i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George N. Rescigno v. Salomon Smith Bamey Inc., Jeffi-ey Sills, Lane O. Stmmlauf and George W. Rescigno Docket Number: 2003-011780 Attomeys: For Clainiant(s): George N. Rescigno - Toms River, NJ For Respondent(s): Alejandro Schwed - New York, NY Date Filed: 4/21/2003 First Scheduled: 09/16/2004 Decided: 12/01/2004 Case Summary: Customer claimant all

4 , NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Stanley Pekor v. UBS PaineWebber Inc. and Paul Oakley Docket Number: 2003-011773 Attorneys: For Claimant{s): Ralph Gant - New York, NY For Respondent(s): Andrew J. Melnick - Weehawken, NJ David L. Goldberg - New York, NY Date Filed: 4/24/2003 First Scheduled: 05/11/2004 Decided: 12/07/2004 Case Summary: Customer claimant asserts that he purchased and

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Bamey Inc. v. Kimberly Enders Docket Number: 2003-011641 Attomeys: For C]aimant(s): Christopher J. Camey - Cleveland, OH For Respondent(s): Kimberly J. Enders - Des Moines, IA ^ y Date Filed: 4/2/2003 First Scheduled: 12/01/2004 Dedded: / s / / ^ / ^ / Case Summary: Member firm claimant alleges that Register

New York Stock Exchange, Inc. 10 Broad Street NewYork,NYiooos * NMEIYSE New York Stock Exchange In the .Matter of Arbitration Between Case: Salomon Smith Bamey Holdings, Inc. v Richard Baker Docket Number: 2003-011635 .•\ttomeys: For C)aimant(s): Jennifer Woods Burke - Cranford, NJ For Respondent(s): Richard Baker - Layafette Hill, PA Date Filed: 3/24/2003 First Scheduled: 07/14/2004 Decided: 01/18/2005 Case Summary:

) •NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Bamey Holdings, Inc. v Thomas J. Ventura Docket Number: 2003-011634 Attomeys: For Claimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Thomas J. Ventura - Miller Place, NY Date Filed: 3/24/2003 First Scheduled: 09/16/2004 Decided: 09/16/2004 Case Summary: Member firm Claimant alleges that the RR Respondent failed to repay his l

I NYSE New York Slock Exchan{>e In the IMatter of Arbitration Between Case: Prudential Securities incorporated v. Andrew M. Ankrim Docket Number: 2003-01 ] 589 Attomeys: For Claiinant(s): Beau Greiman - Chicago. IL For Respondent(s): Andrew Ankrim - Gahanna, OH Date Filed: 3/13/2005 First Scheduled: 7/15/2004 Decided: - ^ / a F / ' . ^ ^ ^ >* Case Summar\': '""1: '•.r.anx n-.cmbcr f

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sue R. Stewart v. Merrill Lynch Docket Number: 2003-011571 Attomeys: For Claimant(s): Tracy Pride Stoneman - Westcliffe, CO For Respondent(s): Jonathan D. Neennan - Dallas, TX Date Filed: 3/19/2003 First Scheduled: 01/26/2004 Decided: 10/1/2004 Case Summary: Customer claimant contends that the respondent overconcentrated her account in risky securities

^msE New York Stock Exchange In the Matter of Arbitration Between Case: Ronald E. Comer, Lisa K. Comer v Salomon Smith Bamey, Inc. Docket Number: 2003-011568 Attomeys: For Claimant(s): William B. Federman - Oklahoma City, OK For Respondent(s): Joseph A. Sack - New York, NY * ) Date Filed: 3/17/2003 First Scheduled: 09/22/2004 Decided: ///ff/^ ^^ r Case Summary: Claimants, public customers, allege that the firm's registere

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard B. Barnes and Lucy A. Barnes, (Claimants) vs. Ryan Beck & Co., LLC and James Edward Dzikowski, (Respondents) Case Number: 01-03598 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Richard B. Barnes ("R. Barnes") and Lucy A. Barnes ("L. Barnes"), hereinafter collectively referred to as "Claimants": S.M. Chris Franzblau, Esq., Franzblau Dratch, P.C.,

i IMYSE New York Steele Exchange In the Matter of Arbitration Between Case: Nikki Curenton v Morgan Stanley Dean Witter, Inc. and David Isabella Docket Number: 2003-011555 Attomeys: For Claimant(s): David Liebrader - Las Vegas, NV For Respondent(s): Judith Rosenberg - San Francisco, CA Date Filed: 1/31/2003 First Scheduled: 04/20/2004 Decided: 11/0372004 Case Summary: Customer-claimant contends that the respondent allocated c