New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clyde D. Kestner v. Patrick Tracy Carder and Legg Mason Wood Walker Attorneys: For Claimant(s): Charles W. Austin Jr. - Richmond. VA For Respondent(s): Sheila M. Vidmar - Baltimore, MD 77^*7 Date Filed: 01/29/2002 First Scheduled: 04/15/2003 Decided: < ) 2 Case Summary: The Statement of Claim alleges that the Respondents acted in breach of fiduciary duty; acte

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Fidelity Capital Partners, LLC vs. Prudential Securities, Inc. Attorneys: For Clainiant(s): Rachel Rickert - San Diego, CA For Respondent(s): Terry Ross - Long Beach, CA Date Filed: 2/5/2002 First Scheduled: 9/3/2003 Decided: 11/24/2003 Case Summary: Customer vs. Member Firm alleging unsuitable investments in small cap and growth stocks and technology-based

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sharon D. Long vs. Salomon Smith Bamey, Inc. and Gary W. Klingner Docket Number: 2002-009811 Attomeys: For Claimant(s): Barry Lax - New York, NY For Respondent(s): Ellen Slipp - New York, NY Date Filed: 1/28/2002 First Scheduled: 4/14/2003 Decided: 12/29/2003 Case Summary: Customer vs. Member Firm and Registered Rep alleging failure to follow instructions t

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Karen G. Armistead vs. Salomon Smith Barney, Inc. and Jeremiah Christian Leahy Attorneys: For Cialmant(s): John Lawlor - Mineola, NY For Respondent(s): David Campbell - New York, NY Date Filed: 1/18/2002 First Scheduled: 4/16/2003 Decided: 12/4/2003 Case Summary: Customer vs. Member firm and Registered Rep alleging fraud, breach of contract, negligence, bre

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carlo Canion v UBS PaineWebber and Randall Grossblatt Attorneys: For Clainiant(s): Carlo Canion - Los Angeles, CA For Respondent(s): Harold M. Brody Esq. - Los Angeles, CA Date Filed: 01/15/2002 First Scheduled: 04/09/2003 Decided: 05/06/2003 Case Summary: Claimant, a registered representative and former employee, alleges discrimination, negligence and breach of cont

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Maya C. Likar and Andrew Racz v. Bishop Rosen & Co., Inc. and Isaac Schlesinger Attorneys: For Claimant(s): Maya C. LIkar Esq. - New York, NY For Respondent(s): Martin S. Siegel Esq. - New York, NY Date Filed: 12/31/2001 First Scheduled: 03/2472003 Decided: 06/17/2003 Case Summary: Claimant Maya Likar alleges comnfnn law fraud, extortion and failure to supervise rega

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Timothy M. Wendt vs. Sterne, Agee & Leach, Inc. vs. Bristol-Myers Squib Attorneys: For Claimant(s): Christopher Vernon - Naples, FL For Respondent(s): Patricia Diak - Birmingham, AL For 3rd Party: Charles Rosenberg - Miami, FL Date Filed: 1/2/2002 First Scheduled: 5/29/2003 Dedded: 9/15/2003 Case Summary: Customer vs. Member Firm in a dispute involv

i New York Stock Exchange In the Matter of Arbitration Between Case: Victor Tesinsky as tmstee for the Tesinsky Tmst v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015873 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/29/2004 First Scheduled: 04/29/2005 Decided: . < \ ^ ^ ^ ^ ^ -

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03733 Larry Brungardt, claimant vs. Josephthal & Co. and All Fariss, respondents. ATTORNEYS: Claimant appeared pro se, Torrington, NY. For Respondents appeared John E. Bersin, Esq., in-house counsel, New York, NY. DATE FILED: July 16, 2001 CASE SUMMARY: Claimant alleged respondents failed to send funds to him as he requested. Claimant further alleged that respondents made unauthori

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph Call v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015879 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/29/2004 First Scheduled: 04/29/2005 Decided: r'/2.3 / O S" Case Summary: Customer claimant alleges breach of contract,