* NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Albert Fife v. Citigroup Global Markets Inc., Don Davis and Linda Schaffer Docket:2006-016439 Attomeys: For Claimant(s): Albert B. Fife - Lawrenceville, GA For Respondent(s): Rebecca J. Nelson - New York, NY Date Filed: 2/22/2006 Fhst Scheduled: 05/26/2006 Dedded: 6/26/2006 Case Summary: Customer Claimant alleges respondents wrongfully withheld his monthly fixed income

• NYSE Regulation NYSERq;aiatian In the Matter of Arbitration Between Case: Gerald Scala, Paul Gerard and Michael Paolone v. Annette Kaplen Docket2006'0l6437 Attomeys: For daixnantCs): Eliiabeih H. Fey - Philadelphia, FA Sfun W. Cruse III • Houston, TX For Respandent(s): Daniel Dugan - Philadelphia, PA Date Filed: 2/3/2006 Pint Scheduled: 09/25/2006 Dedded: 12/II/20O6 Case SuzuDuy: Claimants, registered represeniacives, sedc expungement of the C

f • NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Anthony G. Irwin v. Fiserv Investor Services, Inc. and John C. Wood Docket 2006-016433 Attomeys: For Claimant(s): Nicholas D. Thomas - Vero Beach, FL For Respondent(s): Daneen E. Downey - Philadelphia, PA Date Filed: 2/15/2006 Fu-st Scheduled: 01/26/2007 Dedded: 03/29/2007 Case Summary: Customer Claimant alleges breach of contract, fraud, breach of fiduciary duty

NYSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Wade Browne v. Lehman Brothers Inc. Pocket: 2006-016431 Attorneys: For Claimant(s): For Re5pondent(s): DateFiled: 2/13/2006 Jack D. Ballard - Houston, TX J. Michael Bishop - Atlanta, GA First Scheduled: 09/19/2006 Decided: 3-19-07 Case Summary: Member Firm claimant alleges breach of contract in connection with the failure to repay the balance due on a

• NYSE Reguiation ^YSE Regulation In the Matter of Arbitration Between Case: Carl M. Rose v. Alma Stott Docket 2006-016408 Attomeys: For Clamiant(s): Bruce W. Day - Oklahoma City, OK For Respondent(s): Lynn WiUiams - Kingwood, TX Date FUed: 1/26/2006 First Scheduled: 03/13/2006 Case Summary: Registered representative claimant seeks tiie settlement of NYSE Docket # 2003-014777 Product an order of expungement Market Dedded:

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Wachovia Securities, LLC v. Calvin J. White, Jr. Dockeb 2005-016388 Attorneys: For Claimant(s): Joshua N. Cook - Boston, MA For Respondent(s): Calvin J. White - Charlotte, NC DateFiled: 12/23/2005 First Scheduled: 02/28/2007 Dedded: 03/14/2007 Case Summary: Member firm Claimant alleges breach of employment loan agreement and non-payment of promissory note. Product

Ai'bitraaon - case #2005-016381, Dewey W. Wood, Jr. and Willie S. Wo Page 1 of 2 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Dewey W. Wood, Jr. and Willie S. Wood v Edward D. Jones & Co. and Michael E. Chapman Docket:2b05-016381 Attomeys: For Ciaimant(s): Nicholas D. Thomas - Vero Beach, FL For Respondent(s): E. Linwood Gunn IV - Marietta, GA Date Filed: 12/20/2005 First Scheduled: 10/23/2006 Decided: ////ry^

Award NASD In the Matter or tne Arbitration Between: Name of the Claimant Case Number: 01-03499 Steven Greenspan Names of the Respondents Hearing Site: Boca Raton, Florida Michael D. Warner Emmett A. Larkin Company, Inc. REPRESENTATION OF PARTIES For Steven Greenspan ("Greenspan") hereinafter referred to as "Claimant": Daniel S. Newman, Esq., Tew Cardenas Rebak Kellog Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, Florida. Respond

• NYSE Ragulatkx, NYSE Regulation In the Matter of Arbitration Between ^Plse: Gene E. Beard v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Christopher J. Flannery and Jeannie P. Mayo Docket: 2005-016375 Attomeys: For Claimant(s): Gene E. Beard - Kerrville, TX For Respondent(s): Harr)' D. Frisch - New York, NY DateFiled: 12/12/2005 First Scheduled: 6/15/06 Dedded: 6/26/06 Case Summary: Customer Claimant alleges that Respondent, in retaliation for Cl

# I" NYSE Regulation •• -t Kii-c:i-Ci:t:- nc. | JO lir.jc Strte: NYSE Regulation nv.e,ecul=tion.cor,, In the Matter of Arbitration Between Case: Sharon L. Rust, Individually, and as Beneficiar>' of Robert R. Rust v Morgan Stanley Dean Witter, Inc. Docket: 2005-016370 Attomeys: For Claimaiit(s): Lawrence L. Klayman - Boca Raton, FL For Respondent(s): Paul J. Schumacher - Santa Monica, CA Date Ffled: 12/6/2005 First Scheduled: 12/] 2/2006 Dedded- 6/28