* i\ Y bt Arbitration Lase #2UU5-U 16020 Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Hobart H. Tate, individually and as Trustee of the Patsy M. Tate Revocable Trust v. Merrill Lynch, Pierce, Fenner & Smith, a corporation, and Rick Fitzgerald, an individual Docket Number 2005-016020 Attomeys: For Claimant(s): Miles L. Mitzner - Edmond, OK For Respondent(s): Greg Crawford - Oklahoma City, OK D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. Perea, (Claimant) vs. Louis Rosalia, Mark Ricca, Clarence McMaster, Daniel Masiello, Andrea Viescas, and Thomas Nicolosi, (Respondents) Case Number: 01-03519 " Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard A. Parea, hereinafter referred to as "Claimant": Gary J. Wachtel, Esq., a sole practitioner, New York, NY. Claimant originally appeared p

NVSE Arbitration Case # Page 1 of 2 ^ IMYSE New Yorlc Stodc Exchange In the Matter of Arbitration Between Case: William E. Fuller v. Morgan Stanley Dean Witter, Inc. Docket2005-016102 Attomeys: For Claiinant(s): William E. Fuller - Fishers, IN For Respondent(s): Debra R. Volland - San Francisco, CA DateFiled: 6/3/2005 First Scheduled: 12/16/2005 Decided: 12/16/2005 Case Summary: Customer claimant alleges respondent member firm fraud, misrepr

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Michael M. Kownacki v. Morgan Stanley DW Inc. Docket 2003-014635 Attomeys: For Qaimant(s): For Respondent(s): Jenice L. Malecki - New York, NY Lee Ann Stevenson - New York, NY Maria Ginzburg - New York, NY DateFiled: 10/14/2003 First Scheduled: 09/12/2005 Dedded: 06/04/2007 Case Summary: Claimant, a former employee of Member firm Respondent, alleges wron

NYSE Arbitration Case ^2003-014463 Page 1 of 2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: CITIGROUP GLOBAL MARKETS INC. f/k/a SALOMON SMITH BARNEY. INC. VS. FREDERICK O. OSKANIAN Docket Numben 2003-014463 Attorneys: For Claiinant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): John Wendel] Beavers - Philadelphia, PA DateFiled: 9/9/2003 First Scheduled: 09/20/2005 Decided: 10/24/2005

» M tit Arbitration Case #2003-012186 Page 1 of 2 i NYSE New York Stock Exchange Jkn the Matter of Arbitration Between Case: Robert J. Ryan v. Salomon Smith Barney, Charles Sawicki, Joe Jones, and E.L. Bowne Docket Numben 2003-012186 Attomeys: For Claimant(s): Robert J. Ryan - Jupiter, FL For Respondent(s): Neil B. Solomon - West Palm Beach, FL DateFiled: 8/8/2003 First Scheduled: 12/29/2004 Dedded: 9/12/2005 Summary

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Roger Stj^czynski, f/b/o the Estate of John Tanagretta v Merrill Lynch and Keith Mackay Docket Number: 2003-011239 Attomeys: For Qaimant(s): Richard D. De Vita - Hoboken, NJ For Respondent(s): David J.. Libowsky - New York, NY DateFiled: 12/26/2002 First Scheduled: 03/22/2005 Dedded: August 19, 2005 Case Summary: Customer Claimant alleges negligence, breach of

oitration Case #2002-011159 Page 1 of2 NYSE J^ew York Stock Exchange i the Matter of Arbitration Between Case: Joseph A. Voss, Individually and as Trustee, and Patricia H. Voss, Individually and as Trustee v. Salomon Smith Barney Docket Numben 2002-011159 Attomeys: For Claimant(s): Richard H. Levenstein - Stuart, FL For Respondent(s): Neil B. Solomon - West Palm Beach, FL DateFiled: 12/17/2002 First Scheduled: 05/11/2004 Dedd

i . • I New York Stock Exdiange In die Matier of Arbitration Between Case: John Schloss v Prudential Securities, Inc. and Mark Hyde Docket Numben 2002-010822 AttoroeyK For CIaimant(s): Erwin Cohn - Chicago, IL ForRespoadent(s): David W. Schmidt - Cranford, NJ Date FOed: 9/27/2002 First Sdieduled: 03/23/2005 Dedded: ^"/^/o 5 Case Summary: Customer Claimant alleges unauthorized tradii^, violation of state securities laws, violation

I i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joe Ibarzabal, individually and as Trustee of the Joe I. Ibarzabal Trust, and Olga Ibarzabal v Morgan Stanley Dean Witter, Kevin Power, and Keith A. Fernandez Docket Number: 2000-008707 Attorneys: For Claimant(s): Steve Buchwalter - Encino, CA For Respondent(s): Christine Pham - Los Angeles, CA Date Filed: 9/18/2000 Fhst Scheduled: 04/11/2001 Dedded: 8/25