B NYSE Reguiation NYSE Regulation ^fi the Matter of Arbitration Between Case: Cherie Lagree-Yoder vs. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Wachovia Securities, LLC) Docket 2004-015458 Attorneys: For Claimant(s): C. David Mee - Kingwood, TX For Respondent(s): Daniel M. Hanifin - Philadelphia, PA Date Ffled: 5/19/2004 First Scheduled: 08/30/2005 Dedded: 3-28-2006 Case Summary: Customer Claimant alleges unsuitability,

* NYSE Regulatioi. NYSE Regulation In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Michael I. Gottlieb Docket 2004-015374 Attomeys: For Gaimant(s): Carrie L. Chelko - Philadelphia, PA Michael L. Banks - Philadelphia, PA For Respondent(s): Steven M. Selz - Palm Beach, FL DateFiled: 4/26/2004 FfrstScheduled: 09/12/2005 Dedded: 3/23/2006 Case Summary: Member Firm Claimant alleges breach of contract and non-payment of promi

i NYSE York Stock Exd e Matter of Arbitration Between ]fl|y York Stock Exchange lWi( Case: Brian Minor and Rebecca Minor v. Morgan Stanley Dean Witter, Inc.; and Kent Nuzum Docket: 2004-015182 Attomeys: For Gaimant(s): Nancy Prigmore - Oklahoma City, OK For Respondent(s): John Castelly - Purchase, NY DateFiled: 3/16/2004 FfrstScheduled: 02/07/2006 Dedded: 3/14/2006 Case Summary: Customer claimants allege unsuitable investment recommendat

fmsE New York Stock Exchange In the Matter of Arbitration Between ^^)ase; : Ivan J. Carlisle and Maxine G. Carlisle, Individually and as Trustees on behalf of the Cargill Family Trust V. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket 2004-015051 Attorneys: For Gaimant(s): Nancy L. Prigmore - Oklahoma City, OK For Respondent(s): Joseph L. Hood, Jr. - San Antonio, TX Date Filed- 2/10/2004 First Scheduled: 12/13/2005 Dedded: 2/22/2006 Case

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sue Klavans Simring, Steven S. Simring, and Peter Klein as attorney-in-fact for Andreas Wiener, (Claimants) vs. Bear, Stearns & Co., Inc. and Paul Croitoroo, (Respondents) Case Number: 01-03483 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Sue Klavans Simring ("Klavans"), Steven S. Simring ("Simring"), and Peter Klein as attorney-in-fact for Andreas Wiener ("

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael J. Cooney v. Harris Nesbitt Corp. Docket Numben 2004-015918 Attomeys: For Gaimant(s): Andrew S. O'Connor - Larchmont, NY For Respondent(s): Lloyd B. Chinn - New York, NY DateFiled: 12/28/2004 Fkst Sdieduled: 07/14/2005 Dedded: 10/7/2005 Case Summary: Claimant, Registered Representative alleges failure to pay earned commission compensation, breach of con

Arbitration - case #2004-015922. D.C. A. Grantor Trust. Allan H. App Page 1 of 2 "NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: D.C. A. Grantor Trust, Allan H. Applestein,Trustee v. Lehman Brothers, Ghislain Gouraige an( Rachael Naylor Docket: 2004-015922 Attomeys: For Claimant(s): Allan H. Applestein - Aventura, FL For Respondent(s): Patricia M. Christiansen - West Palm Beach, FL DateFiled: 12/23/2004 First Sche

I New York Stock Exchange In the Matter of Arbitration Between Case. ^"'^ 627(f) claimant v. Smith Barney Docket Number 2004-015885 Attorneys: For Claimant(s): SelfRepresented-, For Respondent(s): Gilbert W. Boyce - Washington, DC Date Filed: 12/13/2004 First Scheduled: 03/14/2005 Dedded: ///^ V^_r- Case Summary: Customer daimants allege unauthorized trading, churning, unsuitable investment recommendations, fraud and violatio

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Paul Fitzgerald v. Fahnestock & Co., Inc. and Oppenheimer 8c Co. Inc. Docket 2004-015875 Attomeys: For Gaimant(s): Barry R. Lax - New York, NY For Respondent(s): Michael Schwartzberg - New York, NY Date Ffled 12/6/2004 Fust Scheduled: 11/16/2005 Dedded 8/16/2006 Case Summary: Former employee Claimant alleges breach of contract and the covenant of good faith and

i NYSE « New York Stock Exchange the Matter of Arbitration Between Case: Luis and Kimberly Reyes v. Morgan Stanley Dean Witter, Inc. Docket Number: 2004-015777 Attomeys: For Claimant(s): C. David Mee - Kingwood, TX For Respondent(s): Jeffrey Silverman - San Francisco, CA Date Ffled 10/6/2004 First Scheduled: 10/17/2005 Decided: 11/1/2005 ^^e Summary: Claimants, pubhc customers, alleges breach of fiduciary duty, breach of contract