NYSE Arbitration Case # Paee 1 of 2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joan Underwood v. Salomon Smith Barney Docket2004-015113 Attomeys: For Claimant(s): Cele.ste Chiaramonte - Kingwood, TX For Respondent(s): Raul Sanchez - New York, NY Date Filed: 2/18/2004 First Scheduled: 01/18/2006 Dedded: 1/18/2006 Case Summary: Claimant alleges that member firm made unsuitable recommendations (GE) and failed

^YSE New York Stock Exchange In the Matter of Arbitration Between Case: Maurice Shaffer v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Numben 2004-015017 Attomeys: For Gaimant(s): David Mee - Kingwood, TX For Respondent(s): Alan M. Wolper - Atlanta, GA Alyson M. Palmer - Atianta, GA Date Filed: 2/4/2004 First Scheduled: 11 /08/2005 Dedded: 12/3/2005 Case Summary: Customer Claimant alleges breach of fiduciary duty, failure to s

• INYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary 8t Charles Hershiser v. Salomon Smith Barney, Inc. Docket Number: 2004-014995 Attomeys: For Gaimant(s): A. Danid Woska - Oklahoma City, OK Debra Brewer Hayes - Kingwood, TX For Respondent(s): Rebeca Nelson - New York, NY DateFiled 2/3/2004 First Scheduled: 07/27/2005 Dedded: 8/4/2005 Case Summary: Customer claimants allege violations of NASD and NYSE

IN N^JTorl YSE fork Stock Exchange In the Matter of Arbitration Between Case: John and Nelda Griffis v. Merrill Lynch Docket Number: 2004-014958 Attorneys: For Gaimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Greg Crawford - Oklahoma City, OK DateFiled 1/21/2004 First Scheduled: 10/25/2005 Dedded: 12/5/2005 Case Summary: Customer Claimants allege unsuitable investments in technology stocks and overconcentration o

rage i or z I € NYSE ew York Stodc Exchange the Matter of Arbitration Between Case: John R. O'Laughlin and Florence M. O'Laughlin v. Salomon Smith Barney Docket 2004-014930 Attorneys: For Claimant(s): Richard H. Levenstein - Stuart, FL For Respondent(s): Neil B. Solomon - West Palm Beach, FL DateFiled- 1/9/2004 First Scheduled: 05/16/2005 Dedded* 1/19/2006 Case Summary: Customer Claimants allege fraud, misrepresentation, negligence, unsu

^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Melvin Stieve, Nanette Stieve, and Sage Consulting v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and James Clark Standish Docket Number: 2004-014923 Attomeys: For Gaimant(s): Edward H. Glenn, Jr. - New York, NY For Respondent(s): W. Scott Turnbull - Detroit, MI DateFiled: 1/6/2004 First Scheduled: 02/08/2005 Decided: Case Summary: Customer claimants allege sec

INYSE iWv York Stock Exchange In the Matter of Arbitration Between Case: John R. Everly a/k/a Rick Everly v. Merrill Lynch and William Massad Dodcet Number: 2003-014900 Attomeys: For Gaiiiant(s): Nancy Prigmore - Oklahoma City, OK For Respondent(s): David E. Bamberger - New York, NY Date Filed: 12/12/2003 First Scheduled: 05/10/2005 Dedded: / ^ /^/^S Case Summaiy. Customer Claimant alleges negligence, misrepresentations, failure to super

iW" NYSE ' York Stodc Exchange In the Matter of Arbitration Between Case: Patricia Butner-Dietz v. Salomon Smith Barney, Inc. and Kelly Castleberry Dodcet Number: 2003-014898 Attomeys: For Gaimant(s): A. Danid Woska - Oklahoma City, OK For Respondent(s): Jennifer M. Blunt - Washington, DC Date Filed: 12/16/2003 First Scheduled- 09/15/2004 Dedded: /:i///^-< - Case Summary: Claimant customer alleges mismanagement, breach of fiduciar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julie C. Lee, CLU vs. New York Life Insurance Company and New York Life Insurance and Annuity Corp. Case Number: 01-03538 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: New York Life Insurance Comf New York Life Insurance and Annuity Corp. Alan J. Sedley, Esq. Greenberg & Sedley Woodland Hills David Kadue, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kennilworth Partners LP and Kennilworth Partners IILP (Claimants) v. Bear, Stearns Securities Corporation and Bear, Stearns & Co., Inc. (Respondents) Case Number: 00-01232 Hearing Site: New York, New York Nature of the Dispute: Members vs. Members. REPRESENTATION OF PARTIES Claimants Kennilworth Partners LP ("Kennilworth Partners LP") and Kennilworth Partners II LP ("Kennilworth