• NYSE New York Stock Exchange In the Matter of Arbitration Between ^P^ise; Ernest Lamb v. Salomon Smith Barney, Inc. Docket 2004-015504 Attomeys: For Claimant(s): Milton H. Fried, Jr. - Kingwood, TX For Respondent(s): Todd A. Holleman - Detroit, MI Date Ffled 6/4/2004 First Scheduled: 01/10/2006 Dedded 1/12/2006 Case Summary: Customer Claimant alleges overconcentration, unsuitability, breach of fiduciary duty, breach of contract, faflure to

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anna C. Arnold v. Edward D. Jones 8c Co. Docket 2004-015474 Attomeys: For Gaimant(s): Morgan Bentley Debra Speyer - Philadelphia, PA For Respondent(s): Stephen M. Plotnick - Roseland, NJ Date Ffled 5/28/2004 First Scheduled: 05/16/2005 Dedded 2/8/2006 Case Summary: Customer claimant alleges unsuitability, breach of fiduciary duty, breach of contract, failure to supervi

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Daniel R. Wold vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015446 Attomeys: For Claimant(s): Jeffrey Musslewhite - Kingwood, TX For Respondent(s): Michelle S. Grant - Minneapolis, MN DateFiled: 5/19/2004 First Scheduled: 11/16/2005 Decided 12/19/2005 Case Summar)^: Claimant, customer, alleges negligence, breach of fiduciary duty, breach o

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Predip B. Hira and Snehal J. Patel v. Merrill L)Tich, Pierce, Fenner, 8c Smith, Inc. and Tracey A. Binkley Docket 2004-015419 Attomeys: For Gaimant(s): Daniel Woska - Oklahoma, OK For Respondent(s): Bill Powell Guest - Oklahoma City, OK Date Ffled: 5/17/2004 First Scheduled: 11/11/2005 Dedded Case Summary: Customer claimants allege failure to disclose conflicts of inte

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: J.H. Webb v. Salomon Smith Barney, Inc. Docket Numben 2004-015351 Attorneys: For Gaimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): Douglas Jennings - Columbus, OH Date Ffled 5/4/2004 First Scheduled 06/07/2005 Dedded 12/16/05 Case Summary: Customer claimant alleges breach of fiduciary duty, breach of contract, violations of NYSE rules, uns

• NYSE New York StcxJc Exchange In the Matter of Arbitration Between Case: Robert Jones v. Salomon Smith Barney, Inc. Docket 2004-015348 Attorneys: For Gaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Sean J. Coughlin - New York, NY DateFiled 5/5/2004 First Scheduled 01/17/2006 Dedded Q2/02/20O6 Case Summary: Customer claimant alleges negligence, misrepresentations, unsuitability, violations of NYSE and NASD mles, violations of G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fahnestock & Co. Inc. and 01-03542 Kansas City, Missouri Name of Respondent Robert F. Anthony REPRESENTATION OF PARTIES Fahnestock & Co. Inc. ("Claimant") was represented by Evelyn Bukchin, Esq., Fahnestock & Co. Inc., New York, New York. Claimant was previously represented by J. Michael Vaughan, Esq., Walters, Bender, Strohbehn & Vaughan, P.C., Kansa

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mark Morris v. Salomon Smith Barney Docket: 2004-015333 Attomeys: For Claimant(s): David Mee - Kingwood, TX For Respondent(s): Todd A. Zuckerbrod - West Palm Beach, FL Date Filed 4/8/2004 First Scheduled: 01/17/2006 Dedded: 2/2/06 Case Summary: Customer claimant alleges breach of contract and fiduciary duty, unsuitability, negligence, failure to diversify and hedge, mi

'NYSE New York Stock Exchange In the Matter of Arbitration Between "Case: Steven Polewach v. Merrill Lynch, Pierce, Fenner 8c Smith, Inc. Docket Numben 2004-015286 Attomeys: For Gaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Scott Turnbull - Detroit, MI Date Filed 4/14/2004 First Scheduled: 02/22/2005 Dedded 12/8/2005 UI Case Summary: Customer Claimant alleges negligence, misrepresentation, unsuitablility, failure

• NYSE New York Stock Exchange In the Matier of Arbitration Between Case: Doris E. Tofei vs. Salomon Smith Barney, Inc. Docket Number: 2004-015281 Attomeys: For Gaimant(s): C. David Mee - Kingwood, TX For Respondent(s): William A. Hohauser - Nev^' York, NY Date Filed: 4/13/2004 First Scheduled: 01/18/2005 Dedded: 12/7/2005 Case Summary: Customer Claimant alleges violations of state and federal securities laws and SRO rules, negligenc