) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frederick A. Lorig, Frederick A. Lorig as Tmstee of the Frederick A. Lorig IRA v Salomon Smith Bamey and Gary Foumier Docket Number: 2003-011537 Attomeys: For Claimant(s): H. Thomas Fehn - Los Angeles, CA For Respondent(s): Samuel A. Keesal, Jr. - Long Beach, CA Date Filed: 3/10/2003 First Scheduled: 08/30/2004 Decided; 12/14/2004 Case Summary: Cu

i NYSE New York Stock Exchange ) In the Matter of Arbitration Between Case: Calvin W. Schumann and Nomia L. Schumann v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and The Busch-Zuber Group Docket Number: 2003-011509 Attorneys: For Claimant(s): Harry Munsinger - San Antonio, TX For Respondent(s): Thomas Gregor - Houston, TX Date Filed: 2/26/2003 First Scheduled: 7/28/2004 Decided: 8/24/2004 Case Summary: Claimants, customers,

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph and Marie Morath v. BT Alex Brown and Christopher S. Carlin Docket Number: 2003-011473 Attomeys: For Claimant(s): Debra G. Speyer - Philadelphia, PA For Respondent(s): Daniel J. Donovan, Esq. - Baltimore, MD Christopher Freeze - New York, NY ) DateFiled: 2/19/2003 First Scheduled: 06/30/2004 Decided: 12/14/2004 Case Summary: Custome

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: MICHAEL J. FIORI v. PAINE WEBBER, INC. and CHARLES ALMY Docket Number: 2003-011449 Attomeys: For Claimant(s): Bruce D. Osbome - New York, NY For Respondent(s): William M. Furr - Norfolk, VA Date Filed: 2/18/2003 First Scheduled: 10/15/2003 Decided; 10/07/2004 Case Summary: Customer Claimant alleges failure to remove restrictions on Omnicare, Inc. stock,

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Steve Zacharopoulos v. Salomon Smith Bamey Docket Number: 2003-011445 Attomeys: For CIainiant(s): Steve Zacharopoulos - New York, NY For Respondent(s): Michael Farkas - New York, NY Date Filed: 2/26/2003 First Scheduled: 9/23/2003 Decided: 07/05/2004 Case Summary: Customer Claimant alleges that the Respondent invested his account in risky stock on

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Paul and Suzanne Flaig v. BT Alex Brown and Christopher S. Carlin Docket Number: 2003-011398 Attomeys: For Claimant(s): Debra G Speyer - Philadelphia, PA For Respondent(s): Daniel J. Donovan, Esq. - Baltimore, MD Christopher Freeze - New York, NY DateFiled: 2/12/2003 First Scheduled: 06/28/2004 Decided: 12/9/2004 Case Summary: Customer Claiman

) i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Veselinka Djordjevic and Branko Djordjevic v Merrill Lynch, Pierce, Fermer & Smith, Incorporated and Laird Blue Docket Number: 2003-011380 Attomeys: For Claimant(s): William F. Davis - Los Angeles, CA For Respondent(s): Kent J. Schmidt - Irvine, CA Date Filed: 1/31/2003 First Scheduled: 04/27/2004 Decided; 09/21/2004 Case Summary: Claimants al

• NYSE New York Stock Exchange ID the Matter of Arbitration Between Case: Mark Heitzman, Pattie L. Heitzman v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Brent R. Bishop Docket Number: 2003-011375 Attomeys: For Claimant(s): Duane W. Moss - Dandy, UT For Respondent(s): Bill Powell Guest - Oklahoma City, OK Date Filed; 1/31/2003 First Scheduled: 06/10/2004 Decided: / ' ^ / ^ */^/^ Case Summary: Claiman

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan A. Gray, (Claimant) vs. Howe, Solomon & Hall, Inc., Christopher Hall, and Ronald Solomon, (Respondents) Case Number: 01-03597 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Alan A. Gray, hereinafter referred to as "Claimant": Mark H. Stofsky, Esq., a sole practitioner, Brooklyn, NY. Respondents Howe, Solomon & Hall, Inc. ("HSH"), Christopher

) • ^ i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Timothy Koranda and Feng-Chu Koranda v Prudential Equity Group, Inc. and Gerald M. Beime Docket Number: 2003-011356 Attomeys: For Claimant(s): Edward Glenn - New York, NY For Respondent(s): Brian F. McDonough - New York, NY Date Filed: 1/30/2003 First Scheduled: 06/24/2003 Decided; 12/16/2004 Case Summary: Customer Claimants allege un