» % Arbitration - case #2006-016570. Prudential Equity Group. LLC f/L'a Page 1 of 2 i NYSE Regulation NYSE Regulation In the Natter of Arbitration Between Case: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated v. Sean Woodrow Dockct:2006-016570 Attorneys: For Qaimant(s): Linda A. Gallagher - Chicago, IL Steve P. Gomberg - Chicago, IL For Respondent(s): Sean Woodrow - Seagirt, NJ Date Ffled: 8/8/2006 Fhst Scheduled: 11/21

. r r • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Charles Edward Kallgren v. David Singer and Quang Tran Docket2006-016551 Attomeys: For Claimant(s): Garrett R. Wynne - San Francisco, CA For Respondent(s): Mortimer Herzstein - San Francisco, CA Date Ffled: 7/12/2006 Fhst Scheduled: 10/03/2006 Dedded: 10/27/2006 Case Summary: Claimant, registered representative seeks an order of expungement fi-om his CRD recor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kai Bender, Claimant v. Bane of America Investment Services, Inc. and Meryl Hand, Respondents Case Number: 01-03508 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: David H.S. Commins, Esq. Law Offices of David H.S. Commins San Francisco, California For Respondents: Andrea Hackett Henningsen, Esq. Steefel Levitt & Weiss San Francisco, C

Arbitration - case #2006-016529. Richard J. Prokopowicz v. .Michael Page 1 of2 *NYSE NYSE Regulation In the Matter of Arbitration Between Case: Richard J. Prokopowicz v. Michael J. Schumacher and Strasbourger, Pearson, Tulcin and Wolf, Inc. Docket 2006-016529 Attorneys: For Claimant(s): Richard J. Prokopowicz - Clark, NJ For Respondent(s): Brian J. Neville - New York, NY Date Filed: 6/12/2006 First Scheduled: 10/10/2006 Decided:/^ J

•NYSE c, «,NYSE Regulation In the Matter of Arbitration Between ^Re: se: Alexander Becker v. Goldman Sachs & Co. and Goldman Sachs Group, Inc. Docket 2006-016508 Attomeys: For Claimant(s): Joseph Aronauer - New York, NY Rodney J. Heggy - Oklahoma City, OK For Respondent(s): Robert D. Fessel - New York, NY DateFiled: 5/10/2006 First Scheduled: 11/29/2006 Decided: 1/3/2007 Case Summary: Claimant, a former employee, alleges respondent breached

• NYSE ^ I Y ; t SE Regulation 1 the Matter of Arbitration Between Case: Theresa B. Bradley v. Merrill Lynch & Co., Inc., Henry Blodget and Sandra Rosploch and Merrill Lynch Pierce Fenner & Smith, Inc., Docket 2006-016507 Attorneys: For Claimant(s): Theresa B. Bradley - Washington, DC For Respondent(s): David S. Richan - New York, NY Marc B. Dorfrnan - Washington, DC Date Filed: 5/4/2006 First Scheduled: 02/14/2007 De

NYSE I : I ' . NYSE Regulation kthe Matter of Arbitration Between Case: Elaine Kaven vs. Mary Jo Gunning TIE and Michael J. Gunning Rev TRV/A Docket: 2006-016502 Attomeys: For Gaimant(s): George Kupper - Beverly Hills, CA For Respondent(s): Mary Jo Gunning - Scranton, PA Michael Gunning - Scranton, PA Date Ffled: 5/1/2006 Fhst Scheduled: 09/08/2006 Dedded: 'X II > I t V Case Summary: Registered representative Claimant seeks an order

NYSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers Inc v Kenneth Sexter Docket: 2006-016562 Attomeys: For Claimant(s): Gregory S. Mertz - Burlington, VT For Respondent(s): Jeremy A. Welfer - New York, NY DateFiled: 7/27/2006 First Scheduled: 01/17/2007 Dedded: ^"^"0"^ Case Summary: Member firm claimant alleges breach of contract in connection with failure to repay the balance due on a promissory note. Market: Product

NYSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers Inc v Sailing Adler v Lehman Brothers Docket: 2006-016561 Attomeys: For Claimant(s): For Respondent(s): Date FUed: 7/27/2006 Gregory S. Mertz - Burlington, VT William J. Brennan - Needham, MA First Scheduled: 01/24/2007 Decided: 3/1/07 Case Simunary: Member firm claimant alleges breach of contract in connection with failure to repay the balance due on a pr

• NYSE Regulation NYSE Regulation In die Ii4atter of Aibitration Between JO. Citigroup Global Markets, Inc. v. Al Escamilla Docket 2005-016354 Attorneys: For Claimant(s): Gregory R. Crochet - Atianta, GA For Respoiident(s): Al EscamiUa - Midland, TX Date FOed: 12/6/2005 First Scheduled: 05/02/2006 Dedded: 5/2/2006 Case Summary: Member Firm Claimant alleges breach of contract in connection with the failure to repay the balance due on a promissory