i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marianne A. Tucker vs. Salomon Smith Bamey, Inc. Docket Number: 2002-011078 Attomeys: For Claimant(s): Thomas R. Grady - West Palm Beach, FL For Respoiident(s): H. Nicholas Berberian - Chicago, IL Date Filed: 12/4/2002 First Scheduled: 10/02/2003 Decided: 12/22/2004 Case Summary: Customer vs. Member Firm alleging mismanagement, fraud, conflicts of interest,

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David Conney, M.D. v JP Morgan H&Q, Terence James Creighton and Donald Nejedly Docket Number: 2002-010932 Attomeys: For Claimant(s): William F. Davis - Los Angeles, CA For Respondent(s): Neal Robb - Long Beach, CA Date Filed: 10/28/2002 First Scheduled: 07/27/2004 Decided: 12/13/04 Case Summaiy: Customer claimant alleges unsuitable investments in te

m NYSE New York Stock Exchange In the Matter of Arbitration Between Case: McDonald Limited Partnership #1, by R. J. McDonald v Merrill Lynch, Pierce Fenner & Smith, Inc. Docket Number: 2002-009778 Attomeys: For Claimant(s): John E. Lawlor - Mineola, NY For Respondent(s): Christopher Freeze - New York, NY Date Filed: 1/17/2002 First Scheduled: 07/11/2002 Decided: 01/13/2005 Case Summary: Customer vs. Member Firm and Registered Rep allegin

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Helen R. Gallucci and the Gallucci Family Limited Partnership vs. Salomon Smith Bamey, Inc., Monica McGlone Matthews, Barry Siegel, Brooks Jackson and John B. Moran Docket Number: 2002-010231 Attomeys: For Claimant(s): Jeffi-ey L. Liddle - New York, NY For Respondent(s): Lawrence E. Fenster - New York, NY Date Filed: 5/7/2002 First Scheduled: 2/10/2002 Dedd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter Inc., (Claimant) vs. Diamante, Inc. and Stephen R. Barbara, (Respondents) Case Number: 01-03554 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter Inc., hereinafter referred to as "Claimant": Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, EL. Respondents, Diamante, Inc. ("Diamante") and Stephen R. Barbara

^msE New York Stock Exchange ID tbe Matter of ArbitratioD Between Case: James Johnson v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015869 Attomeys: For C]aimaDt(s): Kevin Love - Coral Gables, FL For RespoDdeDt(s): Bonnie Altro - New York, NY DateFiled: 11/30/2004 First Scheduled: 4/22/05 Dedded: 4/26/05 Case Summary: Customer claimant alleges breach of contract, failure to

I NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Mark Vosper, as personal representative for The F. Kent Vosper Estate v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015868 Attomeys: For Claimant(s): Kevin Love - Coral Gables. FL For Respondent(s): Bonnie Altro - New York. NY Date Filed: 11/30/2004 First Scheduled: 05/06/05 Decided: 05/12/05 Case Summ

NYSE Arbitration Case #2004-015827 Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Oppenheimer 8c Co. Inc f/k/a Fahnestock & Co. Inc. v. David R. Weston v. Oppenheimer 8c Co. Inc f/k/a Fahnestock 8c Co. Inc. Docket 2004-015827 Attorneys: For Gaimant(s): Theodore R. Snyder - New York, NY For Respondent(s): Eugene Small - New York, NY Date Ffled 10/29/2004 Fust Scheduled: 03/29/2005 Dedded: l\2-< )/c{. Case

I NYSE New York Stock Exchange Ii^he Matter of Arbitration Between Case: Maria G. Phfllips v. Merrill Lynch and Robert K. Deverna Docket 2004-015712 Attomeys: For Claimant(s): Frank J. Livotti - Garden City, NY For Respondent(s): William J. Manning - New York, NY Date Ffled: 9/14/2004 First Scheduled: 02/16/2005 Decided: 1/30/2006 Case Summary: Claimant, a customer, alleges respondent, member firm, breached their fiduciary duties and fafled to

.sYSE Arbitration Case #2004-015706 Page 1 of 2 i NYSE New York Stock Exchange In the Matter of Aibitration Between Case: Janney Montgomery Scott, LLC v. Daria M. Huber Docket Numben 2004-015706 Attomeys: For Gaimant(s): James Creel - Phfladelphia, PA For Respondent(s): Daria M. Huber - Camp Hfll, PA Date Ffled 9/7/2004 First Scheduled 11/10/2005 Dedded: 12/2/2005 Case Summary: Claimant, a member firm, alleges breach of c