• NYSE Regulation >^ 'SE Regulation L. oie Matter of Arbitration Between Case: WiUiam W. Latimer Jr., Vivian W. Latimer and Margaret Latimer v. Merrill Lynch, Pierce, Fenner 8c Smith, Inc. and Lee Thompson Docket 2004-015492 Attomeys: For Claimant(s): Mark G. Lazarz - Houston, TX For Respondent(s): Craig H. Clendenin - Houston, TX Date FUed: 5/20/2004 Fhst Scheduled: 10/25/2005 Dedded: 5/10/2006 Case Summary: Customer claimants aUege unsuitable

' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Sandra Selissen v. Salomon Smith Barney, Inc. Docket 2004-015461 Attomeys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY DateFiled: 5/20/2004 First Scheduled: 08/15/2005 Dedded: 5/2/2006 Case Summary: Gaimant, a public customer aUeges violations of securities laws and SRO ndes, negligence, misrepresentation, unsuitabl

r ' NYSE Regulation NYSE Regulation In the Matter of AzUxntion Betvreen Case: Carol A. Senarchia v. A.G. Edwards & Sons, Inc. and Alan Gross Docket: 2004-015206 AttomayK For ChimantCa): Edward H. Glenn Jr. - New York, NY For ReqwiidentCa): Clay L Gnimkt - St Louis, MO Date Hied: 3/22/2004 PsstSdiednled: 02/15/2005 Dedded: 05/02/2006 Ciae Sunmaxy: Customer Claimaar alleges unsuitable nadine in undJverslficd mutual funds, over- concent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Veronica Walsh, (Claimant) vs. L&M Financial Services, Lauren Ferrante, JMI Financial Services, Inc., and John M. Izquierdo, Jr., (Respondents) Case Number: 01-03489 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Veronica Walsh, hereinafter referred to as "Claimant": Brian P. Biggins, Esq., Brian P. Biggins & Associates Co., L.P.A., Rocky River, OH. Respondent

1 #•• • NYSE Regulation i.xSE Regulation In the Matter of Arbitration Between Case: Aaron E. Feldman, M.D. Trustee and Margo Harwood v. Lehman Brothers, Inc., John Goodman and S.G. Cowen Securities Corp. Docket 2003-012208 Attorneys: For Claimant(s): Edgar H. Boles - Pepper Pike, OH For Respondent(s): Christopher M. Burky - Chicago, IL Robert Rapp - Cleveland, OH Date Ffled: 7/28/2002 Furst Scheduled: 08/18/2005 Dedded: ^//J"/if (^ C

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Edward R. Goble and Dixie L. Goble v Salomon Smith Barney, Inc. and Mark Richard Loft Docket: 2004-015003 Attomeys: For Gaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Cinnamon V. Davis - Atlanta, GA Date Ffled: 1/15/2004 Fu-st Scheduled: 11/01/2005 Dedded: 3/17/2006 Case Summary: Customer Claimants allege unsuitability, improper asset allocation, fa

• N Y S E ; gMYSE Regulation ^R the Matter of Arbitration Between Case: Cecil Hugh Summers v. Merrill Lynch Pierce, Fenner 8c Smith 8c Robert F. Powers, Jr. Docket 2004-014960 Attomeys: For Claimant(s): For Respondent(s): Lynn Williams - Oklahoma City, OK Brian Hale - Atlanta, GA Date Ffled: 1/26/2004 Furst Scheduled: 01/05/2005 Decided: 3/1/2006 Case Summary: Customer claimant alleges unsuitable investment recomm

Page 1 ofI I NYSE York Stock Exd e Matter of Arbitration Between IjK^ York Stock Exchange urau Case: Rule 627(f) Claimant v. Fidelity Brokerage Services, Inc. Docket 2004-015903 Attorneys: ForGaimant(s): Self Represented For Respondent(s): Cameron Matheson - Richmond, VA Date Ffled: 10/19/2004 First Scheduled: 01/10/2006 Dedded: 3/23/2006 Case Summary: Gaimant customers allege unsuitable, risky and inappropriate investments, and fafl

' I /I •NYSE 'York Stock Exchange n tiie Matter of Arbitration Between Zase: Mark D. Howell v. Salomon Smith Barney )ocket 2004-015794 Lttomeys: For Claimant(s): Brock C. Akers - Houston, TX For Respondent(s): Felicity A. Fowler - Houston, TX Date Ffled: 10/25/2004 Fust Scheduled: 01/31/2006 Dedded: 2/27/2006 :ase Summary: Registered representative Claimant aUeges breach of contract, conversion, breach of fiduciary duty, aud, constmctive

A NYSE New York Stock Exchange In the Matter of Arbitration Between ^se: e: Geraldine George v. Salomon Smith Barney, Inc. Docket 2004-015754 Attorneys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Thomas A. Roberts - New Orleans, LA Date Ffled: 10/11/2004 First Scheduled: 01/31/2006 Decided: 3/2/2006 Case Summary: Customer Claimant alleges unsuitabflity, breach of fiduciary duty, breach of contract, failure to dive