New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott LLC v. Thomas O. Mudd. Ill and Westgreen Holdings, LLC Attorneys: For Claimani(5): Came Chelko &q. - Philadelphia, PA For Respondeiil(s): Paul D. Radc Esq. - Houston, TX Date Filed: oi/02/200l First Scheduled: 07/17/2001 Decided: 11/12/2001 Case Summary: Claimant, a member firm, alleges breach of contract, misrepresentation, fraud and viol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John T. Chiu as Trustee of The Allergy Medical Group Pension Plan, Young Bin Im, Junk Sook Im, Sang G. Park, Young Jo Shin, Young Ja Shin, Steven Park, Kay Park, Young H. Lee, and Ou Ai Lee, Claimants v. The Equitable Life Assurance Society, AXA Advisors, LLC, Young Min "Michael" Kim, Jae Y. Lim, and Yojin Jung, Respondents Case Number: 01-03897 Hearing Site: Los Angeles, California

\New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Simon Goren v. T.D. Waterhouse, Inc. Attomeys: For Claimant(s): Simon Goren - Middle Village, NY For Responderrt(s)- . ^^ April Chung Esq. - '^6*' '0'^'^. ''•' Date Filed: 01/05/2001 Case Summary: Simon Goren, telephone touch tone system. First Scheduled: 06/06/2001 Decided: 6/28/2001 a customer of TO Waterhouse.lnc, alleges ttiat T.D. Watertiouse,not«>roperty e

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: J. Steptien Russell and Anne P. Russell v. Morgan Stanley Dean Witter and Paul G. Shea Attomeys: For Claimant(s): J. Stephen Russell - Worton. MD For Respondent(s): Richard Smitti Esq. - New Yoric, NY Date Filed: 12/18/2000 First Scheduled: 04/20/2001 Decided: Case Summary: Claimants, public customers, atege mismanagement and negligence against respondents, a rep

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elizabeth Diamond v. John Goordman Attorneys: For Claiinant(5): Elizabetti Diamond - BaltiniorB, MD For Respondent(s): Ann Parry Esq. - New York, NY Date Fiied: 12/22/2000 First Scheduied: 03/07/2001 Oecided: 03/30/2001 Case Summary: Clainnant, a public customer, alleges unauthorized trading regarding a sale of Meristar Hospitality Corporation. Claimant seelcs da

New York Stock Exchange NYSE In the Matter of Arbitration Betwcta Case: Ladenburg Thalmann & Co. Inc. v James L Pulver Attorneys: For Clalinant(s): OavM Hirschberg Esq. • Mitchel Field. NY For RMpond«nt(5): James L Pulver - Boca Raion, PL Date Filed: 05/19/2000 First Sch.idul«d: 03/07/2001 Dedded: 03/07/2001 Case Summary: Member firm claimant alleges breach otc-innci and non-paymentofpretnissory notes. product •'ROMissoRY NOTE Market Ciaim D

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. G. Joseph Hayes Docket Number: 2004-015561 Attomeys: For Gaimant(s): Carrie L. Chelko Philadelphia, PA For Respondent(s): G. Joseph Hayes - Kingston, MA Date Filed: 6/28/2004 First Scheduled: 06/21/2005 Dedded: 6/21/2005 Case Summary: Member Firm v. Registered Representative (former employee) seeking to recover amounts all

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mark Ellis vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015274 Attorneys: For Claimant(s): Debra B. Hayes - Kingwood, TX For Respondent(s): Neil S. Baritz - Boca Raton, FL Date Filed: 4/14/2004 First Scheduled: 7/26/2004 Decided: 6/6/2005 Case Summary: Customer alleges violations of securities laws and SRO rules, negligence, misre

y\-Ho-'Ccdv • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Attwood v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel Leigh and Scott Simon Docket Number: 2003-014831 Attomeys: For Claimant(s): A. Daniel Woska - Oklahoma City, OK James R Tourtellotte - Oklahoma City, OK For Respondent(s): P. David Newsome - Oklahoma City, OK Robert J Carlson - Oklahoma City, OK Date Filed: 12/1/2003 First

i NYSE New York Stock Exchange In the Matter of Arhitration Between Case: Patrick L. Grimaldi and Frances R. Grimaldi v Salomon Smith Barney Inc., Raymond Abbate, and Jack Grubman Docket Number: 2003-012087 Attomeys: For Gaunant(s): Robert D. Zatorski - Saddle Brook, NJ For Respondent(s): Edward Turan - New York, NY Edward Zipf- New York, NY Date Filed: 7/14/2003 First Scheduled: 12/06/2004 Dedded: 07/19/2005 Case Summary: Cu