* NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: William Puffer IRA and Elizabeth Puffer IRA v. Morgan Stanley DW, Inc., Michael Kazacos & Ira Miller Docket 2004-015572 Attomeys: For Claimant(s): Steven E. Cole - Rochester, NY For Respondent(s): Daren Luma - New York, NY Date Ffled 7/12/2004 First Scheduled: 12/13/2005 Dedded 9/18/06 Case Siunmary: Customer claimants allege breach of contract, breach of fiduciary duty

Arbitration - case #2004-015534, Wayne A. Mercier and Wayne A. Merci Page 1 of2 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Wayne A. Mercier and Wayne A. Mercier IRA v. Adam Jensen and Fidelity Brokerage Services, LLC, and Lehman Brothers Docket: 2004-015534 Attorneys: For Gaimant(s): Robert E. Karoly - Savannah, GA For Respondent(s): Brian McDonough - New York, NY Cameron S. Matheson - Richmond, VA Date

v • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Scott Alter v. SSB aka Salomon Smith Barney, Inc. Docket2004-015518 Attomeys: For Gaimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): Richard C. Szuch - Morristown, NJ Date Filed 6/4/2004 Fust Scheduled: 01/24/2006 Dedded: 4/14/06 Case Summary: Customer Claimant alleges breach of fiduciary duty, breach of contract and unsuitability in connection with i

Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. v. Donna M. Brown Docket:2004-015503 Attomeys: For Claimant(s): Jennifer Woods Burke - Cranford, NJ For Respondent(s): Donna M. Brown - New York, NY Date Filed: 6/2/2004 Fust Scheduled 02/15/2006 Dedded Case Summary: Claimant, a member firm, alleges breach of contract with respect to the balance due o

"• NYSE Regulation NYSE Regulation i||the Matter of Arbitration Between Case: George Peterson v. Salomon Smith Barney, Inc. Docket 2004-015485 Attorneys: For Gaimant(s): Debra Hayes - Kingwood, TX For Respondent(s): Sean J. Coughlin - New York, NY Date Filed 5/17/2004 First Scheduled 10/04/2005 Dedded 7/18/2006 Case Summary: Claimant, a customer, alleges respondent was negligent, made unsuitable investments, placed daimant in a margin account, r

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Michael D'/Moia v. Tradition Asiel Securities, Inc. Docket 2004-015441 Attomeys: For Gaimant(s): Andy J. Goodman - New York, NY For Respondent(s): Chaim A. Levin - New York, NY Daniel J. Brooks - New York, NY DateFiled 5/21/2004 First Scheduled 04/19/2005 Dedded 8/09/2006 Case Summary: Gaimant, a Registered Representative and former employee, alleges breach of

N.A.SJ). AWARD NATIQNAT. AS.SOCIATION OF SECURTTrRS DFATFRS. INC. In the matter of the Arbitration Between Nam^ nf riaimanc Paper N' Inc. NASD Arbitration 94-03265 vs. Name of Rgspondentt Bfltmore Securities, Inc. Clifford Berman Elliot Loewenstem Bear Steams Sc Company, Inc. REPRESirNTATIQN For Claimant: David Cain, Esq., San Francisco, California For Respondents: Hartley T. Bernstein, Esq., and Marc J. Ross, Esq., Bernstein 8c

1 < Arbitration case # Page 1 of 2 ( ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Clarence and Diana Osborne v. Merrill Lynch, Pierce, Fenner 8c Smith, Inc., Docket 2004-015394 Attomeys: For Qaimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): BiU P. Guest - Oklahoma City, OK Date Ffled: 5/10/2004 First Scheduled: 09/28/2005 Dedded: y/o C Case Summary: Customer claimants aUege breach of

r • NVSE Regulation NTSE Regulation In the Matter of Aibitration Between '^^PR28'06 nri 3:13:4V';K? Case: Josephthal 8c Co., Inc. v. Bear Stearns Securities Corp. Docket 2004-015240 Attorneys: For Qaimant(s): Michael Schwartzberg - New York, NY For Respondent(s}: David S. Smith - New York, NY Date Ffled: 4/6/2004 First Scheduled: 03/06/2006 Dcdded:4/27/2006 Case Summary: Claimant member firm alleges respondent member firm imp

. r- / New York Stock Exchange In the Matter of Arbitration Between Case: Christopher Meyer and Carolyn Meyer, as tmstees for the benefit of. The Meyer Living Trust v. MerriU Lynch, Pierce, Fenner 8c Smith Inc., 8c MerriU Lynch 8c Co., Inc. Docket 2004-015584 Attorneys: For Qaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Ffled: 7/14/2004 First Scheduled: 10/30/2005 Dedded: 3 /^ V /^ ^ Case Summary: C