New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alan Nisselson as Chapter 7 Trustee of Rodman & Renshaw, Inc. and Rodman & Renshaw Capitel Group, Inc. v Michael MacCloskey Attorneys: For Claimant(s): Mari< S. Grodberg Esq. - New Yak, NY For Respondent(s): Robert K. Frisch Esq. - Dallas, TX Date Filed: 02/15/2001 First Scheduled: 12/13/2001 Decided: 06/17/2002 Case Summary: Claimant chapter 7 trustee alleges that r

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03787 David R. Friedman and Judith K. Friedman, JTWROS Names of the Respondents Hearing Site: Boca Raton, FL First Montauk Securities Corp. and Robert Lefkowitz For David R. Friedman and Judith K. Friedman, JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren Blum, Plantation, FL. For First Montau

New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Bear Hunter Specialists LLC v Lek, Schoenau & Co., Inc. Attorneys: For Claimant(s): George Brunelle Esq. - New York, NY For Respondent(s): Philip R. Schatz Esq. - New York, NY Date Filed: 02/22/2001 First Scheduled: 03/20/2002 Case Summary: Claimant Bear Hunter Specialists LLC allege that LSC failed to make seeks recovery plus accrued and unpaid Interest, punitive damage

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thomas A. Maguire v Salonwn Smith Barney Attorneys: For Clalmant(s): Andrew R. Bronsnick Esq. - Livingston, NJ For Respondent(s): Sean J. Coughlin Esq. - New York, NY Date Filed: 02/01/2001 First Scheduled: 03/03/2003 Decided: 03/03/2003 Case Summary: Registered Representative v Member Firm alleging, unlawful and wrongful withholding of his earned income, breach of c

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Andrew Bonavito and Jane Bonavito v. Sakxnon Smith Bamey Attorneys: For Claimant(s): Robert A. BonavilD- Scotch Plains, NJ For RespondenIM: Unda Alpert Esq. - New York, NY Date Filed: 02A)5/2001 First Scheduled: 10/03/2001 Decided: 12/27/2001 Case Summary: Andrew Bonavito and Jane Bonavito (Claimanis) were customers of Smith Bamey and its registered representat

L-^ New York Stock Exchange In the Matier of Arbitration Between NYSE Case: Herbert L. Johnson and Carolyn Johnson, Jt. Ten. v. Waterhouse Securities, Inc. Attomeys: For Claimant(s): Janet K. DeCosta Esq. - Washington, DC For Respondent(s)'. April Chung Esq - New York, NY Date Filed: 01/31/2001 First Scheduled: 08/22A2001 Decided: 7/24/2002 Case Summary: Customer claimants allege misrepresentation, fraud, breach of fiduciary duty, fa

New York Stock Exchange In the Matter of Arbitration Between SYSE Case: John Boyce and Robert Boyce v. Dean Witter Reynolds (n/k/a Morgan Stanley Dean Witter) and Jeremiah Learned Hand Attorneys: For Claimant($)' Tnonias Fehn Esq. - Los Angeles, CA For R«spondtnt(>): Jeremiah Le»mcd Hand - New Yorit. NY Rebecca L Robenson Esq. • Houston, TX Date Filed: oi/30/200i First Scheduied: 07/i7/200i Decided: 03/18/2002 Case Summary: Claim

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: J. Jeffrey Weisenfeld v Bear Stearns Securities Corp. Attorneys: For Claimant(s): Daniel R. Solln Esq. - Bonita Springs, FL For Respondent(s): Robert J. A. Zito Esq. - New Yori(, NY Date Filed: 01/07/2001 First Scheduied: Case Summary: Customer against member firm for securities fraud, to criminal indictment. Product: EQU 11/01/2001 , breach of contract,

NYSE Arbitration Case #2001-008898 Page 1 of2 I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arthur Baker v Ladenburg Thalman & Co., Inc. Docket Number: 2001 -008898 Attorneys: For Claimant(s): Arthur Baker - London, NY For Respondent(s): Howard Rhine - New York, NY DateFiled: 12/29/2000 First Scheduled: 01/17/2002 Dedded: 8/14/2005 Case Summary: Customer Claimant alleges unauthorized trading in

New York Stock Exchange in the Matter of Arbitration Between Date Filed: oi/l 1/2001 First Scheduled: 07/10/2001 Decided: f (3o(o ^ NYSE Case: David Levitt, Eyal and Jafia Levy, Alan Fischer, Angel Sirgo v Merrill Lynch Pierce Fenner & Smith, Inc., Ovid Daniel Battet Attorneys: For Claimant(s): Edward Glenn Esq. - New York, NY For Respondent(s): Dominick F. Evangeliste Esq. - Florham Park, NJ Ira Sorkin Esq. - New Yorit, NY C