I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Laura Tunis v Merrill Lynch Pierce Fenner & Smith and Merrill Lynch & Co., Inc. Docket Number: 2003-014503 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New Yor'-c, NY Date Filed: 9/2/2003 First Scheduled: Decided: 9/9/04 Case Summary: Customer claimant alleges breach of contract, failure to comply with di

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rebecca Scrivner v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co.,Inc. Docket Number: 2003-014502 Attomeys: For Claimant(s): Kevin Love - Carol Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 9/2/2003 First Scheduled: 7/15/2004 Decided: 8/26/2004 Case Summary: Customer claimant alleges breach of contract, fai

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles E. and Danus D. Phelps v Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2003-014496 Attomeys: For Claimant(s): Jeffrey B. Musslewhite - Kingwood, TX For Respondent(s): Justin C. Sawyer - Portland, OR Date Filed: 9/19/2003 First Scheduled: 10/11/2004 Decided: 12/9/04 Case Summary: Customer Claimants allege unsuitability, breach of fid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chester T. Vogel and Madeline Vogel, (Claimants) vs. Citicorp Investment Services and Richard Lee Rose, (Respondents) Case Number: 01-03611 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Chester T. Vogel ("C. T. Vogel") and Madeline Vogel ("M. Vogel"), hereinafter collectively referred to as "Claimants": Howard A. Baker, Esq., Howard A. Baker, Attorney at L

AWARD NASD Dispute Resolution, Inc. k In the Matter of the Arbitration Between Name of Claimant Jeffrey A. Seeman and. 00-01234 Minneapolis, Minnesota Name of Respondent Norwest Investment Services, Inc. REPRESENTATION OF PARTIES Jeffrey A. Seeman ("Claimant") was represented by F. Chet Taylor, Esq., Minneapolis, Minnesota. Norwest Investment Services, Inc. ("Respondent") was represented by Robert L. Schnell, Esq., Mary E. Stumo, Esq

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: SunTrust Capital Markets, Inc. v. Christopher Marinac Docket Number: 2003-014494 Attomeys: For Claimant(s): David Balser - Atlanta, GA For Respondent(s): T. Stephen McConnell - Atlanta, GA Date Filed: 9/8/2003 First Scheduled: 04/16/2004 Decided: 08/31/2004 Case Summary: Claimant, a member firm, alleges Respondent, a registered representative and former

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sammy Kahwaji and Jeanette Kahwaji v Wachovia Securities Docket Number: 2003-014491 Attomeys: For Claimant(s): Erwin Cohn - Chicago, IL For Respondent(s): Peter Sonderby - Chicago, IL Date Filed: 9/9/2003 First Scheduled: 7/20/2004 Decided: 7/30/04 Case Summary: Claimants allege that due to breach of contract, unsuitability, aggressive, fi-audulent &

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elizabeth E. Gosser v Fidelity Brokerage Services dba Fidelity Investments, Fidelity Investments Life Insurance Co., Paolo Rocco, Kurt Ives and James Forsythe Docket Number: 2003-014489 Attomeys: For Claimant(s): Erwin Cohn - Chicago, IL For Respondent(s): Matthew C. Applebaum - Boston, MA Date Filed: 9/11/2003 First Scheduled: 11/03/2004 Decided: 01/20/2005

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Bamey Inc. v. Curtis M. Lockey, NYSE Docket Number: 2003-014472 Attomeys: For Claimant(s): Gregory R. Crochet - Atlanta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Roger Evans - Dallas, TX Date Filed: 9/15/2003 First Scheduled: 08/30/2004 Decided: 12/02/04 Case Summary: Claimant member firm a

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William Larson v. UBS PaineWebber Inc. Docket Number: 2003-014460 Attomeys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Jack Ballard - Houston, TX Date Filed: 9/9/2003 First Scheduled: 7/13/2004 °^^'^^^= 8/6/2004 Case Summary: Claimant customer alleges breach of fiduciary duty, breach of contract, unsuitability, failure to