' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: William Creamer v. Salomon Smith Bamey, and Hal Greer Docket 2004-015190 Attomeys: For Gaimant(s): Lynn Williams - Oklahoma City, OK For Respondent(s): Alejandro Schwed - New York, NY Date Filed: 3/22/2004 Fust Scheduled: 02/07/2006 Dedded: 11/15/20O6 Case Summary: Customer Claimant alleges breach of fiduciary duty, breach of contract, failure to supervise, omis

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Benny Brock and Elizabeth Brock v. Morgan Stanley Dean Witter & Co. Docket 2004-015176 Attomeys: For Claimant(s): For Respondent(s): Charles C. Hunter - Kingwood, TX Crystal Collins Spencer - Pensacola, FL DateFiled- 3/16/2004 Fu-st Scheduled: 09/13/2005 Dedded: 8/10/2006 Case Summary: Customer claimants allege misrepresentation, unsuitabiHty, unauthorized t

NYSE E Regulati e Matter of Arbitration Between ^^E Regulation Case: Ralph Marinaccio v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket 2004-015173 Attomeys: For Claimant(s): Blaine H. Bortnick - New York, NY For Respondent(s): Martin D. Edel - New York, NY DateFiled: 3/15/2004 Fu-st Scheduled: 08/08/2005 Decided: 4/5/2006 Case Summary: Claimant, former employee, alleges that respondent, member firm, is responsible for breaching an impli

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Ramon Suazo Docket 2004-015124 Attorneys: For Claimant(s): Victor A Machcinski - New York, NY For Respondent(s): Stephen H. Sacks - Baltimore, MD DateFiled: 3/8/2004 First Scheduled: 06/06/2006 Dedded: 11/7/2006 Case Summary: Claimant member firm alleges former employee, registered representative, breached his contract in faiUng to pay th

NYSE Arbitration Case #2004-015104 Page 1 of 2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ehrenkrantz King Nussbaum, Inc. v. Correspondent Services Corporation Docket Number: 2004-015104 Attomeys: For Qaimant(s): Milton R Gleit - White Plains, NY Robert M. Bursky - Garden City, NY For Respondent(s): Howard A Fischer - New York, NY DateFiled: 3/2/2004 Fust Scheduled: 02/07/2005 Decided: 11/28/2005

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sandra J. Pitts, Ph. D. and Earl W. Pitts, Col. (USAF, Ret) v Salomon Smith Bamey Docket Number: 2004-015099 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 2/25/2004 First Scheduled: 5/28/2004 Decided: 6/28/04 Case Summary: Public Customer claimants allege breach of fiduciary duty

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Gerald Alan Deal, Jr. and Teresa Deal v, Merrill Lynch, Pierce, Fenner & Smith Inc. and Carla J Fisher Docket 2004-015067 Attomeys: For Qaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Ira L. Oring - Baltimore, MD Date Filed: 2/18/2004 Fu^t Scheduled: 02/08/2005 Dedded: 8/23/2006 Case Sununary: Claimants, public customers, allege misrepresentation, uns

Arbitration - case #2004-015044, Oppenheimer & Co., Inc. v. Andrew M Page 1 of 2 " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer & Co., Inc. v. Andrew M. Blau v. CIBC World Markets Corp Docket 2004-015044 Attomeys: For Claiinant(s): Theodore R. Snyder - New York, NY For Respondent(s): David Marek - New York, NY For Third Party: Joseph J. Sullivan, III - New York, NY DateFiled: 2/12/2004 First Scheduled: 0

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Frank Fonti v. Michael John Zahn, Roy Daniel Budd, Citigroup Global Markets, Inc. Docket 2004-015034 Attomeys: For Gaimant(s): Andrew J. Kadets - Cambridge, MA For Respondent(s): Christopher Massey - New York, NY Date Filed: 2/5/2004 First Scheduled: 06/28/2005 Dedded: 2/10/2007 Case Sunmiary: Customer Claimant alleges breach of contract, firaud, material misrepresentation

^ NYSE Regulation NYSE Regulation In the Matter of Arbitration Between ^Base: Gerald J. Murray and Mary C. Murray v. Morgan Stanley Corp. Docket: 2004-015028 Attomeys: For Claimant(s): Gerald and Mary Murray - Needham, MA For Respondent(s): Thomas P. Briody - Purchase, NY Date Filed: 1/29/2004 First Scheduled: 06/15/2005 Dedded: 7/28/2006 Case Sununary: Customer claimants allege a failure to provide timely, updated investment advice and conflicts of