• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arlen K. Torp v. Merrill Lynch Pierce Fenner 8t Smith Inc. Docket Number: 2004-015402 Attomeys: For Gaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Luther M. Dorr - Birmingham, AL DateFiled 5/12/2004 First Scheduled 08/18/2005 Dedded: 10/27/05 Case Summary: Claimant customer alleges breach of fiduciary duty, breach of contract, negligence,

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Stanley B. Bonnes, individually and on behalf of the Stanley B. Bonnes IRA v. A.G. Edwards & Sons, Inc. Docket Number: 2004-015383 Attomeys: For Claimant(s): Garrett S. Taylor - Columbia, MO For Respondent(s): Michael Naccarato - St. Louis, MO Date Filed: 5/3/2004 First Scheduled: 09/08/2005 Dedded: ^°/°^/°^ Case Summary: Customer Claimant alleges breach of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03477 Donna Zulich, claimant vs. Anthony C. Guglieri, respondent. ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. For Respondent appeared Sanford H. Greenberg. Esq., New York, NY. DATE FILED: June 28, 2001 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades in her account which resulted in a loss. ARBITRATOR'S REPORT: Award is separate from any settlement

NYSE Arbitration Case #2004-015382 Page 1 of2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Judith Musgrove v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015382 Attorneys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Sarah A. Dunne - Seattle, WA Date Filed: 5/4/2004 First Scheduled: 10/04/2005 Decided: 11/8/2005 Case Summary: Customer claimant alleg

Page 1 of 2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Daniel Hille vs. Salomon Smith Barney, Inc. Docket Numben 2004-015373 Attomeys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY DateFiled: 5/4/2004 First Scheduled- 11/30/2004 Dedded 11/04/2005 Case Summary: Claimant, a public customer alleges violations of SRO rules and securities laws, negligence,

Arbiti-ation - case #2004-015371, John W. Ralston Jr. v. David Bulkey Page 1 of 2 •NYSE NYSE Regulation In the Matter of Arbitration Between Case: John W. Ralston Jr. v. David Bulkey, Joseph A. Dieterlei Docket 2004-015371 Attomeys: For Claimant(s): John Ralston, Jr. - Albion, PA For Respondent(s): Carole A. McDonald - New York, NY Date Filed: 4/29/2004 First Scheduled: 05/10/2005 Decided •Jjli "1 Case Summary: Claimant customer alleges

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: David J. Schuke v. Charles Schwab, Kevin Housmel, Scott Forster, Raymond Bartolome, Individually Docket 2004-015341 Attorneys: For Gaimant(s): David Schulte - Galesburg, Ml Robert Karoly - Vero Beach, FL For Respondent(s): Curt H. Mueller - San Francisco, CA DateFiled-4/16/2004 Fust Scheduled: 05/03/2006 Dedded: Case Summary: Customer Claimant filed a preliminary St

I NYSE Regulatior. NYSE Regulation In the Matter of Arbitration Between ^Kase: Robert E. Goodfriend v Merrill Lynch & Co. and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Docket 2004-015309 Attomeys: For Gaimant(s): Richard Lewins - Dallas, TX For Respondent(s): John H. Fleming - Atlanta, GA DateFiled: 4/19/2004 First Scheduled: 01/24/2006 Dedded: 01/09/2007 Case Summary: Customer daimant alleges violations of NYSE rules, unsuitable

' • NYSE Regulatior( NYSE Regulation In the Matter of Arbitration Between Case: Stan Shevrin and Stephanie Shevrin v. Morgan Stanley Dean Witter and UBS Financial Services f/k/a UBS PaineWebber, Inc. Docket 2004-015304 Attomeys: For Gaimant(s): Leonard Steiner - Beverly, CA For Respondent(s): Daniel L Germain - Los Angeles, CA John W. Cotton - Los Angeles, CA Date Filed: 3/8/2004 Fust Scheduled: 03/20/2006 Dedded: 4/18/2006 Case Summary: Cus

I. NYSE Regulation NYSE Regulation In the Matter of Arbitration Between ^Pe: Lehman Brothers, Inc. v. John Chi Docket2004-0I5302 Attomeys: For Claimant(s): Victor A. Machcinski - New York, NY For Respondent(s): John Chi - Northbrook, IL Date Filed: 3/5/2004 Fust Scheduled: 09/14/2005 Dedded: 11/24/2006 Case Siunmary: Member firm alleges that respondent, a registered representative, breached his contract and failed to pay the balance due on a