V~(?!4~ LEONARD MARTINO Foil Clerk. January 8,2010. Stuart D. Meissner, LLC 450 Seventh Avenue Ste.2205 New York, NY 10123

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1 ANDREW M. CUOMO STATE OF NEW YORK ERIC CORNGOLD Attorney General Executive Deputy Attorney General OFFICE OF THE ATTORNEY GENERAL Division of Economic Justice DAVID A. MARKOWITZ Bureau Chief (212) Investor Protection Bureau January 8,2010 Stuart D. Meissner, LLC 450 Seventh Avenue Ste.2205 New York, NY Re: Rosalie Fields Ref. # Dear Mr. Meissner: We are in receipt ofyour check # 2648 in the amount of$ 3.50 dated 01/05/1 0 for copy charges. Enclosed is a Central Registration Depositoryprintout relative to the above individual/finn. Please note that the presence or absence of complaints and actions against an individual does not necessarily reflect upon their business practice. Enc. If you have any questions, please do not hesitate to contact our office. V~(?!4~ LEONARD MARTINO Foil Clerk 120 Broadway, New York, NY * Phone (212) * Fax (212)

2 CRD~ or IARD(SM) System Current As Of: 12/27/2009 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 3 of 21 Individual Administrative Information Composite Information Full Legal Name Year of Birth State of Residence FIELDS, ROSALIE HODES FIELDS, ROSALIE HODES 1951 NY Active Employments Current Employer Firm Main Address Firm Mailing Address JANNEY MONTGOMERY SCOTT LLC(463) 1801 MARKET STREET PHILADELPHIA PA, UNITED STATES MARKET STREET PHILADELPHIA PA, UNITEDSTATES Business Telephone# Independent Contractor Office of Employment Address CRD NYSE Branch Firm Billing Registered Private Address Branch# Code# Code Location? Residence? Start Date Yes 12122/2008 Address Reportable Disclosures? Statutory Disqualification? Registered With Multiple Firms? 575 LEXINGTON AVENUE, 34TH & 35TH FLOORS NEW YORK, NY UNITED STATES Yes BLNK Material Difference in Disclosure? Address End Date Type of Office Located At Registrations with Current Employer(s) From 12/ To Present Regulator Registration Category AR CA CO CO CT RA CT FINRA GS FL FL JANNEY MONTGOMERY SCOTT LLC(463) Status Date Registration Status 01/22/ /11/ /06/2009 TEMP_WD 01/05/ /07/ /04/2009 T_NOREG 12/24/2008 TEMP_WD Approval Date. 02/11/ /05/2009 CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

3 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 4 of 21 Individual FIELDS, ROSALIE HODES Administrative Information Registrations with Current Employer(s) Regulator Registration Category IL IN MA MA MD ME MI MN MI\I NC NJ NJ NQX GS NY NYSE GS OH OH PA PHLX GS TX TX RA UT VA VT Registrations with Previous Employer(s) Status Date 12/24/ /02/ /02/ /05/ /18/ /26/ /20/2009 '12/26/ /22/ /13/ /02/ /07/ /07/2009, 01107/ /22/ /24/ /24/ /25/ /16/ /02/ /24/ /13/2009 Registration Status. TEMP_WD TEMP_WD TEMP_WD TEMP_WD TERMED _RES. Approval Date 12124/ /02/ /18/ /26/ /20/ /13/ / / /02/ /24/ /2008 From 03/18/1985 To 12/01/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED(7691) Reason for Termination Discharged Termination Comment MS. FIELDS WAS TERMINATED ON DECEMBER 1,2008,AFTER THE FIRM DETERMINED THAT SHE HAD REPORTED THAT A CLIENT COMPLAINT WAS WITHDRAWN WHEN,IN FACT, IT HAD BEEN SETTLED. Regulator Registration Category Status Date Registration Status Approval Date AMEX GS 12/03/2008 TERMED 04/03/1988 AR 12/03/2008 TERMED 06/14/2001 ARCA GS 12103/2008 TERMED 10/11/1992 AZ. 12/31/2007 TERMED 06/30/2004 CA 12/03/2008 TERMED 09/06/1985 CBOE GS 12/03/2008 TERMED 03/03/1991 CO 12/03/2008 TERMED 05/05/1993 CT 12/03/2008 TERMED OS/27/1986 CT RA 12/03/2008 TERMED 04/10/2007 DC 12/31/2007 TERMED 04/17/1998 DE 12/ ' TERMED 07/08/1994 CRD or IARD(SM) System Report.- See notice regarding CRD Data on cover page.

4 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 5 of 21 Individual FIELDS, ROSALIE HODES Administrative Information Registrations with Previous Employer(s) Regulator Registration Category Status Date Registration Status Approval Date FINRA GS 12/03/2008 TERMED 07/12/1985 FL 12/03/2008 TERMED 05/27/1986 GA 12/31/2004 TERMED 04/08/1988 HI T_NOREG IA 12/31/2004. TERMED 01/17/1989 IL 12/03/2008 TERMED 06/05/1987 IN 12/03/2008 TERMED 09/22/1997 ISE GS 12/03/2008 TERMED 01/26/2008 KS 12/31/2007 TERMED 03/06/2000 MA 12/03/2008 TERMED 07/08/1987 MD 12/03/2008 TERMED 06/30/1986 ME 12/03/2008 TERMED 06/02/1997 MI 12/31/2004 TERMED 09/21/1988 MN 12/03/2008 TERMED 04/20/2005 MN 12/31/2004 TERMED 03/17/2004 MN 12/31/1995 TERMED 08/25/1992 MO 09/29/2004 T_NOREG MO 12/31/1995 TERMED 09/21/1987 NC 12/03/2008 TERMED 07/10/1987 NH 12/03/2008 T_NOREG NH 12/31/2004 TERMED 02/07/1991 NJ 12/03/2008 TERMED 04/18/1986 NM 12/31/1995 TERMED 04/06/1993 NQX GS 12103/2008 TERMED 07/ NV 12/31/2004 TERMED 06/08/2004 NY 12/03/2008 TERMED 06/ NYSE GS 12/03/2008 TERMED 07/15/1985 OH 12/03/2008 TERMED 01/03/1989 OR 12/31/2005 TERMED 06/18/2004 OR 12/31/2002 TERMED 01/06/1994 PA 12103/2008 TERMED 09/04/1987 PHLX GS 12/03/2008 TERMED 10/16/1993 SC 08/ T_NOREG SC 12/31/1993 TERMED 04/27/1990 TX 12/03/2008 TERMED 03/21/2001 TX RA 12/03/2008 TERMED 11/21/1996 TX 12/31/1997 TERMED 11/21/1996 UT 12/03/2008 TERMED 04/19/2004 VA 12/03/2008 TERMED 03/29/1990 VT 12/03/2008 TERMED 01/14/2008 VT 12/31/2007 TERMED 06/16/2004 VT 12/31/1995 TERMED 05/24/1993 WA 12/31/2007 TERMED 06/13/2001 CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

5 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 6 of 21 Individual FIELDS, ROSALIE HODES Administrative Information Registrations with Previous Employer(s) Regulator Registration Category Status Date Registration Status Approval Date WI 12/31/2004 TERMED 02/14/1995 Examination Information Exam Status Status Date Exam Date Grade Score Window Dates S7 OFFICIAL_RESULT 05/18/ /18/1985 PASSED 82 S63 OFFICIAL_RESULT 06/10/ /10/1985 PASSED 80 S65 EXPIRED 08/09/ /10/ /08/2007 S65 EXPIRED 08/23/ S65 EXPIRED 05/03/ S65 EXPIRED 11/05/ S65 EXPIRED 06/07/ S65 EXPIRED 01/04/ S65 EXPIRED 08/22/ S65 OFFICIAL_RESULT 05/16/ /16/1995 FAILED 69 S65 EXPIRED S65 OFFICIAL_RESULT 11/07/ /07/1994 FAILED 68 S65 OFFICIAL RESULT 08/ /03/1994 FAILED 65 CRD or IARD(SM) System Report _. See notice regarding CRD Data on cover page.

6 Snapshot:- Individual Request Submitted: 12/30/20092:28:26 PM Page 7 of 21 Individual FIELDS, ROSALIE HODES Number of Bankruptcy 0 Bond 0 Civil Judicial 0 Criminal 0 Customer Complaint 3 Internal Review 0 Investigation 0 Judgement/Lien 0 Regulatory Action 0 Termination 1 Occurrence# Disclosure Type Customer Complaint FINRA Public Disclosable Yes Reportable Yes Material Difference in Disclosure. Filing ID Form (Form Version) U4 (10/2005) Filing Date 12123/ JANNEY MONTGOMERY SCOTT LLC Disclosure Questions Answered 141(3)(a) Customer Complaint DRP DRP Version 10/ Customer name(s): 2. Customer(s) state of residence: JEFF PRER New York Other state(s) of residence/detail: 3. Employing firm: 4. Allegation(s): 5. Principal product type: MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MADE MISREPRESENTATIONS AND AN UNAUTHORIZED TRADE IN CONNECTION WITH THE PURCHASE OF PREFERRED STOCK. DAMES UNSPECIFIED. Equity Listed (Common & Preferred Stock) Other product types: 6. Alleged compensatory damages: 7. Date complaint received/explanation: 8. Currently pending: 9. Status: 10. Status date/explanation: 11. Settlement amount: 12. Individual contribution amount: $ /17/2008 Settled 10/28/2008 $9, $0.00 CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

7 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 8 of 21 Individual FIELDS, ROSALIE HODES 13. Arbitration/Reparation claim filed with, DocketiCase#: 14. Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 20. Court, DocketiCase#: 21. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: SUBSEQUENT TO COMPLAINT BEING RECEIVED, CLIENT MET WITH THE REGISTERED REPRESENTATIVE AND THE BRANCH MANER. AT THAT MEETING THE CLIENT ACKNOWLEDGED THAT THE REGISTERED REPRESENTATIVE HAD DISCUSSED THE INVESTMENT WITH HIM AND THAT THE TRADES WERE AUTHORIZED. THEREAFTER, THE BRANCH MANER INFORMED THE REGISTERED REPRESENTATIVE THAT THE CLIENT HAD WITHDRAWN HIS COMPLAINT AND ADVISED THE REGISTERED REPRESENTATIVE TO REPORT THE EVENT IN THIS MANNER. Filing ID Form (Form Version) U5 (10/2005) Filing pate 12105/ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 7E(3)(a) 1. Customer name(s): 2. Customer(s) state of residence: Other state(s) of residence/detail: JEFF PRER New York 3. Employing firm: MERRILL LYNCH PIERCE FENNER & SMITH, INC CRD or IARD(SM) System Report.- See notice regarding CRD Data on cover page.

8 Snapshot - Individual Request Submitted:. 12/30/20092:28:26 PM Page 9 of 21 Individual FIELDS, ROSALIE HODES 4. Allegation(s): CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MADE MISREPRESENTATIONS AND AN UNAUTHORIZED TRADE IN CONNECTION WITH THE PURCHASE OF PREFERRED STOCK. DAMES UNSPECIFIED. 5. Principal product type: Equity Listed (Common & Preferred Stock) Other product types: 6. Alleged compensatory damages: $ Date complaint 09/17/2008 received/explanation: 8. Currently pending: 9. Status: Settled 10. Status date/explanation: 10/28/ Settlement amount: $9, Individual contribution amount: $ Arbitration/Reparation claim filed with, DockeVCase#: 14. Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 20. Court, DockeVCase#: 21. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: WITHDRAWAL WAS REPORTED IN ERROR. Occurrence# Disclosure Type Termination FINRA Public Disclosable Yes Reportable Yes Material Difference in Disclosure CRD or IARD(SM) System Report _. See notice regarding CRD Data on cover page.

9 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 10 of 21 Individual FIELDS, ROSALIE HODES Filing Form (Form Version) U4 (10/2005) Filing Date 12123/ JANNEY MONTGOMERY SCOTT LLC Disclosure Questions Answered 14J(1) Termination DRP DRP Version 10/ Firm name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 2. Termination type: Discharged 3. Date filed/explanation: 12/01/ Allegation(s): MS. FIELDS WAS TERMINATED ON DECEMBER 1,2008,AFTER THE FIRM DETERMINED THAT SHE HAD REPORTED THAT A CLIENT COMPLAINT WAS WITHDRAWN WHEN,IN FACT, IT HAD BEEN SETTLED. 5. Principal product type: Equity Listed (Common & Preferred Stock) Other product type: 6. Comment: Filing Form (Form Version) U5 (10/2005) Filing Date 12/09/ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 7F(1) Termination DRP DRP Version 10/ Firm name: MERRILL LYNCH PIERCE,FENNER,&SMITH INC, 2. Termination type: Discharged 3. Date filed/explanation: 12101/ Allegation(s): MS. FIELDS WAS TERMINATED ON DECEMBER 1,2008,AFTER THE FIRM DETERMINED THAT SHE HAD REPORTED THAT A CLIENT COMPLAINT WAS WITHDRAWN WHEN,IN FACT,IT HAD BEEN SETTLED. 5. Principal product type: Other Other product type: 6. Comment: MS. FIELDS INFORMED THE FIRM THAT HER BRANCH MANER ADVISED HER TO REPORT THE EVENT IN THIS MANNER. Occurrence# FINRA Public Disclosable Material Difference in Disclosure Yes Disclosure Type Reportable Customer Complaint Yes Filing 10 Filing Date /05/2009 Form (Form Version) U4 (10/2005) JANNEY MONTGOMERY SCOTT LLC CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page.

10 Snapshot ~ Individual Request Submitted: 12/30/20092:28:26 PM Page 11 of 21 Individual FIELDS, ROSALIE HODES Disclosure Questions Answered 141(3)(a) 1. Customer name(s): 2. Customer(s) state of residence: Other state(s) of residence/detail: 3. Employing firm: 4. Allegation(s): 5. Principal product type: Other product types: 6. Alleged compensatory damages: 7. Date complaint received/explanation: 8. Currently pending: 9. Status: 10. Status date/explanation: 11. Settlement amount: 12. Individual contribution amount: 13. Arbitration/Reparation claim filed with, DockeUCase#: MAUREEN O'SULLIVAN New Jersey MERRILL LYNCH, PIERCE, FENNER, & SMITH INCORPORATED CUSTOMERS ALLEGED AN UNSUITABLE INVESTMENT,IN A FANNIE MAE PREFERRED STOCK Equity Listed (Common & Preferred Stock) $20, /20/2009 Denied 02/25/ Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation:' 18. Compensation amouot: 19. Individual contribution amount: 20. Court, DockeUCase#: 2,1. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

11 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 12 of 21 Individual FIELDS, ROSALIE HODES 27. Appeal date/explanation: 28. Comment: Filing ID Form (Form Version) U5 (10/2005) Filing Date 03/ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 7E(3)(a) 1. Customer name(s): MAUREEN O'SULLIVAN 2. Customer(s) state of residence: New Jersey Other state(s) of residence/detail: 3. Employing firm: MERRILL LYNCH, PIERCE, FENNER, & SMITH INCORPORATED 4. Allegation(s): CUSTOMERS ALLEGED AN UNSUITABLE INVESTMENT IN A FANNIE MAE PREFERRED STOCK. 5. Principal product type: Equity Listed (Common & Preferred Stock) Other product types: 6. Alleged compensatory damages: $20, Date complaint 02/20/2009 received/explanation: 8. Currently pending: 9. Status: Denied 10. Status date/explanation: 02/25/ : Settlement amount: 12. Individual contribution amount: 13. Arbitration/Reparation claim filed with, DocketlCase#: 14. Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 20. Court, DocketlCase#: CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page.

12 CRD or IARD(SM) System Current As Of: 1'2/27/2009 Snapshot - Individual, Request Submitted: 12/30/20092:28:26 PM Page 13 of 21 Individual FIELDS, ROSALIE HODES 21. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: Occurrence# FINRA Public Disclosable Material Difference in Disclosure Yes Disclosure Type Reportable Customer Complaint Yes Filing ID Filing Date Disclosure Questions Answered /03/2009 Form (Form Version) U4 (05/2009) JANNEY MONTGOMERY SCOTT LLC 141(5)(a) Customer Complaint DRP DRP Version OS/ Customer name(s): FERN AND JACOB LAMBROZA 2. Residence information: A. Customer(s) state of residence: New York B. Other state(s) of residence/ detail: 3. Employing firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 4. Allegation(s): THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION. 5. Product type(s): Equity Listed (Common & Preferred Stock) 6. Alleged compensatory damage amount: $183, Explanation: 7. Customer complaints: A. Oral complaint: B. Written complaint: Yes C. Arbitration/CFTC reparation or civil Yes litigation: i. Arbitration/Reparation forum FINRA court name/location: ii. Docket/Case#: CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

13 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 140f 21 Individual FIELDS, ROSALIE HODES Customer Complaint DRP DRP Version OS/2009 iii. Arbitration or civil litigation filing 07/10/2009 date: D. Date received by/served on 07/27/2009 firm/explanation:. 8. Arbitration/CFTC reparation, civil Yes litigation pending: 9. Complaint, arbitration/cftc reparation or civil status: 10. Status date/explanation: 11. Settlement/Award/Monetary judgment:. A. Award amount: B. Contribution amount: 12. Arbitration/CFTC reparation information: A. Arbitration/CFTC reparation claim filed with: B. Docket/Case#: C. Date notice/process was served/explanation: 13. Pending arbitration/ CFTC reparation: 14. Disposition: 15. Disposition date/explanation: 16. Monetary compensation details: A. Total compensation amount: B. Contribution amount: 17. Court in which case was filed: A. Name of court: B. Location of court: C. Docket/Case#: 18. Date notice/process was served/explanation: 19. Pending civil litigation: 20. Civil litigation status: 21. Disposition date/explanation: 22. Monetary compensation details: CRD or IARD(SM) System Report - See notice regarding CRD Data on cover page.

14 Snapshot Individual.CRD or IARD(SM) System Report provided to:. New York Request Submitted: 12/30/20092:28:26 PM Page 15 of 21 Individual FIELDS, ROSALIE HODES Customer Complaint DRP DRP Version OS/2009 A. Total compensation amount: B. Contribution amount: 23. If action is currently on appeal: A. Appeal date/explanation: B. Court appeal filed with: i. Name of court: ii. Location of court: iii. DockeUCase#: 24. Comment: IT IS MY UNDERSTANDING THAT THE CUSTOMER DID NOT SUBMIT A PRIOR WRITTEN CUSTOMER COMPLAINT. Filing Form (Form Version) US (05/2009) Filing Date 08/14/ MERRILL LYNCH, PIERCE, FENNER& SMITH INCORPORATED Disclosure Questions Answered 7E(5)(a) Customer Complaint DRP DRP Version OS/ Customer name(s): FERN AND JACOB LAMBROZA 2. Residence information: A. Customer(s) state of residence: New York B. Other state(s) of residence/ detail: 3. Employing firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 4. Allegation(s): THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION. 5. Product type(s): Equity Listed (Common & Preferred Stock) 6. Alleged compensatory damage amount: $183, Explanation: 7. Customer complaints: A. Oral complaint: B. Written complaint: Yes C. Arbitration/CFTC reparation or civil Yes litigation: i. Arbitration/Reparation forum FINRA court name/location: ii. DockeUCase#: CRD or IARD(SM) S~stem Report See notice regarding CRD Data on cover page.

15 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 16 of 21 Individual FIELDS, ROSALIE HODES Customer Complaint DRP DRP Version OS/2009 iii. Arbitration or civil litigation filing date: 07/10/2009 D. Date received by/served on 07/27/2009 firm/explanation: 8. Arbitration/CFTC reparation, civil Yes litigation pending: 9. Complaint, arbitration/cftc reparation or civil status: 10. Status date/explanation: 11. SettlemenUAward/Monetary judgment: A. Award amount: B. Contribution amount: 12. Arbitration/CFTC reparation information: A. Arbitration/CFTC reparation claim filed with: B. DockeUCase#: C. Date notice/process was served/explanation: 13. Pending arbitration/ CFTC reparation: 14. Disposition: 15. Disposition date/explanation: 16. Monetary compensation details: A. Total compensation amount:. B. Contribution amount: 17. Court in which case was filed: A. Name of court: B. Location of court: C. DockeUCase#: 18. Date notice/process was served/explanation: 19. Pending civil litigation: 20. Civil litigation status: 21. Disposition date/explanation: 22. Monetary compensation details: CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page.

16 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 17 of 21 Individual FIELDS, ROSALIE HODES Customer Complaint DRP DRP Version OS/2009 A. Total compensation amount: B. Contribution amount:. 23. If action is currently on appeal: A. Appeal date/explanation: B. Court appe~1 filed with: i. Name of court: ii. Location of court: iii. DockeUCase#: 24. Comment: Regulator Archive and Z Records Occurrence# FINRA Public Disclosable Material Difference in Disclosure Disclosure Type Reportable Customer Complaint Filing ID Filing Date /06/1999 Form (Form Version) U4 (08/1999) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 1. Customer name(s): ROBERTJ.HUNT 2. Customer(s) state of residence: Other state(s) of residence/detail: 3. Employing firm: MERRILL LYNCH PIERCE FENNER & SMITH 4. Allegation(s): THE CUSTOMER SOUGHT DAMES OF $12,684, CHARGING THAT MS. FIELDS MISREPRESENTED THE YIELDS ON THREE CORPORATE BOND FUNDS. 5. Principal product type: Other product types: 6. Alleged compensatory damages: $12, Date complaint received/explanation: 8. Currently pending: 9. Status: Arbitration/Reparation 10. Status date/explanation: CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page.

17 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 18 of 21 Individual FIELDS, ROSALIE HODES Regulator Archive and Z Records Customer Complaint DRP 11. Settlement amount: 12. Individual contribution amount: 13. Arbitration/Reparation claim filed with, Docket/Case#: DRP Version 10/2005 National Association of Securities Dealers, Inc.; Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 01/01/1989 Other 01/30/1990 $ Court, Docket/Case#: 21. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: Filing ID Filing Date 07/07/1999 UNKNOWN Disclosure Questions Answered SRO Arbitration/Reparation DRP 1. Case name: 2. Arbitration/Reparation filed with: 3. Date case initiated: 4. Case number: 5. Employing firm: 6. Allegation(s): AFTER A HEARING, THE CASE WAS DISMISSED BY AN ARBITRATION PANEL. t Provided Form (Form Version) U6 (08/1999) DRP Version 10/2005 ROBERT J HUNT V MERRILL LYNCH PIERCE FENNER & SMITH AND ROSALIE FIELDS NASD 01/01/ MERRILL LYNCH PIERCE FENNER & SMITH MISREPRESENTATION; OMISSION OF FACTS CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

18 Snapshot Individual Request Submitted: 12/30/20092:28:26 PM Page 19 of 21 Individual FIELDS, ROSALIE HODES Regulator Archive and Z Records SRO Arbitration/Reparation DRP DRP Version 10/ Principal product type: Other product types: 8. Alleged compensatory damages: $12, Currently pending resolution: Resolution: Other Date resolved: 01/30/ Disposition details: CASE IS CLOSED, BY HEARING ACTUAUCOMPENSATORY DAMES, RELIEF REQUEST HASBEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FUL Occurrence# FINRA Public Disclosable Material Difference in Disclosure Disclosure Type Reportable Customer Complaint Filing ID Filing Date /28/2008 Form (Form Version) U4 (10/2005) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 141(3)(a) 1. Customer name(s): PAULAONET 2. Customer(s) state of residence: New York Other state(s) of residence/detail: 3. Employing firm: MERRILL LYNCH 4. Allegation(s): CUSTOMER ALLEGES HER FINANCIAL ADVISOR PLACED 65% OF HER FUNDS IN HIGH TECHNOLOGY INVESTMENTS THAT WERE NOT SUITABLE. NO DAMES SPECIFIED. 5. Principal product type: Mutual Fund(s) Other product types: 6. Alleged compensatory damages: $ Date complaint 04/10/2002 received/explanation: 8. Currently pending: 9. Status: Action 10. Status date/explanation: 08/25/2004 CRD or IARD(SM) System Report See notice regarding CRD Data on cover page.

19 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 20 of 21 Individual FIELDS, ROSALIE HODES Regulator Archive and Z Records 11. Settlement amount: 12. Individual contribution amount: 13. Arbitration/Reparation claim filed with, DocketiCase#: 14. Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 20. Court, DocketiCase#: 21; Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: Occurrence# FINRA Public Disclosable Material Difference in Disclosure Disclosure Type Reportable Customer Complaint Filing 10 Filing Date /28/2008 Form (Form Version) U4 (10/2005) MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Disclosure Questions Answered 141(3)(a) 1. Customer name(s): GARY JACOBSON 2. Customer(s) state of residence: New York Other state(s) of residenceldetail: 3. Employing firm: MERRILL LYNCH 4. Allegation(s): CLIENT CLAIMS THAT FINANCIAL ADVISOR MADE UNSUITABLE RECOMMENDATIONS. DATES NOT SPECIFIED. CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page..

20 Snapshot - Individual Request Submitted: 12/30/20092:28:26 PM Page 21 of 21 Individual FIELDS, ROSALIE HODES Regulator Archive and Z Records Customer Complaint DRP DRP Version 10/ Principal product type: Mutual Fund(s) Other product types: 6. Alleged compensatory damages: 7. Date complaint received/explanation: 8. Currently pending: 9. Status: 10. Status date/explanation: $100, /12/2002 Action 08/25/ Settlement amount: 12. Individual contribution amount: 13. Arbitration/Reparation claim filed with,dockeucase#: 14. Date notice served/ Explanation: 15. Arbitration/Reparation pending: 16. Disposition: 17. Disposition date/explanation: 18. Compensation amount: 19. Individual contribution amount: 20. Court, DockeUCase#: 21. Date/Explanation: 22. Litigation pending: 23. Disposition: 24. Date/Explanation: 25. Compensation amount: 26. Individual contribution amount: 27. Appeal date/explanation: 28. Comment: AT THE REQUEST OF THE CLIENTS, MERRILL LYNCH REVIEWED THE ACCOUNTS IN OCTOBER THE COMPLAINT WAS FOUND TO BE WITHOUT MERIT AND THE CLAIM DENIED. CRD or IARD(SM) System Report -- See notice regarding CRD Data on cover page.

RULE 2.4: LAWYER SERVING

American Bar Association CPR Policy Implementation Committee Variations of the ABA Model Rules of Professional Conduct RULE 2.4: LAWYER SERVING AS THIRD-PARTY NEUTRAL (a) A lawyer serves as a third-party