i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles and Mary Roberts v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015944 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 07/15/2005 Decided: 7/15/05 Case Summary: Customer v. Member Firm alleges breach

New York Stock Exchange In the Matter of Arbitration Between \y" NYSE Case: Sakimon Smith Barney, Inc. vs. Rk:hard Koprivnak Attorneys: For Clainiant(s): Lonaine Ferrigno Esq. - New York. NY Foster S. Goklman Esq. - PItteburgh, PA For ResporKient(s): Rtehard Koprivnak - Pitteburg, PA Date Filed: 10/08/1999 First Scheduled: lQCS/2000 Decided: 12/1»2001 Case Summary: Member Finn vs. Customer in a dispute involving Respondent's alle

New York Stock Exchange In the Matter of Arbitration Between ly- NYSE Case: Maria Eugenia Rivera de Barroso, Alberto Barroso Rivera, Luis Javier Barroso Rivera, Lorenza Barroso de Estevez, Maria Eugenia Barroso de RIbot, Alejandra Barroso de Espinosa, Manuel Perez-Salazar Solana, Ignacio Perez-Salazar, Manuel Perez-Salazar, Purplow Corporation II, A.V.V., Jose Antonio Chedraui Obeso and Alfi'edo Chedraui Obeso v CIBC Oppenheimer Corp. & Morton R. Tinkelman v In

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Crystel Epperson v. Merrill Lynch Pierce Fenner & Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Clalmant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Francis S. Chlapowski Esq. - New Yori< , NY Date Filed: 08/13/1999 First Scheduled: 10/20/1999 Decided: 1-24-2002 Case Summary: Crystel Epperson (Claimant) alleges that Merrill Lynch Pier

New York Stock Exchange l^SE In the Matter of Arbitration Between Case: Irene Winiewicz (on behatf of Edmund Winiewkz) v. Memll Lynch Pierce Fenner Smith and Merrill Lynch & Company lie Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Francis S. Chlapowski Esq. - Nefnt York, NY Date Filed: 06/17/1999 First Scheduled: i2/ia/200i ^°'^''^'12/19/2001 Case Summary: Irene Winiowcz (on behalf of Edmund Winiewicz) (Claiman

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shenvood P. Larkin & Scott Weisman v. Josephthal & Co., Inc. Attorneys: For Claimant(s): Robert M. Bursky Esq. - New York, NY For Respondent(s): Edward Little Esq. - New Yori< , NY Date Filed: 07/23/1999 First Scheduled: 02/02/2000 Decided: 3/14/2002 Case Summary: Shenwood Lari< in, former chief financial officer and Scott Weisman, former Managing Director of Josep

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Crump Living Trust, Lee Sacks, Successor Trustee, v. Bank of America and BA Investment Services and BA Investment Services, Inc. v. Douglas W. Owen, Individually and as Trustee of the Owen and Lucille Crump Trust, Kate Guinzburg and Lee Sacks as Co-Successor Trustees of the Owen and Lucille Crump Trust and DOES 1 - 20 Attorneys: For Claimant(s): Leonard Steiner Esq. - Beverly Hills,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thompson B. Patterson, Jr., Claimant v. Roth Capital Partners, LLC, Roth Capital Partners, Inc. and CR Financial Holdings, Inc., Respondents Roth Capital Partners, LLC, Counter-Claimant v. Thompson B. Patterson, Jr., Counter- Respondent Case Number: 01-03766 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Peter F. Musielski, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salomon Smith Barney Inc., (Claimant) vs. David A. Geller and Geller Capita] Management LLC, (Respondents) Case Number: 00-01247 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Elizabeth DiMichele, Esq., Kasowitz Benson Torres & Friedman LLP, New York, NY. Respondents, David A. Geller ("Geller

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sports Medicine and Rehabilitation Therapy Profit Sharing Plan v Wheat First Union Attorneys: For Claimant(s): Stanley Alter Esq. - New York, NY For Respondent(s): Elin B. Young Esq. - Cleveland, OH Date Filed: 04/27/1999 First Scheduled: 07/09/1999 Decided: 02/28/2002 Case Summary: Customer against member firm for unsuitable investments, chuming. Product: MUT FUND