f I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald Monroe and Rose Monroe v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch 8c Co., Inc. Docket Number: 2005-015948 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 06/24/2005 Dedded: 08/18/2005 Case Summary: Customer v. Member Firm al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Aldridge Case Number: 01-03532 Mark Aldridge IRA Rollover Mark Aldridge Roth IRA (Claimants) Joseph Gunnar & Co., LLC Hearing Site: New York, NY James J. Crew Jonathan S. Hurd (Respondents) REPRESENTATION OF PARTIES Claimant, Mark Aldridge ("Aldridge"), Mark Aldridge IRA Rollover ("IRA"), Mark Aldridge Roth IRA ("Roth IRA"), hereinafter collectively referred

NYSE Arbitration Case #2005-015942 Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Morgan Stanley, Michael Moriarty and Arun Sardana v. John and Sharon Teeples, John and Elizabeth Daus, John and Tmdy McCrea, Mary llles. Ram Srinivasan, Rahn Jackson, Owen Williams, Susan Parish, Dave and Judy McKinney, and Scott and Anna Bounds Docket Number 2005-015943 Attorneys: For Claimant(s): James D. Yellen - Purchas

I NYSE New York Stock Exchange i the Matter of Arbitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. v. Gerard Byrne Docket Number: 2005-015941 Attomeys: For Gaimant(s): Jennifer Woods Burke - Crandford, NJ For Respondent(s): Gerard Byrne - Short Hills, NJ DateFiled: 12/23/2004 Furst Scheduled: 09/20/2005 Dedded: 10/13/2005 ^Ri e Summary: Claimant, a member firm, alleges respondent failed to

r • NYSE Itegulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. v. Richard N. Brooks Docket 2004-015887 Attorneys: For Claimant(s): Gregory R. Crochet - Atlanta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): V. Michael Arias - Miami, FL DateFiled: 12/10/2004 First Scheduled: 02/07/2006 Dedded: 5/16/2006 Case Summary: Member Firm Gaimant alleges breach

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. v Dennis Chad Fason Docket 2004-015890 Attorneys: For Claimant(s): For Respondent(s): Gregory R. Crochet - Atlanta, GA W. Jerad Rissler - Atlanta, GA Dennis Fason - Little Rock, AR DateFiled: 12/10/2004 First Scheduled: 08/16/2006 Dedded: 05/01/2007 Case Smnmary: Member

•NYSE ; New York Stock Exchange In the Matter of Arbitration Between Case: Jerry, individually and as trustee of the Jerry Family Trust U/D/T 09/04/90 v. Edward Jones and Stephen Duffy Docket Nvunber: 2004-015861 Attomeys: For Claimant(s): Jerry Jerry - Santa Clara, CA For Respondent(s): Trae D. Meyr - St. Louis, MO DateFiled: 11/29/2004 First Scheduled: 08/25/2005 Dedded: 8/25/2005 ^ e Summary: Claimant, a customer, alle

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rose Rowsey v. Morgan Stanley Dean Witter, Inc. Docket Numben 2004-015860 Attorneys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Debra R. Volland - San Francisco, CA Mel Klusky - Purchase, NY DateFiled: 11/30/2004 First Scheduled: 8/29/2005 Dedded: 8/29/2005 Case Siunmary: Customer Claimant alleges unsuitability, negligence, mismanagem

•NYSE NYSE Regulation In the Matter of Arbitration Between Case: David James Yvars and Salvador Anthony Yvars v UBS Financial Services, Inc. Docket: 2004-015791 Attomeys: For Claimant(s): Samuel B. Edwards - Houston, TX For Respondent(s): Lauren Reiter Brody - New York, NY DateFiled: 10/18/2004 First Scheduled: 02/27/2006 Dedded: 5/25/2007 Case Summary: Non-member claimants allege defamation, conversion, tortious interference with busine

."»» Finra ^ FINRA DR In the Matter of Arbitration Between Case: Wachovia Securities, LLC v. Raymond A. Hatch d/b/a Konahasset Group Docket 2004-015662 Attomeys: For Claimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Mark Waldstein - New York, NY DateFiled: 8/16/2004 First Scheduled: 09/20/2006 Decided: 8/14/07 Case Summary: Member firm claimant alleges breach of contract in connection with a claim for a debit balance. Produ