i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Merrill Lynch, Pierce, Fenner & Smith Inc. v. Branko Aleksa and Coleen Aleksa, Docket Number: 2003-014821 Attomeys: For Claimant(s): Rachel Friedman - Cherry Hill, NJ For Respondent(s): Branko Aleksa - Ivyland, PA Coleen Aleksa - Ivyland, PA Date Filed: 11/28/2003 First Scheduled: 8/18/2004 Decided: 0^/07/2004 Case Summary: Claimant, a member firm,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert M. Gelb and Susan Gelb v Merrill Lynch, Pierce, Fenner & Smith, Inc. & George T. Cox Docket Number: 2003-014817 Attomeys: For Claimant(s): Edward H. Glenn Jr. - New York, NY For Respondent(s): John R. Snyder - Boston, MA Date Filed: 11/24/2003 First Scheduled: 11/22/2004 Decided: 12/9/04 Case Summary: Customer Claimants allege fi-aud, unsuita

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Herbert M. Baum v. Citigroup Docket Number: 2003-014811 Attomeys: For Claimant(s): Herbert Baum - Rockville, MD For Respondent(s): Ann Parry - New York, NY Date Filed: 11/25/2003 First Scheduled: 2/20/2004 Decided: 06/01/2004 Case Summary: Claimant, a customer, alleges he was misinformed by respondent and that he relied on research analyst, Jack Gmb

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Darinka Ugrinov v. Morgan Stanley Dean Witter,Inc., Gerald Rosen and Roberta Mailman Docket Number: 2003-014810 Attomeys: For Claimant(s): Darinka Ugrinov - Cleveland, OH For Respondent(s): Keith Guilfoyle - Purchase, NY Date Filed: 1/21/2004 First Scheduled: 05/19/2004 Decided: ^/^7/^r Case Summary: Claimant alleges she lost her life savings based

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard D. Schaddelee v. Salomon Smith Bamey and Robert G. Williams Docket Number: 2003-014794 Attomeys: For Claimant(s): Richard D. Schaddelee - Bryson City, NC For Respondent(s): Ann Parry - New York, NY Date Filed: 11/21/2003 First Scheduled: 10/27/2004 Decided: 10/27/2004 Case Summary: Claimant, public customer, alleges unauthorized trading, account

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marlene Karp v. Prudential Financial, Prudential Securities, Inc. and Kenneth Bolda Docket Number: 2003-014902 Attomeys: For ClaimantCs): Mark Gantz - Dearborn Heights, MI For Respondent(s): Mark Vaughan - Huntington, NY Date Filed: 1/29/2004 First Scheduled: 08/19/2004 Decided: 08/19/2004 Case Summary: Claimant, a customer, alleges respondent made unsu

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Helen B. Maish v. Edward Jones and Jan S. Fredman Docket Number: 2003-014901 Attomeys: For Claimant(s): W. Bmce Maish - Seneca, SC For Respondent(s): Jan S. Fredman - St. Louis, IL Kimber L. Monroe - St. Louis, MO Date Filed: 12/12/2003 First Scheduled: 08/04/2004 Decided: j^j^/Ci^-- Case Summary: Claimant alleges respondents recommended, sold and confi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Santander Securities Corporation, Claimant v. Eduardo Colon, Respondent Case Number: 01-03623 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant Santander Securities Corp. (hereinafter "Claimant" or "Santander"): Lloyd R. Schwed, Esq., Law Offices of Kubicki Draper,West Palm Beach, Florida. For Respondent Eduardo Colon (hereinafter "Respondent"): Marie El

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Vemon K. Wheatley v. Salomon Smith Bamey, Inc.; Lori F. Rogerson; and Allison Smoot Docket Number: 2003-014790 Attomeys: For Claimant(s): Andrew Waldron - Oklahoma, OK For Respondent(s): Raul Sanchez - New York, NY Date Filed: 11/17/2003 First Scheduled: 09/17/2004 Decided: 10/25/2004 Case Summary: Claimant, a public customer, alleges unsuitable

i NYSE New Yoric Stock Exdhauge In the Matter of Arbitratioii Between Case: Sandra Scbw^Kller an individual v. SG Cowen Secmities Corp. Dodcet Numben 2003-014788 Attamq^: For aaimantOi): Siephfin J. Siegel - Chicasoi IL For Rcspondeiit(5)> Uoyd S. Clareman, Esq. - New Yodc NY Date Ried: ll/ld/2003 Rrst Scheduled: 04/29/2004 Dedded: 9/10/2004 Case Summaiy: ClBimant, witfa her deceased husband was a fomer customer of Prank Gmttadau