New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Joel R. Jacobs, Michael Ogbome & Michael Meitus v Dain Rauscher Inc. Attorneys: For Claimant(s): Neil Goteiner Esq. - San Frandsco, CA For Respondent(s): Jeff Ross Esq. - Minneapolis, MN Date Filed: 01/10/2000 First Scheduled: 11/29/2000 Decided: 07/26/2002 Case Summary: Claimant, a former employee, has alleged wronful termination and constructive discharge A^m employment. He ha

Vew York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Gerald Kaminsky and Gary Kaminsky v SG Cowen Securities Corp. and Financial Square Partners Attorneys: For Claimant(s): Justin Chu Esq. - New York, NY For Respondent(s): Stuart M. Gerson Esq. - Washington, DC Date Filed: 12/20/1999 First Scheduled: 10/26/2000 Decided: 02/11/2002 Case Summary: Claimants, employees, tiave alleged that respondents misstatements pr

NYSE Arbitration Case #2004-015881 Page 1 of 2 I New York Stock Exchange In the Matter of Arbitration Between Case: Thomas Rourke, individually and as trustee for the Thomas Rourke Trust v. MerriU Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015881 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 9/29/2004 First Scheduled: 04/29/2005

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John and Jean Thayer, as trustees for. The Thayer Family Trust v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Memll Lynch & Co., Inc. Docket Number: 2004-015867 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/30/2004 First Scheduled: 4/29/05 Decided: 4/29/05 Case Summary: Cu

N^' NYSE ^York Stock Exchange In the Matter of Arbitration Between Case: PhiUip and Claire Raneri v Merrill Lynch, Pierce, Fenner & Smith Inc., and MerriU Lynch & Co., Inc. Docket Numben 2004-015865 Attomeys: For Gaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 11/30/2004 First Scheduled: 05/13/2005 Dedded: 8/9/2005 Case Summary: Customer claimant alleges breach of contract, failure

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Loy C. Allen, Jr., and Loy C. Allen, Sr. and Elizabeth Allen, Claimants v. Wachovia Securities, Inc., Respondent Case Number: 01-03780 Hearing Site: Raleigh, North Carolina In the Matter of the Arbitration Between: Loy C. Allen, Sr. & Elizabeth Allen, Claimant v. Wachovia Securities, Inc., Respondent Case Number: 01-03905 Hearing Site: Raleigh, North Carolina REPRESENTATIO

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Raymond and Beverly Heath v MerriU Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015864 Attorneys: For Gaimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 11/30/2004 First Scheduled: 04/08/2005 Dedded: 06/14/2005 Case Summary. Customer claimant alleges breach of co

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Anthony Pace Docket Numben 2004-015849 Attomeys: For Gaimant(s): Carrie L. CheUco - Philaddphia, PA For Respondent(s): Anthony Pace - Pittston, PA Date Ffled: 11/22/2004 First Scheduled: 07/28/2005 Dedded: 8/9/2005 Case Sununary: Member firm alleges respondent registered representative, a former employee of the firm, b

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott, LLC v. Kurt Kleymeyer Docket Numben 2004-015848 Attomeys: For Gaimant(s): James Creel - Philadelphia, PA For Respondent(s): Kurt Kleymeyer - Florence, KY Date Ffled: 11/22/2004 First Scheduled: 07/27/2005 Dedded: 7/27/2005 Case Summary: Member firm claimant aUeges breach of contract in connection with the failure to repay the balance du

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Daniel Matthey vs. Salomon Smith Bamey, Inc. Docket Numben 2004-015836 Attomeys: For Claimant(s): Debra Brewer Hayes, Esq. - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Ffled: 11/12/2004 First Scheduled: 07/13/2005 Dedded: 7/19/2005 Case Summary: Claimant Customer alleges violations of securities laws and SRO rules, negligence, misrepresentatio