• ,' • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Charles M. Harvey Docket 2004-015292 Attorneys: For Gaimant(s): Carrie L. Chelko - Philadelphia, PA For Respondent(s): Charles M. Harvey - Duxbury, MA DateFiled: 4/14/2004 First Scheduled: Dedded: -, ^. ^f,^^ 3-24-2006 Case Summary: Claimant member firm alleges breach of an employment agreement and non-payment of promissory note.

•' * NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Dr. Henry M. Bowers, Jr. and Catherine D. Bowers v. Merrill Lynch Pierce Fenner & Smith, Keats Nicoll, Nicholas P. Gorski, Michael R. Marsh and Timothy Garrett Docket 2004-015290 Attorneys: For Gaimant(s): Abraham Rappaport - Boca Raton, FL For Respondent(s): Bryan M. Ward - Atlanta, GA DateFiled-4/15/2004 Fust Scheduled: 04/12/2005 Dedded: 4/24/2006 Case Siunmary: C

i NYSE New York Stock Exchange kthe Matter of Arbitration Between Case: Wachovia Securities, LLC v. William Buffington Docket Number: 2004-015267 Attomeys: For Claimant(s): Doug Callaway - Richmond, VA For Respondent(s): William Buffington - Wayzata, MN Date Filed: 4/6/2004 First Sdieduled: 09/20/2005 Dedded: 10/14/2005 se Summary: Claimant, member firm, alleges that respondent, a former employee, breached his contract by Ting to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03469 Charlotte S. Kittle and Gilbert E. Kittle Names of the Respondents First Union Securities, Inc. Thomas M. Polston Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimants Charlotte S. Kittle and Gilbert E. Kittle ("Claimants"): Kenneth A. Bohnert, Esquire, of Conliffe, Sandmann & Sullivan, Louisville, Kentucky.

I NYSE New York Stock Exchange I the Matter of Arbitration Between Case: Nancy Young v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015232 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For RespoDdent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: 6/17/2004 Decided: 6/17/2004 Case Summary: Claimant, a customer, alleges breach of contract, failure t

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joan Wofsey v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015231 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: 6/8/2004 Decided: 6/8/2004 Case Summary: Customer claimant alleges breach of contract, failure to co

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arline Tarte, Individually; Arline Tarte, as attorney -in-fact for Reba Buxbaum; and Arline Tarte and Stephen L. Buxbaum, as Trustees for Edward and Reba Buxbaum v. UBS PaineWebber Docket Numben 2004-015202 Attomeys: For Claimant(s): Mr. Jacob Aschkenasy - New York, NY For Respondent(s): Noah Weissman - New York, NY DateFiled: 3/25/2004 First Scheduled: 06/07/2

• NYSE ^«iw York Stock Exchange the Matter of Arbitration Between Case: Janet Wallace v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015226 Attomeys: For Claimant(s): Kevin Love - Coral Gables, NY For Respondent(s): Bonnie Altro - New York, NY Date Filed: 3/25/2004 First Scheduled: 6/10/2004 Decided: 6/10/2004 Case Summary: Claimant, a customer, alleges breach of contract, failure to com

• NYSE >^'>yf York Stock Exchange the Matter of Arbitration Between Case: Edward Meixsell v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015225 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date FUed: 3/25/2004 First Scheduled: 6/9/2004 Decided: 6/9/2004 Case Summary: Claimant, a customer, alleges breach of contract, failure to con

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald W. DeHaven and Diane M. DeHaven v. Citigroup Global Markets, Inc. Docket Number: 2004-015201 Attomeys: For Gaimant(s): Stephen Toskes - Boca Raton, FL For Respondent(s): Kelly J. Moynihan - San Francisco, CA Date Filed: 3/23/2004 Fust Scheduled: 09/20/2005 Dedded: io/i7/2005 Case Summary: Customer claimants allege breach of contract, breach of fiduciary duti