i NYSE New York Stock Exdiange In the Matter of Arbitration Between Case: Cornel Richards vs. Merrill L)Tich, Pierce, Fenner 8c Smith, Inc. Docket Numben 2004-015275 Attomeys: For Gaimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Angela A. Turiano - New York, NY Date Filed: 4/13/2004 First Scheduled: Dedded: Case Summary: Customer v. Member Firm alleging violations of SRO rules and securities laws, negligence, misrepre

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Martin and Toni Rueter v. Merrill L)mch Pierce Fenner 8c Smith Docket 2004-015269 Attorneys: For Claimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): David Newsome - Oklahoma City, OK DateFiled 4/16/2004 FnstScheduled: 10/04/2005 Dedded , 1-12-06 Case Siunmary: Customer claimants allege breach of fiduciary duty, breach of contract, failure to hedge, failure

i NYSE New York Stock Exchange In the Matter of Arbitration Between C^: se: Michael Dortheimer v. Marc A. Safir and Safir Securities, Inc. Docket: 2004-015253 Attomeys: For Claimant(s): Anthony Carabba, Jr. - New York, NY For Respondent(s): Daniel C. Callaway - New York, NY Date Filed: 4/1/2004 First Scheduled 10/01/2004 Dedded: 1/17/2006 Zase Summary: Claimant, a member, alleges that respondents, a member firm and a member, are responsible

N YSE Arbitration Case # Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Holdings, Inc. v. K. Scott Brandenberg Docket: 2004-015249 Attomeys: For Gaimant(s): Gregory Crochet - Atlanta, GA For Respondent(s): K. Scott Brandenburg - Mableton, GA DateFiled: 4/14/2004 First Scheduled: 10/25/2005 Dedded: 2/15/2006 Case Summary: Member Firm Claimant alleges breach of special compensation ag

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Brady Knight v. Merrill L)Tich Pierce Fenner & Smith, Inc. and Dubberly, Christopher Docket 2004-015184 Attorneys: For Claimaiit(s): A. Daniel Woska - Kingwood, TX For Respondent(s): Peter S, Fruin - Birmingham, AL Date Filed 3/16/2004 First Sdieduled 08/23/2005 Dedded j^,jL2/06 Case Siunmary: Claimant customer alleges breach of contract, breach of fidudary duty, unsuitability

INYSE r^wYork Slock Exchange In the Matter of Arbitration Between Case: RGST Investment v Morgan Stanley Dean Witter Docket: 2004-015179 Attomeys: For Gaimant(s): Harry L. Munsinger - San Antonio, TX For Respondent(s): Tracy A. Phillips - Houston, TX Date Filed 3/30/2004 First Scheduled: 11/01 /2005 Dedded: 12/30/2005 Case Summary: Customer claimant alleges unsuitability, breach of fiduciary duty and failure to supervise in connection MHth margi

INYSE .^lew York Stock Exchange [n the Matter of Arbitration Between Case: Winsome Martin v. Prudential Equity Group, Inc. Docket Numben 2004-015154 Attomeys: For Gaimant(s): Jeffrey Musslewhite - Kingwood, TX For Respondent(s): Alan S. Brodherson - New York, NY Date Filed: 3/10/2004 First Scheduled: 08/02/2005 Dedded: 9/13/2005 Case Summaiy: Customer Claimant alleges unsuitable trading in aggressive and growlh mutual funds, failure to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03540 Linda A. Erlichman, Custodian for Jessica and Jennifer Erlichman, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimant, Linda A. Erlichman, Custodian for Jessica and Jennifer Erlichman, ("Claimant"), appeared pro se, East Meadow, NY. For Respondent, Prudential Securities, Inc. ("Respondent") appeared in-house counsel, Marci B. Gold, Esq., New York, NY.

•NYSE New York Stock Exchange In the Matter of Arbitration Between |Case: Richard Chambers v. Morgan Stanley Docket 2004-015153 Attomeys: For Gaimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): David R. Maurer - San Francisco, CA DateFiled 3/10/2004 First Scheduled: 03/15/2005 Dedded 2/13/2006 Case Stunmary: Customer Claimant alleges unsuitable trading, unauthorized trading, breach of fiduciary duty, breach of contract, failure to di

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Carlos Romero and David Ghysels Docket Numben 2004-015127 Attomeys: For Gaimant(s): Patricia Christiansen - West Palm Beach, FL For Respondent(s): Daniel S. Newman - Miami, FL Gary Klein - Boca Raton, FL Date Filed 3/5/2004 First Scheduled 06/13/2005 Dedded 12/5/2005 Summary: Member Firm Claimant alleges breach of contract and non-paym