New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Trustees of Lawrence /Academy at Groton on behalf of the Estate of Dorothy Whitman Bunce; and Jay E. Modes, ExecUor of the Estate of Dorothy Whitman Bunce v Eric C. Lehto and Merrill Lynch Pierce & Smith, Inc. Attorneys: For Clainiant(s): TricJa H. Lucas Esq. - Concord. NH For Respondent(s): Thomas A. Ficarra Esq. - Manchester, NH Edward A. Haffer Esq. - Manchester, NH D

9 f NYSE Reaulation NYSERcfuhiioii lathe Matter of Aifohntion Between Cesc: Doris E Pryor s/k/a Doria E Adicr. AdnjinuiruDu n{r.»tatr of Jsck P. Adln v. Charlts LawrnuT Ci:0,1 mdr. EquhfiU, loc Docket 2005-016918 AttonMys: i For CIainunt(s): Doris Pryor - Yxy Biscayoe, R For Respoodent(s}: Charles Lawrence - Northport, NY Charles Lawrence - New Yoilc. NY Date pged: 10/261/2005 Fiist Scheduled: 04/28/2006 Decided: • • ^^is[< G

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Claimant v. Respondent Attomeys: For CiaimanKs): Jennifer M. Alvarez Esq. - New York, NY Michael J. McAllister Esq. - New York. NY Theodore S. Steingut Esq. • New York, NY For Respondent(s): Lynne M. Fischman Uniman Esq. - New York, NY Jennifer L. Sulzberger Esq. - Now York, NY Date Filed: 08^7/1996 First Scheduled: 01/22/1997 Decided: 07/09/1998 Case

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Hard, (Claimant) vs. Bartlett & Co. and Legg Mason Wood Walker, Inc., (Respondents) Case Number: 01-04938 Hearing Site: Cincinatti, Ohio REPRESENTATION OF PARTIES Claimant, Carol Hard, hereinafter referred to as "Claimant": Peter A. Burr, Esq., Barren Peck Bennie & Katz, Cincinatti, OH. Respondents, Bartlett & Co. ("Bartlett") and Legg Mason Wood Walker, Inc. ("LMWW"), her

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: V. Qukik 81 Reilly Incorporated Attorneys: For Claimant(s): For Respondent(s): Douglas S. Flaherty Esq. New Yori< , NY Date Filed: 02/17/1998 First Scheduled: 05/20/1998 Decided: 05/27/1998 Case Summary: Claimant, a public customer, alleges failure to disclose information and misrepresentation with respect to an investment in Arkansas Power and Light Bonds. Cl

New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Frank A. Morris v. Raymond James & /tesociates Inc. Attorneys: For Claimant(s): Frank A. Morris - /Uameda, CA For Respondent(s)'. JonattianH. Stein Esq. - St. Petersburg, FL Date Filed: 10/22/1999 First Sctieduied: 01/20/2000 Decided: 01/20/2000 Case Summary: Claimant, a public customer, alleges misrepresentation and failure to disclose material information re

NYSE New York Stock Exciisnge In the Matter of Arbitration Between Case: Lows A. Rokeach v. Charles Schwab & Co., inc. Docket Number: 2002-011145) Attorneys; For ClaimRDtOs): Louis A. Rokcach - Utica. NY For ResponcieDi(s): Richaid A. Karoly - Sao Francisco, CA Date RIed: 12/17/2002 First Scheduled: 06/03/2003 Decided: 3 //7 / o ^ Case Sununaiy: Customer - Claimant alleges mismangentent of account in connection with purchase of

New York Stock Exchange In the Matter of Arbitration Between NYSE Anonymous V. SBC Warburg DiHon Read, Nicholas J. Pepe and Bany D. AdMiman AttortMyt: For CWmentls): Phl^ M. Aidiksff Esq. • Beveriy HiRa, CA For RespondaMfa): wiliam J. HoHay, II Esq. • Atlanta, GA Date RIed: 03/i 9/1990 First Scheduled: ia/i2/i90« ^^e***®**: 04/18/2000 Case Summary: Clainnanis allege unauihorlcadimdinowith respect lo a puiehase of shares in KOS pharma

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lelr Herschman v Salomon Smith Bamey, Inc., Raymond Mealia, Linda Schaffer, Jack Gaglione, Rosemary Francavilla, Elizabeth Kratka and Eric Spahr Attorneys: For Claimant(s): Edwaid H. Glenn, Jr. Esq. - New York. NY For Respondent(s): Marcle S. Mintz Esq. - New York, NY Date Filed: 03/19/1999 First Scheduled: 09/09/1999 Decided: 09/15/1999 Case Summary: claimant, a

\y New York Stock Exchange ^ NYSE In the Matter of Arbitration Between Case:P' v. PalneWebbBr&Cenwanylne. Attomeys: For Claiiramts): For Rcspsntenits): J. Wesley Hetoien Esq. - PI laudeidaie.PC Date Filed: oaK»/i999 First Scheduled: osswissg Decided: II/22M999 Case Summary; Clabnani aiegm breach of an aanemeiHrcgardbig eommisslen ratas and saaks a total award ef S7.696.62 inclusive of inlarasi antf oosls. Claimant haa also requesladan awaid of S