•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George and Joyce Heiser v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2001-009647 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 11/29/2001 First Scheduled: 9/17/2002 Decided: -y /id/ ^ < ' 'f Case Summary: Claimant alleges that Merrill Lynch Pi

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Nonnan Freese v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2001-009646 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/29/2001 First Scheduled: Decided: Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc. and M

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James Gaudette v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., INc. Docket Number: 2001-009643 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/29/2001 First Scheduled: 9/17/2002 Decided: f^/^jpJ a y Case Summary: Claimant alleges that Merrill Lynch Pierce

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sidney Sussman v. CIBC World Markets Corp. and Touloukian, Timothy and Feit, Steven Docket Number: 2001-009631 Attomeys: For Claimant(s): Ralph Gant - New York, NY For Respondent(s): Peter Vaughan - New York, NY Date Filed: 11/29/2001 First Scheduled: 1/1/1^1)0 "^ Decided: o7/22/2004 Case Summary: Claimant, a public customer, alleges CIBC, a member firm

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Thomas K. McCaughey v Prudential Securities, Inc. Docket Number: 2001-009615 Attomeys: For Clainiant(s): Gary Trachten - New York, NY For Respondent(s): Stephen Ratner - New York, NY Date Filed: 11/9/2001 First Scheduled: 1/8/2003 Decided: Case Summary: Claimant, registered representative and former Managing Director, alleges respondent is in breach

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Pamela Douglas v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co.Inc. Docket Number: 2001-009553 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/13/2001 First Scheduled: 9/17/2002 Decided: -ilir/cf Case Summary: Claimant alleges that Merrill Lynch Pierce Fen

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frederick Carr v. Merrill Lynch Pierce Fenner & Smith,Inc. and Merrill Lynch & Co.Inc. Docket Number: 2001 -009511 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/2/2001 First Scheduled: 6/30/2004 Decided: 6/30/2004 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03556 Elsie Simerman and Lee Simerman, co-trustees for the Elsie Simerman Revocable Living Trust UA DTD 02/23/90 and the Albert Simerman Residuary Trust UA DTD 02/23/90 Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc., Prudential Securities, Inc. and Patricia E. Selin Names of the Third-Party Respondents El

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard Ross and Jane Ross v. Charles Schwab & Co.,Inc. and Olga Ross Docket Number: 2001-009262 Attomeys: For Claimant(s): John Halebian - New York, NY For Respondent(s): Sean Meehan - San Francisco, CA Date Filed: 7/12/2001 First Scheduled: 2/27/2002 Decided: ^A/^y Case Summary: Claimants allege that the Respondent failed to properly process and execu

• NYSE «eguia;io--: NYSE Regulation ^^the Matter of Arbitration Between Case? Docket: 2006-016470 n. Salomon Smith Barney and James Patrick Attomeys: For Gaimant(s): For Respondent(s): Hugo A. Hilgendorflf - New York, NY Date Filed: 3/28/2006 First Scheduled: 12/12/2006 Dedded: j|/7/o7 Case Summary: Customer daimants allege conversion, mismanagement and failure to follow instructions regarding the disposition of a decedent's account.