* NYSE Regulation NYSE Regulation In the Matter of Arbitration Between iSe: PhiUip J. Richards v. Louis Weihon Joe, Terrence Dee Ormsbee and Citigroup Capital Markets, Inc. (f/k/a Salomon Smidi Barney) v. PhiUip J. Richards Docket 2005-016195 Attomeyc For GaimantCs): Jonathan Kord Lagemann - Boston, MA For Respondent(s): Peter R. Boutin - San Frandsco, CA Date FOed: 8/9/2005 First Scheduled: 04/25/2006 Dedded- 5/9/2006 Case Summaiy: Clai

' NYSE Regulation NYSE Regulation he Matter of Arbitration Between Case: J. P. Morgan Securities Inc. v Crescent Fund Inc. Docket 2005-016084 Attorneys: For Claimant(s): LiUy Farahnakian - New York, NY For Respondait(s): Jeffrey Stone - New York, NY Date FUed: 5/6/2005 Case Summary: Member Firm Eresearch Technology Inc. Product Equity aUeges First Scheduled: 05/04/2006 Dedded: 5/23/2006 breach of contract, specificaUy faUure

• IMYSE l-^'.O/ auiation NYSE Regulation In the Matter of Arbitration Between Case: Doris Eakes Family L.P. & Doris Eakes Trustee, Doris Hakes Charitable Remainder Trust v Legg Mason Wo WaUcer, Inc. 8t WiUiam W. Schroeder Docket: 2005-016004 Attomeys: For Claimant(s): Martin J. Siegel - New York, NY For Respondent(s): Susan H. Stern - Fort Lauderdale, FL Thomas K. Potter III - New Orleans, LA Date Filed: 3/2/2005 First Scheduled: 02/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Zahra M. Stahl, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Joseph Breen, Respondents Case Number: 01-03505 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Vincent DiCarlo, Esq. Law Office of Vincent DiCarlo Sacramento, California For Respondents: Kenn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cindy Newman, (Claimant) vs. Andrea Joyce Wagner, Corporate Securities Group, Incorporated, J.W. Charles Clearing Corporation, Bear, Stearns & Company, Incorporated (Respondents) Case Number: 00-01223 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Cindy Newman ("Newman"), hereinafter referred to as "Claimant": represented by Alan Newman (husband), Monsey, N

• NYSE Regulation NYSE Regulation : le Matter of Arbitration Between Case: Piper Jaffray & Co. v. Robert L. McVey, III Docket 2005-015969 Attorneys: For Claimant(s): Nathan P Brenna - Minneapolis, MN For Respondent(s): Robert L McVey - Cortage Grove, MN Date FUed: 1/27/2005 Fust Scheduled: 04/27/2006 Decided: 5/23/2006 Case Siunmary: Claimant, member firm, alleges that former registered representative breached his agreement by faiUng to repay mo

' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between ase Citigroup Global M arkets Holdings, Inc. v. Joshua Matthew Thompson Docket 2004-015919 Attomeys: For Claiinant(s): Gregory R. Crochet - Atlanta, GA W. Jerard Rissler - Atianta, GA For Respondent(s): Joshua Matthew Thompson - Ft. Lauderdale, FL DateFiled: 12/27/2004 First Scheduled: 1/10/2006 Decided: 4/20/2006 Case Summaiy: Member firm claimant alleges breach of c

/ • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Alfred MonaceUa v. Smith Barney, Inc. n/k/a Citigroup World Markets Docket 2004-015617 Attorneys: For Claiinant(s): David I. Greenberger - New York, NY Ethan A. Brecher - New York, NY For Respondent(s): Ira G. Rosenstein - New York, NY DateFiled: 7/26/2004 First Scheduled: 05/08/2006 Dedded: 5/10/2006 Case Summary: Registered Representative Qaimant aUeges breach o

' NYSE Regulation • ' t NYSE Regulation In die Matter of Aibitratran Between iSe: Wachovia Securities, LLC v. George C. Rentes Docket 2004-015464 Attorneys: For Claimant(s): Joshua Pinsky - Boca Raton, FL For Req)ondait(s): Robert R. Warchola - Tampa, FL Date Filed: 5/25/2004 First Scheduled: 12/16/2004 Dedded: 5/24/2006 Case Summary: Member Firm claimant seeks to recover amounts allegedly due under the terms of a promissory note, interest, cost

• NYSE Regulation NYSERcgulatnn ' tbe Matter of Aibitradon Between Case: Citigroup Global Maricets, Inc. v. Cameron D. Beale v. Citigroup Global Markets, Inc. Docket 2004-015258 AttDmeyE For Clainumt(s): Gregory R. Crochet - Atlanta, GA For Re^x»ident(s): Joseph). Hroch - Houston, TX Date Filed: 4/14/2004 First Scheduled: 01/24/2006 Dedded: 5/10/2006 Case Summary: Claimant, a member firm, alleges respondent, a former employee breached the te