/\iuiuauon - case 9^uu4-un 1 /5, Pmdential Hquity Group Inc. f/k/a ... Page 1 of 2 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Pmdential Equity Group Inc. f/k/a Prudential Securities v. Jeffrey Bonham Docket 2004-015175 Attomeys: For Claunant(s): Joshua Pinsky - Boca Raton, FL For Respondent(s): Jeffrey Bonham - Ft. Lauderdale, FL Date FUed: 3/16/2004 First Scheduled: 06/06/2005 Dedded: p /^/^ ^ Case Summary

Arbitration case # Page 1 of2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Caae: Susan Evans, Trustee, FBO Charles C. Evans, FBO Allen Evans v. Merrill, Lynch, Pierce, Fenner & Smith, Inc., David Mallach, Wendel Barnett, Scott Blanch Docket 2004-015121 Attomeya: For Claunant(s): WiUiam E. LeckerUng - BurUngton, VT For Respcndait(s): Paul T. Chryssikos - Philadelphia, PA DateFiled: 3/2/2004 First Scheduled: 06/28

• NYSE Regulation NYSE Reguktion In the Matter of Arbitration Between Case: Jimmy R. Stevenson and Donna L Stevenson v Merrill Lynch, Pierce, Fenner & Smith, Inc.; Kent Kirby; and Tim Roberson Docket 2004-015077 Attorneys: Far Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Joshua D. Jones - Birmingham, AL Date FOed: 2/6/2004 First Scheduled: 01/10/2006 Dedded: June 15, 2006 Case Summary: Customer daimants allege unsuitabilit

• Arbitration case # Page 1 of 2 ' NYSE Regulatbn NYSE Regulation In the Matter of Arbitration Between Case: Floyd Morris v. Merrill Lynch, Pierce, Fenner & Smith Inc.; and Kent V. Pearce Docket 2004-014971 Attorneys: For daimant(s): A. Daniel Woska - Oklahoma City, OK For Respondait(s): David E. Bamberger - New York, NY DateFiled: 1/24/2004 Fust Scheduled: 09/16/2005 Dedded: X^/s^y/ a^ Case Summary: Customer daimant alleges failure to supervise

• NYSE Regulation NYSE Regulation he Matter of Arbitration Between Case: Don R. Shelton and Lynette L. Shelton v. Salomon Smith Bamey, Inc. and Steve Strickland Docket 2003-014877 Attorneys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK For Respondait(s): Alejandro Schwed - New York, NY Date paed: 12/16/2003 Ffrst Scheduled: 01/24/2006 Dedded: 6/22/2006 Case Summary: Customer Claimants allege Respondents over-concentrated their accounts in hi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James A. Bhear and Guy L. Bogenrief, Claimants v. San Clemente Securities, Inc., Marvin L. Ridenour, Cooke B. Christopher, Thomas H. Sunderland, Jeffrey A. Vann and John J. Dimeglio, Respondents Case Number: 01-03502 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Novato, California For Respondent Cooke B. Christopher

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc./ Salomon Smith Bamey, Inc. v. Lorraine A. Messana Docket Number: 2003-014869 Attomeys: For Claimant(s): Joyce M. Mocek - Atlanta, GA For Respondent(s): Marian A. Lindquist - Fort Lauderdale, FL Date Filed: 12/16/2003 First Scheduled: 01/25/2005 Dedded: 01/25/2005 Case Summary: Member Firm Claimant alleges breach of contrac

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James I. Betson and Dorthy E. Betson v. Merrill Lynch, Pierce, Fenner & Smith Docket Number: 2003-014617 Attomeys: For Claimant(s): James I. Betson - Baltimore, MD For Respondent(s): Ira L. Oring - Baltimore, MD Date Filed: 10/8/2003 First Scheduled: 06/22/2004 Dedded: 1/28/2005 Case Summary: Claimants, public customers, allege Respondent, a member firm, fa

ArbiU^tion case # Page 1 of2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Prudential Equity Group, Inc., f/k/a Prudential Securities Inc. v. Marc S. Tanner vs. Prudential Equity Group, Inc. f/k/a Pmdential Securities, Inc. Docket 2003-014602 Attorneys: For Claimant(s): Marc S. Dobin - Jupiter, FL For Respondent(s): Richard W. Epstein - Fort Lauderdale, FL DateFiled: 10/7/2003 Ffrst Scheduled: 07/22/2005

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joanna Crawford v. Morgan Stanley DW Inc. Docket Number: 2003-014555 Attomeys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Helene J. Jepson - San Francisco, CA Date Filed: 8/29/2003 First Scheduled: 01/18/2005 Dedded: 01/20/2005 Case Summary: Customer claimant alleges unsuitable trading in high risk volatile equities, failure