I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Xian Lan Shang v. Citicorp Investment Services and Helen Wong Docket Number: 2004-015025 Attomeys: For Claimant(s): Anthony M. Abraham, Esq. - New York, NY For Respondent(s): Anthony Paduano, Esq. - New York, NY Date Filed: 2/3/2004 First Scheduled: 6/23/2004 Decided: 6/25/2004 Case Sununary: Customer v. Member Firm and Registered Rep alleging failure to follow

* NYSE te^lation NYSE Regulation In tiie Matter of Arbitratioo Between C^ae: F. William Thetford, individually, and on behalf of F. William Thetford, A Professional Corporation v. Merrill Lynch, Pierce, Fenner & Smith Inc., Michael T. Holland and lloger Engemann Ccdcet: 2004-015024 AlXvltUJK For Claimant(s): A. Daniel Woska - Oklahoma City, OK FoiT Be8pondait(s}: Lauren R. Greenspoon - Hartford, CT Tara A. LaClair - Oklahoma City, OK DateFOe

V i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Steven F. Wilson v Salomon Smith Barney, Inc. Docket 2004-015020 Attomeys: For Claimant(s): William J. Bergener - Oklahoma City, OK For Respondent(s): Joseph L. Calabrese - New York, NY Date Filed: 2/5/2004 Fu^t Scheduled: 07/19/2005 Dedded: 03/22/2006 Case Summary: Claimant, a public customer, alleges breach of contract, breach of fiduciary duty, failure to supe

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bill Humphreys v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Clarence Sherburne Frisbee Docket Number: 2004-015000 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK Stephen M. Hansen - Tacoma, WA For Respondent(s): Bill Powell Guest - Oklahoma City, OK DateFiled: 1/27/2004 FttstScheduled: 08/23/2005 Dedded: 9/30/2005 ^£ase Summary: Customer cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-03461 Darrell Cass Name of the Respondent Hearing Site: Tampa, Florida Fidelity Brokerage Services, Inc. a/k/a Fidelity Brokerage Services LLC REPRESENTATION OF PARTIES Claimant Darrell Cass ("Cass") appeared pro se. For Respondent Fidelity Brokerage Services, Inc. a/k/a Fidelity Brokerage Services LLC, ("Fidelity") hereinafter r

• NYSE NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer & Co., Inc. v. Carlos J. Aldavero v. Oppenheimer & Co., Inc. Docket:2004-014992 Attomeys: For Claimant(s): For Respondent(s): Theodore R. Snyder - New York, NY John D. Rapoport - Chandler, AZ Date Filed: 2/3/2004 First Scheduled: 06/21/2004 Decided: 3/14/2007 Case Summary: Member Firm claimant seeks to recover amounts allegedly due under the terms of three

Arbitration - case #2004-014990, Oppenheimer & Co., Inc. v. Reginald Page 1 of 3 •NYSE NYSE Regulation In the Matter of Arbitration Between Case: Oppenheimer & Co., Inc. v. Reginald Scott Abry v. Oppenheimer & Co.,Inc. Docket: 2004-014990 Attomeys: For Claimant(s): William E. Mahoney, Jr. - Philadelphia, PA For Respondent(s): Mark Alonso - New York, NY Date Filed: 2/3/2004 First Scheduled: 08/11/2004 Decided: Case Summary: Member fir

NYSE E Regulati e Matter of Arbitration Between ^ E Regulation iVhi Case: Piper Jaffray & Co. v. John T. Wagner Docket: 2004-014967 Attomeys: For Claimant(s): Nathan P. Brenna - Minneapolis, MN For Respondent(s): Hugh M. Field - Waterloo, IA Date Filed: 1/22/2004 Fust Scheduled: 02/07/2006 Dedded: 4/7/2006 Case Summary: Claimant, member firm, alleges that respondent, customer, removed funds from his account which were erroneously tra

'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Thomas Harmon and Maxine Harmon v Prudential Securities, Inc. Docket Number: 2004-014955 Attomeys: For Qaimant(s): Celeste E. Chiaramonte - Kingwood, TX For Respondent(s): Anne McCray - Richmond, VA DateFiled: 1/21/2004 First Scheduled: 11/10/2004 Dedded: / / / ^ / '^-^ Case Summary. Customer claimant alleges unsuitable investment recommendat

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Vem Hatch v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Salomon Smith Barney, Inc., Prudential Financial, Inc.; Barbara Curtis; Terry Peterson; and Shawn Vincze Docket: 2004-014932 Attomeys: For Qaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): Anne B. McCray - Richmond, VA Christopher A. Stecher - San Francisco, CA DateFiled: 1/13/2004 First Schedule