i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Randy Martin v. Piper Jaffray n/k/a U.S. Bancorp Piper Jaffray, Inc. Docket Number: 2003-012177 Attomeys: For Claimant(s): David Graven - Dallas, TX For Respondent(s): Jeffrey Kalinowski - St. Louis, MO Date Filed: 8/6/2003 First Scheduled: 8/10/2004 Decided: 9/3/2004 Case Summary: Claimant customer alleges common law fraud, violations of the Texas

i NYSE ,ew York Stock Exchange In the Matter of Arbitration Between Case: Carmel & Narine Ramlogan v Salomon Smith Bamey, Gary Zahakos and Eric Jansen Docket Number: 2003-012166 Attorneys: For Claimant(s): Brian O'Keefe - Hauppauge, NY For Respondent(s): Linda R. Alpert - New York, NY Date Filed: 7/29/2003 First Scheduled: 09/21/2004 Decided: 11/02/2004 Case Sununary: Claimants, customer, have alleged that respondents, member

i NYSE New York Stock Exchange In tbe .Matter of Arbitration Between Case: Mary Edmond v .Merrill Lynch Docket Number: 2003-012147 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For RespondeDt(s): Georee C. Freeman. Ill - New Orleans, LA Date Filed: 7/28/2003 First Scheduled: 04/06/2004 Decided: 2/10/05 Case Summary: Claimant, a customer, has alleged that respondent, a member firm, engaged in unsuitable an

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Andrew W. Strobel v. Direct Brokerage, Inc. Docket Number: 2003-012133 Attomeys: For Claimant(s): Andrew J. Goodman - New York, NY For Respond en t(s): Alfred Ferrer - New York, NY Date Filed: 7/22/2003 First Scheduled: 09/09/2004 Decided: //.p */;j^^-r Case Summar>': Claimant, member, alleges Respondent member firm failed to pay wages and salary

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Priscilla J. Gontram, Individually and as Tmstee of the Priscilla Gontram Tmst v Salomon Smith Bamey and David McKay, IV Docket Number: 2003-012086 Attomeys: For Claimant(s): Janet K. DeCosta - Washington, DC For Respoodent(s): Bmce Campbell - Portland, OR William A. Hohauser - New York, NY : ) Date Filed: 6/6/2003 First Scheduled: 08/10/2004 Decided: 1

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Evelyn Stem, Jerry Stem v. Morgan Stanley DW, hic. Docket Number: 2003-012054 Attomeys: For ClaJmant(s): Michael Dye - Boca Raton, FL For Respondent(s): David D. Sterling - Houston, TX Date Filed: 7/8/2003 First Scheduled: 10/19/2004 Decided: 11/15/2004 Case Summary: Claimants, public customers, allege that the Respondent, a member firm, failed to devise a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Ovideo, LLC and Kirkman, LLC (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 01-03609 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants The Ovideo, LLC ("Ovideo") and Kirkman, LLC ("Kirkman") hereinafter collectively referred to as "Claimants": Michael H.

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Village of Marissa. Illinois v. A.G. Edwards & Sons, Inc., William Robert Martin, David Brian Cherrick Docket Number: 2003-012031 Attomeys: For Claimant(s): Susan Bindlei - St. Louis, MO For Respondent(s): Clay Grumke - St. Louis, MO Date Filed: 7/1/2003 First Scheduled: 7/27/2004 Decided: 8/»6/2004 Case Summary: Illinois municipality-customer claimant alleges that

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard Freedman and Nancy Freedman v. S.G. Cowen Securities Corporation and Lehman Brothers, Inc.and Robert Walterman Docket Number: 2003-012021 Attomeys: For Claimant(s): Andrew T. Miltenberg - New York, NY Kenneth L. Kutiier - New York, NY For Respondent(s): Brian F. McDonough - New York, NY Joseph SuUivan - New York, NY Date Filed: 6/26/2003 First Sched

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dana L. Duncan & Debra L. Duncan, Individually and/or on behalf of their Individual Retirement Accounts vs. Raymond James Financial Services, Inc. Docket Number: 2003-011993 Attomeys: For Claimant(s): Steven B. Caruso - New York, NY For Respondent(s): .John J. Murphy, III - Cherry Hill, NJ Date Filed: 6/18/2003 First Scheduled: 02/02/2004 Decided: 11/04/2004