i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rose Mary Finocchi vs. Charles Schwab Corporation Docket Number: 2002-010432 Attomeys: For Claiinant(s): Marc Susswein - New York, NY For Respondcnt(s): David D. Kadue - Los Angeles, CA Date Filed: 7/2/2002 First Scheduled: 08/12/2003 Decided: 05/18/2005 Case Summary: Registered Representative vs. Member Firm alleging failure to properly investigate allegations

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Larry W. Benson v UBS PaineWebber, Inc., PaineWebber, Inc., Ken Logsdon and David Shine Docket Number: 2002-010330 Attomeys: For Claimant(s): Robin Nackman - Smithtown, NY For Respondent(s): ErinNaftaH-NY,NY Mark C. Shuford - Richmond, VA Date Filed: 5/23/2002 First Scheduled: 04/12/2005 Decided: 04/19/2005 Case Summary: Customer claimant allege

i IMYSE New York Stocli Exchange In the Matter of Arbitration Between Case: Craig Yonon v. Merrill Lynch Pierce Fenner Smith Docket Number: 2002-010192 Attomeys: For Clainiant(s): Randall C. Place - Coral Springs, FL For Respondent(s): David J. Campbell - New York, NY Date Filed: 04/26/2002 First Scheduled: 09/09/2003 Decided: 02/17/05 Case Summary: Customer claimant alleges negligence, failure to supervise, violation of NASD

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hung Pin Lee, Claimant, vs. Jerry Jin, Yukkong Suen, Fiserv Securities., Inc., Ying Chun Tan, Respondents. Case Number: Hearing Site: 01-03662 Houston, Texas NATTTRF Customer vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant Hung Pin Lee, hereinafter referred to as "Claimant," was represented by Daniel R. Ki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam Weiss, (Claimant) vs. Providence Capital, Inc. and Herbert A. Denton, (Respondents) Case Number: 01-03658 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adam Weiss, hereinafter referred to as "Claimant": Alice K. Jump, Esq., a sole practitioner, New York, NY. Respondents, Providence Capital, Inc. ("Providence") and Herbert A. Denton ("Denton"), hereina

N^" NYSE Jew York Stock Exchange In the Matter of Arbitration Between Name Withheld - See Remarks ^^•wHII^II^- Kevin Whitney and Goldman Sachs & Co. Docket Number: 2004-015821 Attomeys: For Gaimant(s For Respondent(s): Robin D. Fessel - New York, NY DateFiled- 11/3/2004 First Scheduled: 06/28/2005 Decided: ///^jy^^r Case Summary: Non-member, claimant, alleges a breach of contract claim for $238,000 based on the cancellation o

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Byron and Marcia Carlson v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015802 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/1/2004 First Scheduled: 12/13/2004 Decided: 1/21/05 Case Summary: Claimant alleges that Merrill Lynch Pierc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03643 John E. Phillips Name of the Respondents Hearing Site: Chicago, Illinois E*Trade Securities, Inc., Wayne H. Heldt, Christos M. Cotsakos, Timothy W. Mercer, Walter J. Borfitz, and Thomas C. Laris REPRESENTATION OF PARTIES Claimant, John E. Phillips ("Phillips") appeared pro se Respondent, E*Trade Securities, Inc., ("E*Trade") W

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Hudspeth and Jim Polonsky and Merrill Lynch, Pierce, Feimer & Smith, Inc. vs. Dean L. Balsamini Docket Number: 2004-015742 Attomeys: For Claimant(s): Adam Oppenheim - New York, NY Juhan Friedman - New York, NY Matthew Plant - Florham Park, NY For Respondent(s): James Cohen - Staten Island, NV Date Filed: 9/30/2004 First Scheduled: 11/03/2004 Decide

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Hudgins, As Tmstee for the Robert Hudgins MD, P.A. Employee Profit Sharing Plan v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number. 2004-015737 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/28/2004 First Scheduled: 11/30/2004 Decided: 12/3/2004 Case Summary: Cus