Finra FINRADR In the Matter of Arbitration Between Case: Advest Inc. v. Michel J. Lucie Docket 2003-011279 Attorneys: For Claimant(s): Thomas P. Byrne - Hartford, CT For Respondait(s): Michel J. Lucie - Norwood, MA Michel J. Lucie - Andover, MA Date Filed: 1/13/2003 First Scheduled: 10/14/2003 Decided: 10/14/2003 Case Summary: Member firm claimant alleges breach of contract and non-payment of Promissory Note. Product Promissory Note Mark

Finra FINRADR In the Matter of Arbitration Between Case: Mohammad Naroor and Shaheen A. Qureshi v. Charles Schwab, Inc., Rizwan Gondal, and Gondal Asset Management, Inc. Docket2002-011154 Attorneys: For Claimant(s): Romaine Gardner - New York, NY For Respondait(s): Garrett Wynne - San Francisco, CA Rizwan Gondal - Long Island City, NY Satish Bhatia - New York, NY Date Filed: 12/19/2002 First Scheduled: 09/24/2003 Decided: 9/26/2004 Case

Finra FINRADR In the Matter of Arbitration Between Case: Amit Solomon v Salomon Smith Barney, Inc. Docket 2002-010349 Attorneys: For Claimant(s): Marc O. Sheridan - New York, NY For Respondent(s): Jill Rosenberg - New York, NY Date Filed: 6/7/2002 First Scheduled: 12/11/2002 Decided: 2/5/2004 Case Summary: Former registered representative against member firm for failure to pay previously agreed bonus. Product Market fTlaifn; Claim

Finra FINRADR In the Matter of Arbitration Between Case: Steven Goldstein v. J.P. Morgan Securities Inc., Michael Rice and Scott Shilstat Docket: 2002-010416 Attorneys: For CIaimant(s): Orin Snyder - New York, NY For Respondait(s): Michael J. McAllister - New York, NY Date Filed: 7/1/2002 First Scheduled: 09/09/2003 Decided: 7/18/2005 Case Summary: Customer claimants allege unauthorized and unsuitable trading, over- concentration in speculative

Finra FINRADR In the Matter of Arbitration Between Case: Rose W. Beaudry and Gerald J. Beaudry, Gerald J. Beaudry, IRA, and Rose W. Beaudry, IRA v. Morgan Stanley Dean Witter and Michael Seymour Docket: 2002-010069 Attorneys: For Claimant(s): Debra G. Speyer - Philadelphia, PA For Respondent(s): Jason Fedo - West Palm Beach, FL Date Filed: 3/21/2002 First Scheduled: 06/23/2004 Decided: 9/28/2005 Case Summary: Claimants customers allege negligenc

Finra FINRADR In the Matter of Arbitration Between Case: Sigurd Hoyer-Ellefsen v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch 8c Compan Docket: 2002-009953 Attorneys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Fran Chlapowski - New York, NY Date Filed: 2/15/2002 First Scheduled: 04/14/2003 Decided: 7/24/2003 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity require

Finra FINRADR In the Matter of Arbitration Between Case: Nancy Horch, as Executor of the Estate of Barbara MacLean v A.G. Edwards 8c Sons, Inc., and Lydia Borgatta Docket: 2002-009743 Attorneys: For Claimant(s): Roy L. Jacobs - New York, NY For Respondent(s): Joel E. Davidson - Northvale, NJ Date Filed: 12/24/2001 First Scheduled: 11/14/2003 Decided: 2/13/2004 Case Summary: Executrix allege that the registered representative and the firm illegal

Finra FINRADR In the Matter of Arbitration Between Case: Jay Hoge v Sands Brothers & CO.,LTD., Stephen Soler, William Anthony lommi, Sr., Martin Scott Sands and Steven Brett Sands and Does 1 through 20. Docket 2001-009402 Attorneys: For Claimant(s): Orousha Brochious - Beverly Hills, CA Philip M. Aidikoff - Beverly HiUs, CA For Respondent(s): Richard A. Roth - New York, NY Date Filed: 9/5/2001 First Scheduled: 04/01/2002 Decided: 7/14/20

Finra FINRADR In the Matter of Arbitration Between Case: Denncy Parker v. A.G. Edwards & Sons and Mazimo Lopez Docket 1999-007808 Attorneys: For Claimaiit(s): Christopher G. Lundberg - Portland, OR For Respondent(s): Michael Naccarato - St. Louis, MO Date Filed: 5/28/1999 First Scheduled: 11/15/1999 Decided: 3/1/2002 Case Summary: Claimant, a public customer, alleges fraud, misrepresentation, SEC Rule violations, unsuitability, unauthori

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the Claimant f!asft Nnm'her: RadeB.Vukmir 01-05097 Name nf the Respondents Hiring Site* Pittsburgh, PA J.J.B. Hilliard, W. L. Lyons, Inc. Jeffrey A. Nedley Norma Hajduk Kenneth L. Wagner James A. Francis RFPRFSFNTATTON OF PARTTFS Claimant, Rade B. Vukmir ("Vukmir"), hereinafter referred to as "Claimant", represented himself at the hearing. Respondents,