4YSE York Stock Exchange the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Jerome H. Norwood Docket Numben 2004-015680 Attomeys: For Claimant(s): James C. Creel - Phfladelphia, PA For Respondent(s): Jerome H. Norwood - Cherry Hill, NJ Date Ffled 8/25/2004 First Scheduled 12/12/2005 Dedded 12/12/2005 Case Summary: Member firm Claimant alleges breach of contract and non-payment of a promissory note. Product ^^7

I ^NYSE f^w York Stock Exchange In the Matter of Arbitration Between Case: Learita A. Lear, Trustee v. Merrill Lynch, Pierce, Fenner 8c Smith and Mark Houghton Docket Numben 2004-015679 Attomeys: For Claimant(s): Learita A. Lear - Port Isabel, TX For Respondent(s): Alan Rafterman - New York, NY Date Ffled 8/26/2004 First Scheduled 06/30/2005 Dedded 8/3/2005 Case Summary: Claimant customer alleges misrepresentation, unsuitable investm

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Stavis v. Banc of America Securities Docket: 2004-015676 Attomeys: For Gaimant(s): Jeffrey A. Oppenheim - New York, NY For Respondent(s): Scott T. Beall - Memphis, TN Date Ffled 8/26/2004 First Scheduled: 09/16/2005 Dedded 2/2/06 Case Summary: Customer claimant alleges fraud, negligence and breach of contract arising out of the parties' course of dealing, custom and

M^York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Holdings, Inc. v. Christopher High v. Citigroup Global Markets, Inc. Docket 2004-015650 Attomeys: For Gaimant(s): Gregory R. Crochet - Atlanta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Steven J. Berr)' - Fort Worth, TX Date Ffled: 8/5/2004 First Scheduled: 11/16/2005 Dedded: 1/19/2006 C^ase Summary: Member Firm Claimant alleges breach of contract and

i NYSE Sevf York Stock Exchange • Matter of Arbitration Between 'M \ /iiv^Vi Lillian Rubinstein, individually, Lillian Rubinstein IRA Rollover Accounts and as Trustee of the Seymour Rubinstein Trust U/A/D 1990 v. Citigroup Global Markets F/K/A Salomon Smith Barney, Inc. and David Rosenthal Docket 2004-015640 Attorneys: For Claimant(s): John T. McGuire - New York, NV For Respondent(s): Brian F. Amery - New York, NY David J. Libowsky -

Stipulated Award NASD Dispute Resolution In The Matter of the Arbitration Between: j Morgan Stanley DW Inc. (formerly Dean Witter Reynolds | Inc.), I Claimant, | V. j Case Number: 01-03553 David Monaco and Evad Ocanom Realty Corp., j Respondents. j Hearing Site: New York, New York j REPRESENTATION OF PARTIES Ronald P. Kane, Diane C. Fischer and Thomas A. Volz of Kane & Fischer, Ltd., Chicago, Illinois, represented Claimant, Morgan Stanle

NYSE Arbitration Case # Page 1 of 2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jakob and Lina Meirovits, as trustees for the benefit of. The Meirovits Family Trust v. Merrill Lynch, Pierce, Fenner 8c Smith Inc., and Merrill Lynch 8c Co., Inc. Docket 2004-015585 Attomeys: For Gaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled 7/14/2004 First Scheduled: 12/09/2005

• NYSE ^few York Stock Exchange Wtiu 'the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. v. Michael Williams Locke Docket 2004-015567 Attomeys: For Claimant(s): Jerad Rissler - Adanta, GA For Respondent(s): Michael W. Locke - Naples, FL Date Filed 7/7/2004 First Scheduled: 12/17/2004 Dedded 2/7/2006 Case Summary: Member Firm claimant alleges breach of contract in connection with the failure to

:• I'SE Arbitration Case ^ Paae 1 of 2 • NYSE New York Stodc Exchange In the Matter of Arbitration Between Case: Advest, Inc. v. Reginald Rucker Docket: 2004-015565 Attomeys: For Claimant(s): Michael Kalmus - New York, NY For Respondent(s): Reginald Rucker - Beachwood, OH Date Ffled: 6/30/2004 First Scheduled: 12/14/2005 Dedded: 12/14/2005 Case Summary: Claimant, member firm alleges non-payment of Respondent's promissory note. Product Promis

I •NYSE ^^^ork Stock Exchange In the Matter of Arbitration Between Case: Mary Ellen Wong v. Salomon Smith Barney Docket 2004-015515 Attomeys: For Gaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Ffled 6/4/2004 First Scheduled: 01/27/2006 Dedded 2/3/2006 Case Summary: Customer Claimant alleges breach of fiduciary duty, breach of contract, violations of NASD and NYSE mles, overconcentration, unsuit