i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers v. Richard Mueller Docket Number: 2003-011862 Attomeys: For Claimant(s): Brian Hamilton - Dallas, TX For Rcspondent(s): Richard Mueller - Dallas, TX Date Filed: 5/29/2003 First Scheduled: 7/15/2004 Decided: August 3, 2004 Case Summary: Member firm claimant alleges respondent failed to pay his loan obligation under his promissory note

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Juanita Davis v. Wachovia Securities Docket Number: 2003-011850 Attomeys: For Clainiant(s): George Golomb - Baltimore, MD For Respondent(s): Todd Ratner - Richmond, VA Date Filed: 5/20/2003 First Scheduled: 10/8/2003 Decided: 7/30/2004 Case Summary: Claimant, a public customer, alleges unauthorized trading with respect to various mutual fiind investme

i NYSE New York Stock Exchange In the .Matter of Arbitration Between Case: Jack Cooper v. SWS Securities Docket Number: 2003-011845 Attomeys: For Claimant(s): G. Andrew Piatt - Fort Worth, TX For Respondent(s): David B. Dyer - Dallas, TX Jerome S. Wade - Dallas, TX Date Filed: 5/19/2003 First Scheduled: 11/15/2004 Decided: 12/2/2004 Case Summary: Claimant, a public customer, alleges breach of contract, breach of fiduc

i NYSE New York Stock Exchange in the Matter of Arbitration Between Case: Richard P. Friedman vs. Salomon Smith Bamey, Inc.. Michael C. Wittenberg and Eric Wittenberg (dih/a The Wittenberg Group) Docket Number: 2003-011834 Attomeys: For Clainiant(s): Charles J. Hecht - New York, NY For Respondent(s): Brian F. Amery - Florham Park, NJ Date Filed: 5/9/2003 First Scheduled: 12/15/2003 Decided: 10/28/2004 Case Summary: Customer v

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Howard F. Daniels v Pmdential Securities and Paul Berman Docket Number: 2003-011821 Attomeys: For Claimant(s): Howard Daniels - Encino, CA For Respondent(s): Charles La Chaussee - San Francisco, CA Date Filed: 5/2/2003 First Scheduled: 5/25/2004 Decided: Case Summary: Customer alleges respondent recommended purshases of unsuitable bonds in his retirement

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert K. Shaye and The Dorothy K. Shaye 1986 Tmst for Juno Shaye v UBS AG and UBS Financial Services Inc. Docket Number: 2003-011819 Attomeys: For Claimant(s): Steven Greenbaum - New York, NY For Respondent(s): Paul Bschorr - New York, NY Date Filed: 5/2/2003 First Scheduled: 5/24/2004 Decided: 7/19/04 Case Summary: 'claimants' allege that al

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Bamey v. Adam P. West Docket Number: 2003-011803 Attomeys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Adam West - South Walpole, MA Date Filed: 4/3/2003 First Scheduled: 7/1/2004 Decided: 7/1/2004 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note. Product: Pr

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Steven Smallow, Susan Smallow, Adam Smallow v Salomon Smith Bamey, Lloyd A. Zitomer Docket Number: 2003-011794 Attomeys: For Claimant(s): Erwin Cohn - Chicago, IL For Respondent(s): Daniel T. Fitch - Philadelphia, PA William Hohauser - New York, NY Date Filed: 4/28/2003 First Scheduled: 09/27/2004 Decided: 11/24/2004 Case Summary: Customer claimants

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03599 Jane Elaine Jeansonne, Claimant vs. Joey Miletello, Respondent. ATTORNEYS: Claimant, Jane Elaine Jeansonne, ("Claimant"), appeared pro se, Monroe, LA. For Respondent, Joey Miletello, ("Respondent"), appeared in-house counsel, Kimberly G. Anderson, Esq., St. Louis, MO. DATE FILED: July 6, 2001 CASE SUMMARY: Claimant alleged that she was charged excessive commissions for the sa

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles M. Obermeyer v. Merrill Lynch Pierce Fenner & Smith Inc. and Joseph I. Yanofksy Docket Number: 2003-011785 Attomeys: For Clainiant(s): Kenneth B. Siegel - Denver, CO For Respondent(s): Bill Powell Guests - Oklahoma City, OK Date Filed: 4/23/2003 First Scheduled: 10/18/2004 Decided: 10/18/2004 Case Summary: Customer claimant alleges unsuitabl