K * i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Andrew S. Davis, as Trustee for the 6/23/81 Andrew S. Davis Trust A. v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Docket Number: 2002-010700 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 9/3/2002 First Scheduled: 4/20/2004 Decided: 5/4/04 Case Summary

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elzie N. Hayes, Jr., as Trustee for the Elzie N. Hayes, Jr. Trust v. Merrill Lynch Pierce Fenner & Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-010693 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 9/3/2002 First 5jchedu led: 4/23/04 Decided: 4/i9/04 Case Summary:

i NYSE New York Stock Excliange In tlie Matter of Arbitration Between Case: Donald J. Kurth, Rosaly Kurth and Kristine Kurth v. Robert W. Baird & Co., Incorporated and Kevin Luetje Docket Number: 2002-010654 Attomeys: For Clainiant(s): Charles Hecht - New York, NY For Respondent(s): Gregory Wille - Milwaukee, WI David Feingold - Palm Beach Gardens, FL Date Filed: 8/27/2002 First Scheduled: 5/11/2004 Decided: 6/7/2004 Case

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between t ase: Prudential Equity Group f/k/a Prudential Securities, Inc. vs. Douglas G. Poirier Docket: 2002-010647 Attorneys: For Claimant(s): Charles B. LaChaussee - San Francisco, CA Linda A. Gallagher - Chicago, IL For Respondent(s): Douglas G. Poirier - San Diego, CA Date Filed: 8/27/2002 First Scheduled: 06/17/2004 Decided: 8/15/2006 Case Simimary: Member Firm Claimant alle

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles Jin v Lehman Brothers Docket Number: 2002-010643 Attomeys: For Claimant(s): Marc Sheridan - New York, NY For Respondent(s): Kevin Leblang - New York, NY Date Filed: 8/27/2002 First Scheduled: 1/1/1900 Decided: 1)1 Of Case Summary: Registered representative against member firms for compensation. Product: None None l^arket: Cla

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between •^ Susan C. Barlow and Jeffrey Cameron v. Merrill Lynch Pierce Fenner & Smith Incorporated, Gregory O'Hare and David Pierson Dtldcet: 2002-010635 Attorneys: For Claimant(s): lohn £. Sutherland - Boston, MA Richard ]. Land - Providence, RI For Respondent(s): James S. Rollins - Hartford, CT Date Hkd: 8/22/2002 First Scheduled-12/02/2003 Dedded: 4/28/2006 Case Summary: C

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Theodore G. McKinnon v Wedbush Morgan Securities, Inc. Docket Number: 2002-010606 Attomeys: For Claimant(s): Robert Uhl - Beveriy Hills, CA For Respondent(s): Gary Holmes - Los Angeles, CA Date Filed: 8/14/2002 First Scheduled: 3/29/2004 Decided: ./^ | 5' ) b ^ Case Summary: Customer against member firm for excessive trading of his account for the sole

• r • New York Stock Exchange In the Matter of Arbitration Between Case: Fordcrof, Inc. v Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Jacqueline Bianco Docket Number: 2002-010605 Attomeys: For Gaimant(s): Louis F. Burke - New York, NY For Re5pondent(s): Dominick Evangelista - New York, NY Date Filed: 8/21 /2002 First Scheduled: 07/15/2003 Decided: io/i3/2005 Case Summary: Customer Claimant alleges negligence, failure to follo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03436 Richard Martens, claimant vs. Corey D. Lev and Salomon Smith Barney, Inc., respondents ATTORNEYS: Claimant appeared pro se, Jackson Heights, NY. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY DATE FILED: June 28, 2001 CASE SUMMARY: Claimant alleged that respondent negligently and without his knob ledge or authorization placed a buy order and a sell o

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael J. Sanford, Individually, and on behalf of the Sanford Enterprises SEP, and Michael J. Sanford and Kathryn A. Sanford, Joint Tenants with Right of Survivorship V. Merrill Lynch Pierce Fenner & Smith, Inc., Richard Waller Fitgerald, and Bobbi Jenee Lister Docket Number: 2002-010585 Attomeys: For Claimant(s): Clell Cunningham - Oklahoma City, OK William Feder