" NYSE Regulation ^hrSE Regulation In the Matter of Arbitration Between Case: Sherry L. Gray v A.G. Edwards 8c Sons, Inc. and Scott P. Edwards Docket: 2005-016142 Attomeys: For Claimant(s): Gerald K. Rabushka - Corpus Christi, TX For Respondent(s): Nancy Anderson Tayborn - St. Louis, MO Date Filed-7/20/2005 Fhst Scheduled: 08/15/2006 Dedded: ^ / / z y ^ ^ Case Summary: Customer daimant alleges unsuitability, violation of

I NYSE ^ew York Stock Exdiange li^he Matter of Aibitration Between c- Oppenheimer & Co., Inc. v. Stephen J. Toussaint Docket 2005-016136 Attorneys: For Clainiant(s): Michael R. Weissmann - Boston, MA For Respondait(s): Stephen J. Toussaint - Wellesley, MA DateFiled: 7/12/2005 First Scheduled: 02/17/2006 Dedded: 2/17/2006 Case Summary: Member Firm alleges breach of contract in connection with the failure to repay the balance of a promissory n

.• NYSE Regulation WYSE Regulation In the Matter of Arbitration Between cRe: Kallay, Katalin and Istivanne v. Bear Stearns & Co., Inc. Docket: 2005-016129 Attomeys: For Claimant(s): Terence W. McCormick - New York, NY For Respondent(s): Charles Capetenakis - New York, NY DateFiled: 6/18/2005 First Scheduled: 06/21/2006 Dedded: 10/19/2006 Case Summary: Customer claimant alleges fraudulent marketing and selling of class B mutual funds shares,

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. v. Paul A. Cusick Docket:2005-016124 Attorneys: For aaimant(s): Joyce M. Mocek - Atlanta, GA For Respondent(s): Peter L. Obremskey - Lebanon, IN Date Filed: 7/5/2005 First Scheduled: 03/23/2006 Dedded: 6/28/2006 Case Summary: Member firm claimant alleges that former employee, registered re

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Paul E. Levine v. Morgan Stanley Dean Witter, Inc. Docket 2005-016121 Attomeys: For aaimant(s): Paul E. Levine - West Hartford, CT For Respondent(s): Andrew Lipton - Purchase, NY Date Filed: 5/9/2005 First Scheduled: Q/-|^/Qg/2006 ^^*^*^^^ 03/17/2006 Case Summary: Customer Claimant alleges respondent recommended the purchase of Athero Genics Inc., an unsuitable investment.

• • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. v. Tami K. Rovall Docket: 2005-016099 Attomeys: For Claimant(s): For Respondent(s): Gregory R. Crochet - Atlanta, GA W. Jerad Rissler - Atlanta, GA Yasmin Islam Atasi - Houston, TX DateFiled: 5/25/2005 Fhst Scheduled: 12/07/2005 Dedded: 7/24/2006 Case Summary: Claimant member firm alleges breach of employment agreement an

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. v. H. Anthony Huss, Jr. Docket 2005-016097 Attomeys: For Claimant(s): Jennifer Woods-Burke - Cranford, NJ For Respondent(s): George Surgent - Mahwah, NJ DateFiled: 5/20/2005 Fhst Scheduled: 08/17/2006 Dedded: 10/5/2006 Case Summary: Member firm claimant alleges breach of contract and seeks to recover the

NYSE ^SE Regulation ithe Matter of Arbitration Between Case: Ruth M. Allen Trust dated 12/04/90 and Harold Allen, Trustee v. Merrill L)mch Pierce Fenner and Smith Docket: 2005-016093 Attomeys: For Claimant(s): Steven B. Lehat - Newport Beach, CA For Respondent(s): "Eric J. Glassman - Sacramento, CA Date Filed: 5/19/2005 Fhst Scheduled: 02/15/2006 Dedded; -V/y/o Case Summary: Customer Claimants allege breach of fiduciary duty, negligence, unsuita

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Daetsch and Rosemar)' Daelsch v. Citigroup f/k/a Salomon Smith Barney Docket Number: 2005-016090 Attomeys: For aainiant(s): Robert W. Daetsch - Trinit)', FL For Respondent(s): Rebecca J. Nelson - New York, NY DateFiled: 5/18/2005 First Scheduled: 11/14/2005 Dedded: 11/16/2005 Case Summary: Customers allege Member Firm made unsuitable investments in equities.

-NYSE Arbitration Case # Page 1 of 2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Merrill Lynch Pierce, Fenner & Smith Inc. and William Lapp v. Andrew and Melissa Prousi Docket: 2005-016080 Attorneys: For Claimant(s): Christopher M. Galusha - Florham Park, NJ For Respondent(s): Lon Engel - Baltimore, MD DateFiled: 5/5/2005 FhstScheduled: 01/19/2006 Dedded: 3/29/20O6 Case Summary: Claimants, a Member Firm and Regis