1 msE New York Stock Exchange In fhe Matter of Arbitration Between Case: Joseph W. Cole and Laura M. Cole v. Citigroup Global Madoets, Inc. Docket Number. 2004«01S312 Attomeys: For ClaimantCs): Debra Brewer Hayes - ICingwood, TX For Bespondaoit(s): Ana Pairy - New Yodc NY Date RIad: 4/23/2004 Rrst Scheduiad; 5/28/2004 Decided: g//|/cM Case SximmBry: Gaimants, mother and son, allege Respondent^ decision to plafis them in unsui

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03634 Jacqueline Walker, Claimant vs. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant, Jacqueline Walker, appeared Pro Se, Palm Harbor, Florida, Respondent, TD Waterhouse Investor Services, Inc., did not submit an answer to the Statement of Claim. DATE FILED: July 10, 2001 CASE SUMMARY: Claimant alleged respondent engaged in unauthorized trading. Claimant

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John A. Johnson and Dorothy V. Johnson v. Salomon Smith Bamey Docket Number: 2004-015307 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Michael Farkas - New York, NY Date Filed: 4/5/2004 First Scheduled: 5/28/2004 Decided: 7/20/2004 Case Smnmary: Claimants, public customers, allege respondent's negUgence, misrepresentati

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Emest and Ellen Senock v. Merrill Lynch Pierce Fenner & Smith, hic. Docket Number: 2004-015252 Attomeys: For Claimant(s): Debra Brewer Hayes - Oklahoma City, OK For RespoDdeDt(s): Alan M. Wolper - Atlanta, GA Date Filed: 4/2/2004 First Scheduled: 01/18/2005 Decided: 02/28/2005 Case Summary: Customer claimants allege negligence, failure to supervise, fai

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marjorie Jean Ahlberg vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015238 Attorneys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Bmce W. Day - Oklahoma City, OK Date Filed: 4/12/2004 First Scheduled: 10/4/2004 Decided: 10/20/2004 Case Summary: Customer v. Member Firm alleging violations of securities laws and SRO

I NYSE ^ew York Stock Exchange the Matter of Arbitration Between Case: Jeanette Zapp v. Merrill Lynch, Pierce, Fenner & Smith Inc., and MerrillLynch & Co., Inc. Docket Number: 2004-015233 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: Decided: 7/16/2004 Case Summary: Customer, claimant, alleges breach of contract, failure to comply

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Leslie White v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015223 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: 6/8/2004 Decided: 08/17/2004 Case Summary: Claimant, a customer, alleges breach of contract, failur

I NYSE New York Stock Exchange the Matter of Arbitration Between Case: Eva Urdiales v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015219 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: Decided: 7/21/2004 Case Summary: Claimant, a customer, alleges breach of contract, failure to comp

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Terry H. Inghram v. Michael J. Kearse and Diana M. Kearse Docket Number: 2004-015209 Attomeys: For Claimant(s): Joel E. Davidson - Northvale, NJ For Respondent(s): Diane M. Kearse - Hartsdale, NY Date Filed: 3/26/2004 First Scheduled: 7/29/2004 Decided: 8/5/2004 Case Summary: Registered Rep v. Customers seeking expungement from his CRD reference to Michael

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janese and Frank Miller v Merrill Lynch Docket Number: 2004-015187 Attomeys: For Clainiant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Alan M. Wolper - Atlanta, GA Date Filed: 3/10/2004 First Scheduled: 11/19/2004 Decided: 11/19/04 Case Summary: Customer Claimants allege negligence, unsuitability, misrepresentation, breach of fiduciary