"NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Todd G.B. Dalglish vs. Salomon Smith Bamey, Inc. and Citigroup Corporate & Investment Bank Docket Number: 2002-010671 Attomeys: For Claimant(s): James A. Batson - New York, NY For Respondent(s): Robert S. Whitman - New York, NY Date Filed: 9/3/2002 First Scheduled: 07/24/2003 Decided: 02/18/2005 Case Summary: Registered Representative vs. Member Firm (fo

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: C. Brent McCaghren as Personal Representative of the Estate of Diane T. King vs. Moors & Cabot, Inc. and Marc Steven Wolff Docket Number: 2002-010300 Attomeys: For Claimant(s): Richard R. Logsdon - Clearwater, FL For Respondent(s): Barry A. Postman - Miami, FL R. Todd Cronan - Boston, MA Date Filed: 5/29/2002 First Scheduled: 03/05/2003 Decided: 01/14/2005

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wayne Ferraro v A.G. Edwards & Sons, Inc. and Jeffrey Sica Docket Number: 2002-010284 Attomeys: For Claimant(s): Morgan Bentley - Newark, NJ For Respondent(s): Joel E. Davidson - Northvale, NJ Date Filed: 5/3/2002 First Scheduled: 01/16/2003 Decided: 2/16/2005 Case Summary: Customer Claimant alleges misrepresentations regarding market risk, unsuitability, failure

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Ronald Perliman; Lois Perliman; Ronald and Lois Perliman on behalf of their minor children, Paul Perliman and Olivia Perliman; The Perliman-Bolen Partnership vs. Salomon Smith Barne Inc.; Scott Shagrin Docket 04-S003 Attomeys: For Gaimant(s): Jules Leo Federman - Santa Barbara, CA For Respondent(s): Robert B. Ericson - Los Angeles, CA DateFiled: 5/11/2004 FnstScheduled

4 NYSE .New York Stock Exchange In the Matter of Arbitration Between Case: Richard Maiple v. Salomon Smitii Barney. Inc. and Maynard Liciitcrman Docket Number: 2003-014SS2 Attorneys: For Claimant! s): Jeffrey B. Musslewhile - Oklahoma City, OK For Respondent(s): Cara L. Meredith - San Francisco. CA DateFiled: 12/19/2003 First Scheduled: 10/05/2004 Decided: 12/03/2004 Case Summary: Claimant, a customer, alleges Respondent inve

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group f/k/a Prudential Securities Inc v. Robert Jemc Docket Number: 2003-014856 Attomeys: For Claimant(s): Kenneth O'Connor - Crandford, NJ For Respondent(s): Robert Jemc - Ingleside, IL DateFiled: 12/12/2003 First Scheduled: 11/10/2004 Decided: 12/10/2004 Case Summary: Claimant alleges respondent,a former registered representative, en

Award NASD In the Matter of the Arbitration Between: Daniel Reich, Claimant v, Simon Amich and Lehman Brothers Inc., Respondents Case Number: 01-03627 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Daniel Reich, hereinafter referred to as "Claimant": Don R. Boswell, Esq., Akers & Boswell, P.A., Boca Raton, FL, For Simon Amich ("Amich") and Lehman Brothers Inc. ("LBI"), hereinafter referred to as "Respondents": Robert N. Holtzman, Es

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Stanley B. Lacks Jr. v. Quick & Reilly Inc. and US Clearing Corp. Docket Number: 2003-014846 .'\ltorney.s: For Claimant(s): Stanley B. Lacks - Plymouth. MA For Respondent(s): David L. Becker - Northvale. NJ Date Filed: 12/4/2003 First Scheduled: 08/10/2004 Decided: 08/26/2004 Case Summary: Customer Claimant alleges mismanagement of account, violations of NYSE

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roger L. Baichoff vs. Salomon Smith Bamey, Inc. and Marcia Levy Person Docket Number: 2003-014844 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Neil B. Solomon - West Palm Beach, FL DateFiled: 12/S/2003 First Scheduled: 7/26/2004 Decided: 7/27/2004 Case Sinnmaiy: Customer v. Member Firm and Registered Rep alleging breaches of

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald Brennan POA for Bernard Brennan vs. Wachovia Securities Docket Number: 2003-014842 Attomeys: For Clainiant(s): Donald Brennan - Machipongo, VA For Respondent(s): Todd Ratner - Richmond, VA Date Filed: 12/8/2003 First Scheduled: 08/06/2004 Decided: 09/09/2004 Case Summary: Customer v. Member Firm alleging failure to follow instmctions to roll over a $