I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray, Inc. vs. William J. Paynter vs. U.S. Bancorp Piper Jaffray, Inc. Docket Number: 2003-011276 Attorneys: For Claimant(s): Nathan Brenna - Minneapolis, MN For Respondent(s): John Peterson - Los Angeles, CA Date Filed: 1/3/2003 First Scheduled: 12/11/2003 Decided: 12/11/2003 Case Summary: Member Firm vs. Registered Rep (former employ

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray vs. Michael D. Kugler Attorneys: For Claimant(s): Steven Phillips - Minneapolis, MN For Respondent(s): Michael Kugler - West Bond, WI Date Filed: 1/3/2003 First Scheduled: 9/10/2003 Decided: 11/18/2003 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due under the terms of a promi

i/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sam Scott Zuckerman and Joanne Taylor v. Bear Stearns & Co., Inc., Ronald M. Berman, and Respondents John Doe (1) through John Doe (5) Attomeys: For Claimant(s): Thomas J. McCabe Esq. - New York, NY For Respondent(s): Jack P. Levin Esq. - New York, NY Date Filed: 01/07/2003 First Scheduled: 07/21/2003 Decided: 07/25/2003 Case Summary: Customer v. Member Fi

*^ew York Stock Exchange In the Matier of Arbitration Between NYSE Case: Anne Herling v. Merrill Lynch Attorneys: For Claimant(s): Myron J. Berman - New York, NY For Respondent(s}: Jennifer Woods Burke Esq. - New York, NY Date Filed: 12/31/2002 First Scheduled: 06/17/2003 Decided: 06/17/2003 Case Summary: Customer v. Member Firm alleging an unsuitable Investment. Product: BONDS Market: Other Claim Pata Claim: Si3,905.00 P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan M." McGowan, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Thomas E. McCarrick, Kevin McKenna, and Michael Maddox, (Respondents) Case Number: 01-03698 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joan M. McGowan, hereinafter referred to as "Claimant": David K. Bergman, Esq., Frydman & Bergman, New York, NY. Respondents, Merrill Lynch, Pi

•NYSE New York Stock Exchange In the Matter of ArbitratioD Between Case: Gregory Pease and Robert Milligan v. Wayne Kauffman, Robert and Elaine Brentari and Al DiLorenzo Docket Number: 2005-015986 Attomeys: For Claimant(s): Daniel C. Zinman - New York, NY For Respondent(s): Richard DeVita - Hoboken, NJ Date Filed: 2/15/2005 First Scheduled: 04/08/2005 Dedded: 6/6/2005 Case Summary: Registered representative seeks expungement ofall re

i NYSE New York Stock Exchange In the ?«Iflitter of Arbitration BetiYeen Case: Victor Goldsmith and Shirley Goldsmith v. Salomon Smith Bamey and Randy Hooper Attomeys: For Claimant(s): Delmer Gowing, III, P.A. - Delray Beach, FL For Respondent(s): Todd Zuckerbrod - West Palm Beach, FL. DateFiled: 12/17/?001 First Scheduled: 6/10/2003 Decided: 10/8/03 Case Summary: Customer claimants allege unsuitable trading in speculative hi

New York Stock Exchange In the Matter of Arbitration Between i / NYSE Case: Salomon Smitti Bamey, Inc. v. Goldberg, Steven Attorneys: For Claimant(s): Mari< Alonso Esq. - New Yori< , NY Jaymee Kahn Esq. - New Yorit, NY For Respondent(s): Jay K. Goldberg Esq. - New Yori< , NY Date Filed: 12/13/2001 Case Summary: Claimant, a Respondent's account involving fees. First Scheduled: 02/05/2003 Decided: „„,,,,^„„^ 08/11/2003

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: DeShen and Bai Sheng Zhou, (Claimants) vs. T.D. Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-3697 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, DeShen and Bai Sheng Zhou, hereinafter collectively referred to as "Claimants", Claimant DeShen appeared pro se on behalf of both Claimants. Respondent, T.D. Waterhouse Investor Services,

\ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ladenburg Thalmann & Company Inc. v. Mitchel Weissmann Attorneys: For Clalmant(s): Martin S. Cole - New Yori< , NY For Respondent(s): Mitchel Weissmann - Boca Raton, FL Date Filed: ll/ig/200l First Scheduled: 03/06/2003 Decided: 05/15/2003 Case Summary: Member firm claimant alleges breach of client agreement breach of promissory note and failure to pay debit balance. Product