• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers Inr. v. Chad Johnson Docket Number: 2002-010102 Attomeys: For CIainiant(s): Paul Schuster - Dallas, TX For Respondent(s): Chad Johnson - Dallas, TX Date Filed: 4/4/2002 First Scheduled: 9/24/2002 Decided: 08/27/2004 Case Sununary: Claimant, a Member Firm alleges breach of contract regarding the balance due on a promissory note in the amount

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Eveline Hunt Docket Number: 2001-009192 Attomeys: For Claimant(s): Christopher Freeze - New York, NY For Respondent(s): Everett Lewis - New York, NY Date Filed: 6/4/2001 First Scheduled: 11/5/2002 Decided: gV/z^'^^ Case Summary: Lehman Brothers Alleges that Eveline Hunt failed to repay the balance on a promissory note aft

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert E. Deckey v. Salomon Smith Bamey, Inc. Docket Number: 2001-009531 Attomeys: For Claimant(s): James Batson - New York, NY For Respondent(s): Jill Rosenberg - New York, NY Date Filed: 11/12/2001 First Scheduled: 1/21/2003 Decided: 08/29/2004 Case Summary: Claimant, a registered representative and former employee of Respondent, a member fimi, al

p NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ellen Cohen v. Salomon Smith Bamey and Dennis Weidenbush Docket Number: 2002-010077 Attomeys: For CIainiant(s): Richard De Vita - Hoboken, NJ For Respondent(s): David Libowsky - Florham Park, NJ Date Filed: 3/18/2002 First Scheduled: 11/07/2002 Decided: Case Summary: Claimant, a public customer, alleges unsuitability, negligence, misrepresentation, breach

Award NASD Dispute Resolution In the Matter of the Arbitration Between; John M. loannou, (Claimant) vs. Salomon Smith Barney, Inc. and Alan Greenberg, (Respondents) Case Number: 01-03571 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John M. loannou, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Feiner Yamin Gildin & Robbins LLP, New York, NY. Respondents, Salomon Smith Barney, Inc. ("SSB") and Alan Greenb

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Albert S. Foster v. A.G. Edwards & Sons, Thomas O'Neill, and Charles McAfee Docket Number: 2002-010068 Attomeys: For Ciainiant(s): Robert Weiss - Jericho, NY Debra Speyer - Jericho, NY For Respondent(s): Joel Davidson - Northvale, NJ Date Filed: 3/21/2002 First Scheduled: 11/17/2003 Decided: (^/7^^/20^*/ Case Summary: Claimants allege their acount were

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Merrill and Gina Merrill v. Paine Webber and Stephenie T. Wolf, Bill Riley & Larry Milton Docket Number: 2002-010066 Attomeys: For Clainiant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Timothy J. Bomhoff - Oklahoma City, OK Date Filed: 3/18/2002 First Scheduled: 02/03/2004 Decided: < ^ ; ? j / ^ ^ Case Sum

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roger Krantz v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc., Docket Number: 2002-009941 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 2/15/2002 First Scheduled: 8/12/2002 Decided: r/y/< ^'r Case Summary: Claimant alleges that Merrill Lynch Pierce Feime

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Daniel Merkel v. Paul Alexander, Felipe Rodriguez, A.G. Edwards & Sons, Inc., and Ladenburg Thalman Docket Number: 2002-010060 Attomeys: For Ciaimant(s): Neil Beller - Las Vegas, NV For Respondent(s): Felipe Rodriguez - Las Vegas, NV Paul Steven Alexander - Henderson, NV Date Filed: 3/19/2002 First Scheduled: 11/05/2002 Decided: 11/23/04 Case Summar

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Edward Keis v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & CO., Inc., Docket Number: 2002-009949 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 2/15/2002 First Scheduled: Decided: g'/^/^y Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc a