'. .Arbitration - case #2005-016294, Richard W. Drake v. Pradential Fina Page 1 of 2 •NYSE NYSE Regulation In the Matter of Arbitration Between Case: Richard W. Drake v. Prudential Financial Services, Wachovia Securities Inc. and Ebbert Ashby Jones Docket 2005-016294 Attorneys: For Claimant(s): Richard W. Drake - Marshall, VA For Respondent(s): Evelyn A. Christensen - Long Beach, CA Kevin B. Hurley - Richmond, VA DateFiled: 10/3/2005 First S

Arbitration - case #2005-016279, Offermann, Cassano, Greco & Slisz, Page 1 of 2 . r # V NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Offermann, Cassano, Greco & Slisz, LLP Profit Sharing Plan a/k/a Offermann, Cassano, Greco Slisz Profit Sharing Plan v. Elias Asset Managment Inc. and Salomon Smith Bamey, a member Citigroup a/k/a Salomon Smith Bamey, Inc. Docket 2005-016279 Attorneys: For Claimant(s): Donald G. Mc

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Volunteer Limited Liability Co. v. Morgan Keegan Co, Inc. Docket2005-016240 Attomeys: For daimant(s): Brian N. Smiley - Atlanta, GA For Respondent(s): G. Wayne Hillis, Jr. - Adanta, GA Date Filed: 8/26/2005 First Scheduled: 03/17/2006 Dedded: 01/05/2007 Case Summary: Claimant, an investment holding company, alleges breach of fiduciary duty, breach of contract, failure t

••^ ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets v. Phillip B. Antia Docket 2005-016239 Attorneys: For Claimant(s): Gregory R. Crochet - Atlanta, GA For RespondoitCs): George F. Meierhofer - New York, NY Date Filed: 8/25/2005 First Scheduled: Dedded: 10/30/2006 Case Summary: Member Firm Claimant alleges breach of employment loan agreement and non-payment of Promissory Note. On

Arbitration - case #2005-016238, Grayson Tucker v. Salomon Smith Bar Page 1 of 2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Grayson Tucker v. Salomon Smith Barney, Inc. and Edmund Smith Docket 2005-016238 Attorneys: For daimant(s): Edward J. Dovin - Atlanta, GA For Respondait(s): Hugo A. Hilgendorff - New York, NY DateFiled: 8/26/2005 First Scheduled: 10/17/2006 ^^*°*^ 11/8/2006 Case Summary: Customer Claimant a

Arbitration - case #2005-016213, Robert P. Casey vs. A.G. Edwards & Page 1 of 2 " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Robert P. Casey vs. A.G. Edwards & Sons, Inc. Docket;2005-016213 Attomeys: For Claimant(s): James Sandnes - New York, NY For Respondent(s): Clay L. Grumke - St. Louis, MO Date Filed: 8/1/2005 Fnst Scheduled: 02/22/2006 Dedded: ' uh[ oc Case Summary: Registered representative clai

f, NYSE Arbitration Case #2005-016207 Page 1 of 2 i New York Stock Exdiange In the Matter of Arbitration Between Case: Gary Dart v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman Docket 20p5-016207 Attomeys: For daimantCs): Scarlette M. Tuley - Montgomery, AL For Respondent(s): Mark L Parmelee - New York, NY DateFiled: 8/22/2005 First Scheduled: 01/18/2006 Dedded: ." | 7/o C Case Summary: Customer claima

•^Arbitration - case #2005-016199, i homas Wu v. Citigroup Global Marke Page 1 of2 " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Thomas Wu v. Citigroup Global Markets, Inc, f/k/a Salomon Smith Barney and Jack Grubman Docket 2005-016199 Attomeys: For Claimant(s): Thomas Wu - Madison, AL For Respondent(s): Mark L Parmelee - New York, NY DateFiled: 7/27/2005 First Scheduled: 04/23/2007 Dedded: 4/23/2007 Ca

* NYSE Arbitration Case # Page 1 of 2 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer & Co., Inc. v. Israr U. Nasir Docket: 2005-016148 Attomeys: For aaimant(s): Charles L. Pickett - West Palm Beach, FL For Respondent(s): Arthur C. Koski - Boca Raton, FL DateFiled: 7/21/2005 FhstScheduled: 02/22/2006 Dedded: V/Y/O^ Case Summary: Member firm claimant alleges breach of contract in connection with the fa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard and Cheryl Gonzalez and Aero Mulch/Liquid Sod Corppration and Names of Respondents William Scott & Co. L.L.C. Emmett A. Larkin Company, Inc. SG Cowen Securities Corp. The Regency Group, Inc., Joseph W. Glodek, and Joseph S. Glodek, Dominick R. Maiorano, Adam B. Swickle, and James S. Coleman Case Number: 01-03496 Hearing Site