i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers, Inc. v. Kevin Calandro Docket Number: 2003-011351 Attorneys: For Claimant(s): Chad Amette - Dallas, TX For Respondent(s): E. Steve Watson - Carrollton, TX Date Filed: 1/30/2003 First Scheduled: 8/5/2004 Decided: 8/23/2004 Case Summary: Claimant member firm alleges respondent former registered representative failed to repay loan. Cou

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Victor T. Mahoney v Dresdner Kleinwort Wasserstein Securities LLC Docket Number: 2003-011346 Attomeys: For Claimant(s): Michael Petrella - New York, NY For Respondent(s): Kenneth J. Kelly - New York, NY Date Filed: 1/23/2003 First Scheduled: 10/18/2004 Decided: 12/16/2004 Case Summary: Claimant, former employee, alleges the Respondent firm failed to pay

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ernest E. Parise and Roberta M. Parise v. Merrill Lynch & David Cohen Docket Number: 2003-011338 Attomeys: For Claimant(s): Ernest E. Parise - Melbourne, FL For Respondent(s): Neil S. Baritz - Boca Raton, FL Date Filed: 1/27/2003 First Scheduled: 08/17/2004 Decided; 09/21/04 Case Summary: Customers vs. Member Firm and Registered Representative alleging unsuitab

i NYSE New York Stock Exchange J In the Matter of Arbitration Between Case: Elijah R. McCurley, Janet C. McCurley and Velma G. Burroughs v. Prudential Securities Incorporated, Charles B. Pfeiffer and Robert Steve Hanley Docket Number: 2003-011307 Attomeys: For Clainiant(s): Andrew Rutens - Mobile, AL For Respondent(s): Mark Vaughan - Huntington, NY DateFiled: 12/24/2002 First Scheduled: 6/23/2004 Decided: 7/6/2004 Case Summar

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rita M. Weiner and W. Joseph Weiner JTWROS v, Menill Lynch Fenner Pierce & Smifli and John M. Cooney Docket Number: 2003-011252 Attomeys: For Claimant(s): Martin Siegel - New York, NY For Respondent(s): Lawrence Ross - New York, NY Date Filed: 1/9/2003 First Scheduled: 9/9/2003 Decided: 8/19/2004 Case Summaiy: Customer v. member firm and registered rep. all

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dr. John David Sabow and Andrea K. Sabow v. Merrill Lynch Pierce Fenner Smith Docket Number: 2003-011244 Attomeys: For Clainiant(s): Steven Beardsley - Rapid City, SD For Respondent(s): D. Michael O'Neil - Okalahoma City, OH Date Filed: 12/30/2002 First Scheduled: 2/18/2004 Decided: 8/4/2004 Case Summary: Customer claimants allege breach of contract, misrep

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Matthew Griffin, individually and Matthew Griffin, as custodian for Erin Griffin and Stephanie Griffin v Merrill Lynch Pierce Fenner & Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-011222 Attomeys: For CIainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/12/2002 First Scheduled: 6/30/200

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray Inc. v. Michael L. Cameron Docket Number: 2002-011217 Attomeys: For Claiinant(s): Nathan P. Brenna - Minneapolis, MN For Respondent(s): Eugene N. Goldsmith - Tucson, AZ Date Filed: 12/26/2002 First Scheduled: 12/08/2004 Decided: 12/08/2004 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts al

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray Inc. v. Nico R. Willis Docket Number: 2002-011216 Attomeys: For Claimant(s): Nathan P. Brenna - Minneapolis, MN For Respondeiit(s): Eugene N. Goldsmith - Tucson, AZ Date Filed: 12/26/2002 First Scheduled: 12/08/2004 Decided: 12/08/2004 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amoimts allegedly

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03596 H&R Block Financial Advisors, Inc., claimant vs. Jules A. Santiago, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, in-house counsel, Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: July 6, 2001 CASE SUMMARY: Claimant alleged that it was forced to sell out, for non-payment, shares of CSG Systems International and Rare Medium Group.