Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Richard and Romualda Starosciak,JTTEN Name of the Respondents Prudential Securities, Inc., and Kevin S. Calabria C^e Number 01-04227 ing Site- Philadelphia, Pennsylvania RF.PRF.SKNTATTON OF PARTIES Claimants Richard and Romualda Starosciak JTTEN, hereinafter collectively referred to as "Claimants", were represented by Edwin L. Stock, Esq., Rolan

K*ltV< aura ^ the Matter of Arbitr&'^;?^e1?5'^«"'^*°^y*"*'°"*y Case: D;iniel Ketchum vs. UBS Financial Services Inc. Docket: 2005-016147 Attorneys: For Claimant(s): Jeffrey L. Liddie - New York, NY For Respondent(s): James A. Goodman - Los Angeles, CA Date Filed: 7/2J/2005 First Scheduled: 07/18/2006 Decided: 12/3/2007 Case Summary: Non-member claimant alleges tortious interference with prospective business advantage, slander, libel, injurio

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Tai Chee Kung v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number 2004-015882 Attorneys: For Claiinant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/29/2004 First Scheduled: 12/6/2005 Decided: 12/6/2005 Case Summary: Customer claimant alleges breach of contract, failure to comply wi

Nexv York Stodk EaaiiiaBge In vLe Matter of AsrbitnJlacii Betc^retoi O^j..,: Vito D'i'ijigeL) v. Mariil Lyiidi Vinrci: rciiiiCi & Smiili, Inc DD _;;c;i: ^iwiiiber: 2C04-015423 Attorney iS: Poi" Cbiit^ficcts): Debra "Bjrewer Hayes - Kingwood- TX For ResEpondcatCfi): Bill Powell Guest - OMalioma Ciry, OK D-iteFUed: 5/7/2004 FiirstSdiedulcd: 06/13/2005 DecuJed: ; / J i ? /o 5- ••••< •< .••-'"aM-n C:.::e S'luoinary: Qisromtr Claiiaant alle

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gerald A. Ulola vs. Morgan Stanley Dean Witter and David A. Gasman Attorneys: For Claimant(s): Gerald A. Liloia Esq. - l\^orristown, NJ For Respondent(s): Howard M. Sendrovitz Esq. - New York, NY Date Filed: 11/01/2000 First Scheduled: 02/13/2000 Decided: 08/08/2001 Case Summary: Customer vs. Member Finn and Registered Rep alleging ^ilure to follow instructions to se

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Glen Addley and Name of Respondents Russo Securities, Inc. and Dmitry "David" Revzin Case Number: 01-04225 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Glen Addley ("Claimant") was represented by Robert H. Weiss, Esq., and Rina Bersohn, Esq., Robert H. Weiss & Associates, P.C., Jericho, New York. Russo Securities, Inc. ("Russo") w

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: George H. Cray vs. Prudential Securities and Walter Jensen Attorneys: For Claimants): Anthony J. Horn Esq. - New York, NY For Respondent(s); William P. Thornton Jr. - Reading, PA Date Filed: 07/i 0/1997 First Scheduled: 10/20/1998 Decided: 07/10/2000 Case Summary: George Gray is a former registered representative of Prudential Securities. Walter Jensen was Prudential

Arbitration - case #2005-016147, Daniel Ketchum vs. UBS Financial Se Paye 1 of 3 Finra r FINRA DR In the Matter of Arbitration Between Case: Daniel Ketdiuni vs. UBvS Tinancial Services Inc. Docket 2005-01 (SI 47 Attorneys: For Claimant(s): Jeffrey 1... LidcUe - New York, NY For Respondent(s): James A. Goodman - Los Angeles, CA Date Filed: 7/21 /2005 First Scheduled: 07/18/2006 Decided: 12/3/2007 Case Summary: Non-member claimant alleges tortious

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anthony G. Bnizzese v. Richard A. Sampson and Prudential Securities Inc. Attorneys: For Claimant(s): Thomas Ml. Bruzzese Esq. - Wamick, Rl For Respondent(s): Jeanne Samuels Esq. - New Yoik, NY Date Filed: 11/17/1999 First Scheduled: O6/22/2000 Decided: 10/23/2000 Case Summary: Claimant aleges misrepresentation, churning, feHure to supervise, and unsuitable trading re

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Duncan W. Cameron and 93-04572 Name nf Respondent William J. Tryon REPRE.SFNTATTON OF PARTIES Duncan W. Cameron ("Claimant") was represented by Jeffrey C. Pond, Esq. of Cohen Brame & Smith, Denver, Colorado. William J. Tryon ("Respondent") were represented by Lisa S. Kahn, Esq. of Davis Graham & Stubbs, Denver, Colorado.