jNew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard W. Kates v. Deutsche Bank Attomeys: For Clalmant(s): Jeffrey L LkkJie Esq. - New Yori(. NY For Respondent(s): Peter Altieri Esq. - New Yori< , NY Date Filed: 12/17/1998 First Scheduled: 06/01/1999 Decided: 07/13/20OI Case Summary: Claimant a registered representative, alleges defamation, wrongful termination, breach of conbact tortious Interiierence and b

jNew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Fred Ehrman vs. Shufro, Rose & Company, LLC, Edward G. Shufro, Salwyn Shufixi, Richard J. Rose, Robert D. Weiss, Stephen Leit and Steven J. Glass Attorneys: For Ciaimant(s): J. Jay Lobel Esq. - New York, NY For Respondent(s): Michael Firestein Esq. - Los Angeles, CA Date Filed: 11/20/1998 First Scheduled: 06/23/1999 Decided: O8/O6/2001 Case Summary: Registered R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Elkins, TTEE, for the Elkins Family Trust, Claimant v. Landmark Securities Corporation, JB Oxford & Company, Scott I. Friedman, James C. Gillock, III, David J. Kahra, and Brian K. Consiglio, Respondents Case Number: 01-03894 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. The Law Office of David Liebrader, APC Foothi

I New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Bear Steams & Co., Inc. v William Hirsh Attomeys: For Claiinant(s): Nicholas P. lavarone Esq. - Chicago, IL For RespondenKs): James J. Moylan Esq. - Chicago, IL Date Filed: 10/27/1998 First Scheduled: 04/26/1999 Decided: Case Summary: Claimant alleges ttiey pakI off two prior settlements against Respondent which Respondent 1 $112,251 plus costs and expenses

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Principat Financial Securities, IIK. and Everen Capital Corporation v. Stifel Nicolaus, Inc., Ken Mannino, Brad Gummow, Jeff Luedke and Jeff Krogh Attorneys: For Claimant(s): Nancy Hendrickson Esq. - Chk:ago, IL For Respondent(s): Jeffrey Kalinowski Esq. - St. Louis, MO Date Filed: 04/28/1998 First Scheduled: 03/23/1999 Decided: 5Jio|o I Case Summary: Claimants' ("Ev

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gagan C. Mallik, M.D. vs. Fahnestock & Company Inc. Attomeys: For Claiinant(s): Clair M. Garten Esq. - Poland, OH Douglas Lovett Esq. - Cleveland. OH For Respondent(s): Joshua Cohen Esq. - Cleveland, OH Eric Shames Esq. - New York, NY Date Filed: 10/16/1997 First Scheduled: 06/23/1998 Decided: 5/7/2001 Case Summary: Gagan Mallik was a customer of Fahnesto

\ Jew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Petrus H.J. van de Ven and Johanna I.M. van de Ven v Gruntal & Co. Inc. and Self Zakaria Attorneys: For Claimant(s): Marvin Zevin Esq. - Mineola, NY For Respondent(s): Lionel G. Hest Esq. - New York, NY Self Zakaria - Sunnyskie, NY Date Filed: 12/16/1996 First Scheduled: 08/21/1997 Decided: 7-24-2001 Case Summary: Petrus van de Ven and Johanna van

I IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Charles F.Wohltmann vs. Fidelity Brokerage Services, LLC & Fidelity Investments Docket Number: 2002-011202 Attomeys: For Claimant(s): Charles F. Wohltmann - Covington, LA For Respondent(s): Bryan Killian - Boston, MA DateFiled: 12/10/2002 First Scheduled: 07/14/2005 Decided: 7/21/05 Case Summary: Claimant, a customer, has alleged that respondent did not de

New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: David , Trustee of the Beveriy Dixon Revocable Trust v Cary Stamp and First Union Securities Dixson Attorneys: For Claimant(s): John D. Hudson Esq. - Des Moines, IA For Respondent(s): Bruce Lewitas Esq. - Chicago, IL Date Filed: 03/12/2001 First Scheduled: 02/05/2002 Decided:12/23/2002 Case Summary: Customer v Member Firni and Registered Representative allege

Tew York Stock Exchange Jn the Matter of Arbitration Between y NYSE Case: Nathan Levine and Ella Levine v. Y. Asher Goodman and Salomon Smith Bamey Attorneys: For Claimant(s): Charies J. Hecht Esq. - New York, NY For Respondent(s): Linda R. Alpert Esq. - New York, NY Date Filed: 11/29/2002 First Scheduled: 04/08/2003 Decided: 04/09/2003 Case Summary: Customer v. member firm alleges failure to liquidate securities In accounts. Product