• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Richard Hanley v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Dockeb2005-016256 Attorneys: For Claimant(s): Robert J. Bellinson - New York, NY For Respondent(s): Sean J. Coughlin - New York, NY Date Filed: 9/9/2005 First Scheduled: 05/03/2006 Dedded: 05/24/2007 Case Summary: Customer Claimant alleges fi-aud, chuming, misrepresentation, unauthorized tradin

:N.Ybt Arbitration Case #2005-016141 Page 1 of2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Merrill Lynch, Pierce, Fenner & Smith Inc., Deborah Frazier, Jerry Miller and Wayne Jacobus v. Francesco D'Orsa Docket Numben 2005-016141 Attorneys: For Qaimant(s): Brooke E. Pietrzak - New York, NY For Respondent(s): Mark I. Schreck - New York, NY Date Filed- 6/14/2005 First Scheduled: 12/05/2005 Deci

NASD Dispute Resolution Arbitration No. 01-03534 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace K. Oflazian Case Number: 01-03534 v. Merrill Lynch Pierce Fenner & Smith Inc. Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Grace K. Oflazian, hereinafter referred to as "Claimant": Thomas F. Bello, Esq., Thomas F. Bello, Esq., PC, Staten Island, NY. Respondent, Merril

•NYSE NYSE Regulation In the Matter of Arbitration Between Case: Dan A. Druz v. Dean Witter, George Delahanty, William Petersen, Richard Hayes, David Christensen, Diane Turner and Erick Holt Docket: 2005-016092 Attomeys: For Claimant(s): For Respondent(s): Dan A. Druz - Manasquann, NJ Richard Szuch - Florham Park, NJ DateFiled: 5/13/2005 First Scheduled: 09/22/2005 Decided: 4/4/2007 Case Summary: Non-member claimant alleges civil

IN T ac Arouraiion case ?iUU3-016UJJ / Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: First Union Securities, Inc. n/k/a Wachovia Securities, LLC and Derek Hull v. Houston and Linda Moody Docket Numben 2005-016087 Attorneys: For Claimant(s): Andrew Park - Richmond, VA For RespondentCs): Thomas Kerrick - Bowling Green, KY DateFiled: 5/3/2005 Fu-st Scheduled* 12/01/2005 Dedded: 12/21/2005

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Steven N. Jaenichen and Merrill Lynch, Pierce Fenner & Smith, Inc. v. Herman Goldberg and Judith Goldberg Docket Numben 2005-016077 Attomeys: For Claimant(s): Bryan 1. Reyhani - New York, NY For Respondent(s): Martin J. Siegel - New York, NY DateFiled- 3/29/2005 First Scheduled: 08/25/2005 Decided: Sfd^/cS' Case Smnmary: Claimants registered representat

i NYSE Regulation NYSE Regulation In the Matter of Arbitration Between •••••.e!eti..iiior.co.'i Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. v. Kenneth Stevens v. Citigroup Global Markets, Inc. Docket 2005-016040 Attomeys: For Claimant(s): David Schmidt - Cranford, N] For Respondent(s): S. James Boumii - Lowell, MA DateFiled: 4/1/2005 First Scheduled: 11 /21 /2005 Decided: 6/20/2007 Case Sununary: Member Firm

•NYSE New York Stock Exchange In the Matter of Arbitration Between ^•ase: Winifi'ed Rappleyea v. Merrill Lynch and Charles Andrieu Docket 2005-016057 Attomeys: For Claimant(s): Winifred Rappleyea - Allentown, NJ For Respondent(s): Keith Guilfoyle - New York, NY DateFiled: 4/13/2005 First Scheduled: 1/9/2006 Dedded: 1/9/2006 Case Siunmary: Customer Claimant alleges unauthorized trading, unsuitability and misrepresentation regarding mutual funds i

i NYSE New York Stock Exchange kthe Matter of Arbitration Between Case: Kincannon, Harry, Jr. v. Morgan Stanley and Wendy Za Docket Number: 2005-016028 Attomeys: For Claimant(s): Harry Kincannon - San Francisco, CA For Respondent(s): Debra R. Volland - San Francisco, CA DateFiled: 3/29/2005 First Scheduled: 7/15/2005 Decided: 7/15/2005 "S Be Summary: Claimant, a customer, alleges respondent mismanaged his account by over-trading,

• NYSE Regiiiaiio''-, NYSE Regulation In the MaUer of Arbitration Between ^^iase; Sandra Dezego v. A.G. Edwards & Sons, Inc. Docket: 2005-015992 Attorneys: For Gainiant(s): For Respondent(s): Bradford M. Gucciardo - Boca Raton, FL Nancy Anderson Tayborn - St. Louis, MO Date Filed: 2/15/2005 First Scheduled: 08/10/2005 Dedded: 7-31-07 Case Summary: Claimant, a former employee of Respondent Member Firm, alleges sexual haras