200? First Scheduled: 07/21/2004 Decided: 03/09/2005 Case Summary: Member Firm v. Customer seeking to recover a d

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carlos I. Layus v. Goldman Sachs & CO. Docket Number: 2003-014806 Attomeys: For Claimant(s): Blaine Bortnick - New York, NY For Respondent(s): David Picon - New York, NY Date Filed: 11/25/2003 First Scheduled: 03/03/2005 Decided: 04/25/2005 Case Summary: Claimant registered representative alleges wrongful termination and defamatory comments on his f

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03674 Clayton Raynes, Edna Raynes, Horst Busch, Trustee of the Busch Revocable Trust UA dated 11/8/93, Eva Busch, Trustee of the Busch Revocable Trust UA dated 11/8/93, Louis Davidson, Trustee of the Louis R. & Theresa A. Davidson Revocable Trust, and Theresa Davidson, Trustee of the Louis R. & Theresa A. Davidson Revocable T

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Edward Newhouse v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Francis Chimenti, Paul Scileppi, Mark Friedman and Henry Blodget Docket Number: 2003-014729 Attomeys: For Claimant(s): Gary Jacobson - New York, NY For Respondent(s): Adam J. Eisner - Washington, DC Kenneth I. Schacter - New York, NY Date Filed: 10/15/2003 First Scheduled: 04/06/2005 Decided

i New York Stock Exchange In the Matter of Arbitration Between Case: Jay and Lesly Ginsburg v Morgan Stanley Dean Witter, Inc., Gotham Bhojwani, Matthew Taub and Jason Weissman Docket Number: 2003-014722 Attomeys: For Claimant(s): Christopher Gray - New York, NY For Respondent(s): Dimitri Nemirovsky - New York, NY Date Filed: 11/3/2003 First Scheduled: 02/14/2005 Decided: 4/7/05 Case Summary: Customer Claimant alleged unsuita

^ i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray Inc. v. Elise C. Tanner Docket Number: 2003-014585 Attomeys: For Claimant(s): Nathan P. Brenna - Miimeapolis, MN For Respondent(s): Elise C. Tanner - Crossett, AR Date Filed: 9/29/2003 First Scheduled: 04/20/2005 Decided: 05/10/2005 Case Summary: Member firm claimant alleges breach of contract and non-payment of promisso

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jonathan D. Zames v. Deutsche Bank Seciuities, Inc. Docket Number: 2003-014480 Attomeys: For Claimant(s): Jeffrey L. Liddle - New York, NY For Respondent(s): Barry Asen - New York, NY Date Filed: 9/15/2003 First Scheduled: 06/08/2004 Decided: 3/17/2005 Case Summary: Registered Representative alleges breach of enqiloyment agreement, failure to pay compensati

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. F/K/A Salomon Smith Bamey vs. Ira Banschick Docket Number: 2003-012132 Attomeys: For ClaimantCs): Kenneth O'Connor - Cranford, NJ For Respondent(s): Ira Banschick - Rockville Centre, NY Date Filed: 7/25/2003 First Scheduled: 02/09/2005 Decided: 02/09/2005 Case Summary: Member firm alleges registered representative failed t

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roman M. Mrzyglocki vs. H.D. Brous & Co., Inc. and Timothy Mann Docket Number: 2003-012083 Attomeys: For Claimant(s): Robert D. Zatorski - SaddleBrook, NJ For Respondent(s): Barry R. Temkin - New York, NY Timothy Mann - Rockville Center, NY Date Filed: 7/7/2003 First Scheduled: 02/19/2004 Decided: 03/10/2005 Case Summary: Customer vs. Member Firm and Re