I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles R. Tumgren v Salomon Smith Bamey and Gene Machevich Docket Number: 2003-014779 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Jerry M. Santangelo - Chicago, IL Date Filed: 11/17/2003 First Scheduled: 12/07/2004 Decided: 1^ /i2-^o y Case Summary: Claimant, a 68 yr old retiree, alleges respondents made inappropri

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph Shuster and Patricia Shuster v Citigroup Global Markets, f/k/a Salomon Smith Bamey Docket Number: 2003-014776 Attomeys: For Claimant(s): Phillip A. Cole - Minneapolis, MN For Respondent(s): J. David Jackson - Minneapolis, MN Date Filed: 11/17/2003 First Scheduled: 06/15/2004 Decided: 10/1/2004 Case Summary: Claimants allege respondent breached it

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Vizzo & Gloria Vizzo v UBS PaineWebber, Inc. & Dennis Peacock Docket Number: 2003-014772 Attomeys: For Claimant(s): Edward H. Glenn - New York, NY For Respondent(s): Bryan I. Reyhani - New York, NY Date Filed: 11/12/2003 First Scheduled: 11/08/2004 Decided: ii/i8/04 Case Summary: Customers v Members Firm and Registered Rep. alleging mismanagement a

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carl Fazio, Sr., Irene Dugger Fazio, Robert Fazio, Fazio Investment One Limited and Fazio Investment Three Limited v. Lehman Brothers, Lehman Brothers Holding, SG Cowen Securities Corp., Societe Generale SA, Financial Square Partners,L.P., FSP Inc, Hambrecht « & Quist, and J.P. Morgan Chase & Co. Docket Number: 2003-014766 Attomeys: For Claimant(s): Ari H. Jaffe - Clev

I I i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kathryn W. Taylor and Jessie Taylor Goolsby v. Merrill Lynch, Pierce, Feimer & Smith, Inc.; and Helene P. Colvin Docket Number: 2003-014763 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Joshua D. Jones - Birmingham, AL Date Filed: 11/6/2003 First Scheduled: 10/26/2004 Decided: 01/10/2005 Case Summary: Cust

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Pamela B. Reed and Michael T. Reed v. Merrill Lynch, Pierce, Fermer & Smith, Inc. and Randy Smith Docket Number: 2003-014715 Attomeys: For Claimant(s): Milton Fried - Kingwood, TX For Respondent(s): Peter S. Fmin - Montgomery, AL Date Filed: 10/30/2003 First Scheduled: 10/12/2004 Decided: 12/13/04 Case Summary: Customer claimants allege unsuitabilit

•NYSE New York Stock Exchange In the Matter of Arbitration Bet>veen Rule 627(f) Claimant Case: flMMBUMMMb'. SG Cowen Securities Docket Number: 2003-014698 Attorneys: For Claimant(s): Anthony J. Hartman, Esq. - Cleveland, OH For Respondent(s): Linda Goldstein - New York, NY DateFiled: 10/29/2003 First Scheduled: 1/1/1900 Decided: —i, /'^S'/^ C ^ Y ^ Case Summary: Claimant, a former personal fiiend of respondent, Frank Gmtt

1 NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Porfirio Garcia and Stella Garcia vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Verle L. Millsap Docket Number: 2003-014683 Attomeys: For Claimant(s): Charles S. Wuest - Kingwood, TX For Respondent(s): Angela A. Turiano - New York, NY DateFiled: 10/21/2003 First Scheduled: 11/09/2004 Decided: 11/10/2004 Case Summary: Customers vs. Member Firm and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03618 Alexander v. Dedicov and Nadie A. Dedicova, claimants vs. Datek Online Financial Services, LLC, respondent. ATTORNEYS: Claimants appeared pro se, Doylestown, PA. For Respondent appeared Catherine L. Dellecker, Esq., of the firm Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P., Los Angeles, CA. DATE FILED: June 22, 2001 CASE SUMMARY: Claimant alleged that respondent failed

i NYSE ew York Stock Exchange In the Matter of Arbitration Between Case: Robert A. Cloud v. Menill Lynch, Pierce, Fenner & Smith, Inc.; Tomm Dunn; Crystal Dunn; and Jason Demers Docket Number: 2003-014681 Attomeys: For Claimant(s): Celeste Chiaramonte - Oklahoma City, OK For Respondent(s): Martha F. McDugald - Houston, TX Date Filed: 10/23/2003 First Scheduled: 09/13/2004 Decided: 10/14/2004 Case Summary: Claimant, a customer