l^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Credit Suisse First Boston LLC v. Repurchase Corp., Leon A Greenblatt, III, Andrew A. Jahelka and Richard O. Nichols Docket Number: 2004-014931 Attomeys: For Qaimant(s): Robert Herskovits - New York, NY For Respondent(s): C. PhiHp Curley - Chicago, IL Date Filed: 12/23/2003 Fu-st Scheduled: 04/21 /2004 Decided: ////d>hs' Case Summary: Member firm claimant a

Page 1 of2 ' NYSE Fteguiaiion NYSE Regulation In the Matter of Arbitration Between Case: Paul Blackman and Richard Griffin v. Ladenburg Thalmann & Co., Inc. Docket: 2004-014927 Attomeys: For Claimant(s): Karl E. May - Cleveland, OH For Respondent(s): David S. Smith - New York, NY Date Filed: 12/30/2003 First Scheduled: 11/15/2005 Decided: 1/23/2007 Case Summary: Nonmember claimants allege loss of business and profits, conversion, extortion and

Award NASD Dispute Resolution In the Matter of the Arbitration Behween: RBC Capital Markets Corporation (Claimant) v. Brian M. Bittner (Respondent) Case Number: 05-05482 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Capital Markets Corporation, hereinafter referred to as "Claimant": Ralph DeSena, Esq., RBC Capital Markets Corportation, New York, NY. Respondent Brian M. Bi

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Stanley Cunningham v. Merrill Lynch, Pierce, Fenner 8c Smith, Inc. and York Harris Docket: 2003-014830 Attomeys: For Qaimant(s): For Respondent(s): Stanley Cunningham - Hudson, OH Tara A. LaClair - Oklahoma City, OK Date Filed: 12/1/2003 First Scheduled: 02/27/2006 Dedded: 03/23/2006 Case Summary: Claimant, a public customer, alleges he purchased Enron stock

NYSE Arbitration Case # Page 1 of 2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rocco and Marilyn Silvestri v Morgan Stanley Dean Witter and Erik Kirschner Docket 2003-011926 Attomeys: For Claimant(s): M.Nelson Segel - Las Vegas, NV For Respondent(s): David R. Maurer - San Francisco, CA Date Filed: 5/29/2003 Fust Scheduled: 08/10/2004 Dedded: 3 U (3/o t Case Summary: Customer claimants alleged unauthorized trans

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joan Henderson and 01-03460 Dallas, Texas Name of Respondents H.D. Vest Securities, Inc., Charles Schwab & Company Inc., Scott D. Ricketts and Financial Marketplace Group, LLC. REPRESENTATION OF PARTIES Joan Henderson ("Claimant") was represented by Robert L. Tobey, Esq., of Johnson & Tobey, Dallas, Texas. Charles Schwab & Company, Inc. ("

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Lawrence Levy v. Salomon Smith Bamey Docket: 2003-011797 Attorneys: For Clainunt(s): Darren C. Blum - Coral Springs, FL For Re9pondent(s): Holly R. Skolnick - Miami, FL Date Filed: 4/16/2003 First Scheduled: 12/14/2004 Dedded: 4/3/2006 Case Summary: Customer daimant alleges breach of fiduciary duty, improper use of margin, firaud, negligence, failure to supervise, viola

NYSE E Regulati e Matter of Arbitration Between ^ £ Regulation Case: Stephen & Kelly Reade v Morgan Stanley Dean Witter Docket 2003-011647 Attomeys: For Claimant(s): George S. Trevor - Corte Madera, CA For Respondent(s): Gilbert R. Serota - San Francisco, CA Date Filed: 3/14/2003 First Scheduled: 04/04/2005 Decided: 4/6/2006 Case Summary: Claimants, customers, allege that the respondent, member firm, never provided them with the most

•H NYSE Regulation ^rySE Regulation In the Matter of Arbitration Between Case: Richard Morley and Mary Morley v. Merrill Lynch Pierce Fenner & Smith Inc. and Edward Graney Docket 2002-010997 Attomeys: For Qaimant(s): James L. Sonneborn - Syracuse, NY For Respondent(s): Coren H. Stem - Miramar, FL : r//V Date Filed: 10/30/2002 Fust Scheduled: 06/22/2004 Dedded; Case Summary: Customer claimants allege unsuitable investments, improper trading o

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: 627(f) ciaim&nt V Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mark M. Nickels Docket2004-015222 Attorneys: ForClaunant(s): 627(f) claimant- New York, New York For Respondent(s): Brian C. Hale - Atlanta, GA Date Filed: 3/26/2004 First Scheduled: 01/17/2006 Dedded: April 7, 20C Case Summary: Customer Claimants allege unsuitability and failure to supervise in connectio