" NYSE Regulation NYSE Regulation ( he Matter of Arbitration Between Case: Veronica Lee Barnes v, MerriU Lynch Docket 2003-011421 Attomeys: For Claimant(s): Harold D. Vicente - Hato Rey, PR For Respondent(s): Patricia Bailey Tsipras - Paoli, PA Date Ffled: 1/27/2003 Furst Scheduled: 10/08/2003 Dedded: 4/28/2006 Case Summary: Claimant, a former broker, has alleged that respondent unjustly and constructively terminated her employment without any d

NYSE Arbitration Case # i Page 1 ol2 ' IWSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer 8c Co. Inc. v. Michael S. Cohen v. Oppenheimer 8c Co. Inc. Docket 2003-014752 Attorneys: For GaimantCs): Thedore R. Snyder - New York, NY For Respondent(s): Michael P. Shienvold - Aventura, FL Date Ffled: 11/3/2003 Fu-st Scheduled: 01/10/2005 Dedded: J> 1 5" /oC Case Siunmary: Member firm claimant alle

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jo'Anne Grande v Merrill Lynch and John A. Borsellino Docket2004-014996 Attomeys: For Claimant(s): James E. Pratt - Garden City, NY For Respondent(s): Joel S. Forman - New York, NY Date Ffled: 1/12/2004 First Scheduled: 07/26/2005 Dedded: Case Summary: Customer daimant alleges breach of fiduciary duty, unsuitability, improper use of margin, unauthorized trading and vio

• NYSE Regulatton NYSE Regulation In tiie Matter of Arbitration Between ^Rse: Raymond Weslbrook and Barbara Westbrook v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Michelle Manners, Dodee Frost Crockett and Cindy Ann McBride Docket 2004-014910 Attomeys: For Claimant(s): William J. Bergner - Oklahoma City, OK For Respondent(s): Bill Powell Guest - Oklahoma City, OK David B. Dyer - Dallas, TX DateFiled: 12/30/2003 First Scheduled: 02/14/2006

I New" NYSE ' York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. v. Bertran T. Bader, IV Docket:2004-015796 Attomeys: For Gaimant(s): Matthew B. Henneman - Houston, TX For Respondent(s): Bertran T. Bader - Dallas, TX Date Ffled: 10/27/2004 Fnst Scheduled: 01/09/2006 Dedded: 2/14/2006 Case Summary: Member firm Claimant alleges breach of a forgivable loan agreement, failure to pay on a Promissory

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tine riaimflnts C.^e. Nnmhf=r- 01-03487 James L. Kaiser, M.D. and Constance G. Kaiser, Individually and as Trustees of the James L. Kaiser Defined Benefit Plan and the Kaiser Revocable Living Trust James B. Spear; and American Investment Services, Inc. g Site* Indianapolis, Indiana KF.PBFSFNTATTON OF PARTIES Claimants James L. Kaiser, M.D. and Constance G. Kaiser,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wiliam J. Morrison, as the Personal Representative for the Estate of Richard D. Senty v. Merrill Lynch, Pierce, Fenner 8c Smith Inc., and Merrill Lynch 8c Co., Inc. Docket Numben 2004-015577 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 7/7/2004 Fu-st Scheduled: 05/16/2005 Dedded: 6/2/200

• NYSE New York Stock Exchange In the Matter of Arbitration Between ^ ^ 1 se: Betty Manning 8c J.W. Manning v. Salomon Smith Barney, Inc. and Paul Daniel Zirakian Docket: 2004-015457 Attomeys: For Claimant(s): Charles Hunter - Kingwood, TX For Respondent(s): Lydia R. Zaidman - New York, NY DateFiled: 5/19/2004 Fu-st Scheduled: 11/08/2005 Dedded: 3/16/2006 Case Summary: Customer Claimants allege negligence, misrepresentation, unsuitabilit

1 NYSE New York Stock Exchange In the Matter of Arbitration Between ^•]ase: David F. Haughn v. Salomon Smith Barney, Inc. Docket 2004-015214 Attomeys: For Claimant(s): William Bergner - Oklahoma City, OK For Respondent(s): Lydia R. Zaidman - New York, NY Date Filed: 3/22/2004 First Scheduled: 02/21/2006 Dedded: 3/13/2006 Case Summary: Customer Claimant alleges breach of fiduciary duty, breach of contract, unsuitability, failure to supervise, fai

I New ' York Stock Exchange In the Matter of Arbitration Between Case: Fahnestock 8c Co. Inc. v. Timothy Calaway Docket 2004-015095 Attomeys: For Gaimant(s): David Clouston - Dallas, TX Shana Burleson - Dallas, TX For Respondent(s): Timothy T. Calaway - Frisco, TX Date Filed: 2/24/2004 Fust Scheduled: 11/02/2005 Dedded: 2/13/2006 Case Summary: Member firm claimant alleges breach of contract in connection with the failure to repay the balance