i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Louis and Gladys Smoot v Memll Lynch Docket Number: 2003-014678 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Jeffrey S. Portnoy - Honolulu, HI Date Filed: 10/24/2003 First Scheduled: 03/16/2004 Decided: |CJ/VJc< / Case Summary: Customers against member firm for alleged negligence, misrepresentation and imsuitable in

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerald C. Hayes and Judy J. Hayes v. Salomon Smith Bamey, Inc. Docket Number: 2003-014668 Attomeys: For Clainiant(s): A. Daniel Woska - Kingwood, TX Robert W. Goldwater, III - Scottsdale, AZ For Respondent(s): Jennifer P. Nore - Phoenix, AZ Date Filed: 10/15/2003 First Scheduled: 09/21/2004 Decided: 09/24/2004 Case Summary: Customers v. Member Firm alle

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Benderson 85-1 Tmst v. Ken Cecil, and Oppenheimer & Co., recently acquired by Fahnestock and Company, Inc. Docket Number: 2003-014667 Attomeys: For Claimant(s): Patrick G. Finegan - Washington, DC For Respondent(s): Andrew Kohler - New York, NY Date Filed: 10/21/2003 First Scheduled: 11/03/2004 Decided: ///T ^/< ry Case Summary: Claimant, pub

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wyman E. Blakney and Shirley M. Blakney v Salomon Smith Bamey, Inc. and Kraig Michels Docket Number: 2003-014664 Attomeys: For Claimant(s): Duane Tobias - Kingwood, TX For Respondent(s): Raul Sanchez - New York, NY Date Filed: 10/17/2003 First Scheduled: 09/20/2004 Decided: 11/9/04 Case Summary: Public customer Claimants allege unsuitable and unauth

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ted R. Schofield v. Merrill Lynch, Pierce, Fenner &. Smith, Inc. Docket Number: 2003-014653 Attomeys: For Claimant(s): Duane E. Tobias - Kingwood, TX For Respondent(s): Bill Powell Guest - Oklahoma City, OK Date Filed: 10/10/2003 First Scheduled: 11/16/2004 Decided: 11/18/2004 Case Summary: Customer Claimant alleges unsuitable trading and over-concentration

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Stephen Winston, Robert Wass. Andrew Basch, Howard Abrams, Howard Blitz. Gary Handler, Andrew Price, Jesse Bigelow, Brian Bitner, Edward Marx, Jeffrey Fishman. Jody Frank & David Honigstock vs. CIBC World Markets Corporation, Canadian Imperial Bank Of Commerce, Paul Duffy, Elliot Ganz, Suzanne Richards, Paul Rogers, Thomas Fritzlen & Robert Okin Docket Number: 2003-014634 Attomeys

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Louise Ashby v Salomon Smith Bamey Docket Number: 2003-014597 Attomeys: For Claimant(s): Gregory Sherwin - Los Angeles, CA For Respondent(s): Stephen Young, Esq. - Long Beach, CA DateFiled: 10/7/2003 First Scheduled: 09/08/2004 Decided: ^ 11i J fo *f Case Summary: Claimant alleges failure lo supervise, negligence, chuming, misrepresentation, breach of

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles and Vera Parcell v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2003-014580 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 8/13/2003 First Scheduled: 08/16/2004 Decided: 11/29/04 Case Summary: Customer claimant alleges breach of

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group, Inc. f/k/a Prudential Securities, Incorporated vs. Timothy Scott Hutten Docket Number: 2003-014595 Attomeys: For Claimant(s): Kevin J. McKinley - Jupiter, FL For Respondent(s): Timothy Scott Hutten - Ponte Verda, FL Date Filed: 10/6/2003 First Scheduled: 05/04/2004 Decided: 11/16/2004 Case Summary: Member Firm v. Registered Rep (former e

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charlene Castello, Claimant v. Ameritrade, Inc., Respondent Case Number: 01-03617 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Charlene Castello In Pro Per La Jolla, California For Respondent: Patrick B. Griffin, Esq. Kutak Rock, LLP Omaha, Nebraska CASE INFORMATION Statement of Cla