Finra Financial Industry Regulatory Authority INRADR In the Matter of Arbitration Between Case: James E. Maly vs. Morgan Stanley Docket: 2007-016751 Attorneys: For Claimant(s): James E. Maly - Ore Valley, AZ For Respondent(s): Eric M. Chial - Chicago, IL Date Filed: 5/30/2007 First Scheduled: 12/6/2007 Decided: 12/6/2007 Case Summary. Customer claimant alleges misrepresentotions about the rollover date of his Van Kampen Unit Trust and violations

Finra "-% FINRA DR In the Matter of Arbitration Between Case: Westminster Securities Corp. v. Alexander Komarovsky Docket: 2006-016634 Attorneys: For Claimant(s): Brian J. Neville - New York, NY For Respondent(s): Morris E. Barenbaum - Brooklyn, NY Date Filed: 11/17/2006 First Scheduled: 07/18/2007 Decided: 12-19-07 Case Summary: Claimant, a member firm, alleges breach of contract with respect to a customer agreement. Claimant also alleges u

Finra -•?r FINRA DR In the Matter of Arbitration Between Case: Charles H. Schwieger and Nancy K. Schwieger Individually, and as Trustees of the Schwieger Revocable Trust U/A/D 12/19/96 v Citigroup Global Markets, Inc. Docket 2006-016416 Attorneys: For Claimant(s): Steven D. Toskes - Boca Raton, FL For Respondent(s): Kelly J. Moynihan - San Francisco, CA Date Filed: 1/24/2006 First Scheduled: 10/04/2007 Decided: 12/03/07 Case Simmfiary: Custo

Finra'^ HNRADR In the Matter of Arbitration Between Case: Ruey Kao, Individually, and as Trustee of the Kao Family Living Trust dtd 3/30/00, Fang Fang, Individually, and as Trustee of the Kao Family Trust dtd 3/30/00 v. UBS Painewebber, Inc. Docket: 2005-016364 Attorneys: For Claimant(s): Steven D. Toskes - Boca Raton, FL For Respondent(s): Shont E. Miller - Los Angeles, CA Date Filed: 12/5/2005 First Scheduled: 09/20/2006 Decided! 2/7/07 Case S

Finra FINRA DR In the Matter of Arbitration Between Case: Peter R. Schleger v. Fahnestock & Company, Oppenheimer & Company, Phil Lifschitz, Steven Grodko Docket: 2006-016647 Attorneys: For Claimant(s): Peter R. Schleger - New York, NY For Respondent(s): John McGuire - New York, NY Date Filed: 12/11/2006 First Scheduled: 08/22/2007 Decided: ii/26/07 Case Summary: Customer claimant alleges misrepresentation, breach of fiduciary duty, and fraud in conn

Finra FINRA DR In the Matter of Arbitration Between Case: Lehman Brothers Inc. v William Rhines Docket: 2007-016682 Attorneys: For Qaimant(s): Christopher P. Litterio - Boston, MA For Respondent(s): William Rhines - Wayland, MA Date Filed: 2/16/2007 First Scheduled: Decided:^^/^^/2007 Case Simimary: Member Firm v Registered Representative, former employee, alleging breach of settlement agreement entered into by the parties for a balance from a f

Finra ^ FINRA DR In the Matter of Arbitration Between Case: Merrill Lynch and Carl J. Guillory v. Karen Keliehor Docket: 2006-016594 Attorneys: For Claimant(s): Judith A. Meyer - Houston, TX For Respondent(s): Karen Keliehor - Corpus Christie, TX Date Filed: 9/14/2006 Fu-st Scheduled: 10/10/2007 Decided: 11 /15/2007 Case Smiunary: Claimants, a Member Firm and Registered Representative, seek expungement of Mr. Guillory's CRD record with respect t

i Finra FINRA DR In the Matter of Arbitration Between Case: Linda DePaulis Travis v. Joseph Krenn and UBS PaineWebber as successor in interest to PaineWebber and UBS Financial Services, Inc. Docket: 2006-016521 Attorneys: For Claimant(s): Maurice A. Nernberg - Pittsburgh, PA For Respondent(s): Nicolas P. Vari - Pittsburgh, PA Date Filed: 5/30/2006 First Scheduled: 03/20/2007 Decided: 11/23/2007 Case Summary: Claimant, a public customer, alle

Finra V FINRA DR In the Matter of Arbitration Between Case: Myron Zellcr and Priscilla Zejler v. Edward Jones and Gary Duff Docket 2006-016648 Attorneys: For Claimant(s): Charles Hunter - Houston, TX For Respondent(s): Deborah B. Mcllhenny - Wichita, KS E. Jane Matocsian - St. Louis, MO Date Filed: 12/5/2006 First Scheduled: 08/28/2007 Decided: 10/23/2007 Case Summary: Customer Claimants allege breach of fiduciary duty, breach of contract,

Finr-a FINRA DR In the Matter of Arbitration Between Case: Stephanie E. Fox, Trustee v Paine Webber (UBS Paine Webber) Docket: 2006-016629 Attorneys: For Claimant(s): Stephanie E. Fox - Lajolla, CA For Respondent(s): Kathleen S. Adams - Los Angeles, CA Date Filed: 9/19/2006 First Scheduled: 04/26/2007 Decided: 12/6/2007 Case Summary: Customer claimant alleges overconcentration in Qualcomm stock and Pimco Innovation mutual fund, unsuitabiUty and