.A >lew York Stock Exchange -in the Matter of Arbitration Between NYSE Case: v. Merrill Lynch Attorneys: For ClainKmt(s): Vera E. Welling - Cincinnati, OH For Respondenl(s): Jonathan A. Schorr Esq. - New York, NY Date Filed: 11/21/94 First Scheduled: 09/14/95 Decided: 7-13-95 Case Summary: customer alleges that firm did not permit her to trade options and induced her to trade on margin which lead to negligible profits. Cl

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Douglas L. Wilson v 01-04936 Denver, Colorado Respondents / Counter-Claimants Stephen A. Kohn & Associates, LTD and Stephen A. Kohn REPRFXENTATIOP Douglas L. Wilson ("Claimant") was represented by Thomas J. Kimmell, Esq., of Zarlengo & Kimmell LLC, Denver, Colorado until his notice of withdrawal dated March 5, 2002. Thereaf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Gunnar & Company, LLC, Claimant v. Rhea H. Laws, Respondent. Case Number: 00-01334 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Joseph Gunnar & Company, LLC ("Gunnar"): Gregg R. Evangelist, Esq., of Joseph Gunnar & Company, LLC, located in New York, New York. Respondent, Rhea H. Laws ("Rhea Laws"): Daniel R. Kirshbaum of the firm of Alexrod, S

^New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ernest George and as Successor Trustee-Estate¥£ ot Alma George v Prudential Bache Sec. Inc. Grant Ross & Mike Zacarro Attorneys: For Ciaitrant(s): Robert H Wyshak Esq. - Beverly Hllb, CA For Reapondeiil(s): Oavid Becker Esq. - New York. NY Winiam S. Greenawalt Esq. - New York, NY Date Filed: 01/21/91 Case Summary: Customer v. First Scheduled: 07/18/91 Decided: 0

kV '• Finra Financial Industry Regulatory Authority FINRA DR In the Matter of Arbitration Between Case: Wachovia Securities, LLC v James ]. Konaxis Docket: 2006-016606 Attorneys: For Claimant(s): Pete S. Michaels - Boston, MA For Respondent(s): Grover S. Parnell - Boston, MA Date Filed: 10/4/2006 First Scheduled: 05/02/2007 Decided: 10/3/2007 Case Summary: Member firm Claimant alleges breach of contract in connection with the failure to repa

Finra FINRA DR In the Matter of Arbitration Between Case: Estate of Emily Lucy C. Burch by Lucy W. Corwin, Executor v. Citigroup Global Markets, Inc., Salomon Smith Barney, and Mark H. Tekamp Docket: 2005-015980 Attomeys: For aaimant(s): Denis P. Kelleher - New York, NY For Respondent(s): Jonathan C. Thau - New York, NY Date Filed: 2/1/2005 First Scheduled: 11/21/2005 Decided: 10/10/2007 Case Summary: Claimant customer alleges churning, unsuitab

Finra Financial Industry Regulatory Authority FINRA DR In the Matter of Arbitration Between Case: Charles McConahay v. Credit Suisse First Boston and Thomas Galvin Docket: 2004-015553 Attorneys: For Claimant(s]: Irwin Stein - Novate, CA Richard Sacks - Novato, CA Timothy A. Canning - Novato, CA For RespondentCs): Clifford Thau - New York, NY Jonathan DeGooyer - San Francisco, CA Date Filed: 6/18/2004 First Scheduled: 05/09/2005 D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert and Anne Rubins, Individually and as Trustees of the Albert Rubins Revocable Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent Case Number: 01-04935 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: David Harrison, Esq. The Law Offices of Spivak & Harrison Los Angeles, California For Respondent: Peter Brown Dol

]/' New York Stock Exchange In the Matter of Arbitration Between NYSE Case. V Ernst & Company Attorneys: For Claimant(s): Judy Y. Barrasso Esq. - New Orleans, LA For Respondenl(s): Michael H. Du Boff Esq. - New York, NY Frank E. Massengale Esq. - New Orleans, LA Date Filed: 10/20/1994 First Scheduled: 04/04/1995 Decided: 01/15/1996 Case Summary: Claimants allege that Respondent purchased derivative securities for their accoun

Stipulated Award NASD In the Matter of the Arbitration Between; Robert L. Knippenberg, Jr., Claimant v. PaineWebber Incorporated n/k/a UBS PaineWebber, Inc., Michael D. Dadko, Martin J. Sloane, and Stephen P. McGovern, Respondents Case Number: 01-04932 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Robert L. Knippenberg, Jr., hereinafter referred to as "Claimant": John A. Kovarik, Esq., West Palm Beach, FL. For PaineWebber Incorpora