New York Stock Exchange NYSE in the Matter of Arbitration Between Case: David Bader v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and l\/lem°ll Lynch & Co., Inc. Attomeys: For Claimaii;(S): Thomas R. Grady Esq. - Naples, FL Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 11/19/2001 First Scheduled: 03/27/2002 Decided: ^A/ Case Summary: On November 15, 2001, Claimant filed his Sta

y i New York Stock Exchange ^n the Matter of Arbitration Between NYSK Case: Richard and Joanne Eurich v. Menill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co.Inc. Attomeys: For Clalmaiit(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Francis Chlapowski Esq. - New York, NY W^y Date Filed: 11/13/2001 First Scheduled: 09/17/2002 Decided: Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smit

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Raul B. Lee, Jr. Roth IRA and Paul B. Lee, Jr. v. Alvin Kenneth Smith and Morgan Keegan & Co.,lnc. Attomeys: For Claimant(s): Alois Lemke Esq. - Santa Cmz, CA For Respondent(s): Michele L. Fowler Esq. - Memphis, TN Date Filed: IQ/19/2001 First Scheduled: 08/14/2002 Decided: 5/7/03 Case Summary: The Statement of Claim alleges that the registered representative made un

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jay Edward Kemey and Bonnie Diane Kemey v. Charles Reich and Menill Lynch Pierce Fenner & Smith Attomeys: For Claimant< s): Douglas Kahle Esq. - Virginia Beach, VA For Respondent(s): Hunter W. Sims Esq. - Norfolk, VA Date Filed: 1QA)3/2001 First Scheduled: iOA)l/2002 Decided: 7/10/2003 Case Summary: The statement of Claim alleges that Charles Reich, the registered

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: llene Lark Teitler v SG Cowen Securities Corp., Lehman Brothers, Inc. and Robert Fred Miller Attorneys: For Clalmant(s): John E. Lawlor Esq. - Mineola, NY For Respondent($): Joseph J. Sullivan III Esq. - New York, NY Date Filed: 10/02/2001 First Scheduled: 06/25/2002 Decided: 08/04/2003 Case Summary: Claimant, a customer, has alleged that respondents, member firms an

Vew York Stock Exchange In the Matter of Arbitration Between i / NYSE Case: Rot)ert W. Baird & Co., Inc. vs. Wedbush Morgan Securities, Inc. Attorneys: For Claimant(s): Ctiristoptier J. Bartier Esq. - Chicago, IL For Respondent(s): Jason D. Sanders Esq. - New York, NY Date Filed: 10/01/2001 First Scheduled: 03/19/2002 Decided: July 14, 2003 Case Summary: Memtier Fimn vs. Memtier Firm, in a dispute involving shares of Genesis Intermed

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alan Biloski v Merrill Lynch Pierce Fenner & Smith Attorneys: For Claimant(s): Mark Goidel - Melville, NY For Respondent(s): Martiin Edel - New York, NY For Srd Party: Date Filed: 7/25/2001 First Scheduled: 6/3/2003 Decided: 9/26/03 Case Summary: Former managing director against member firm for bonus commensurate with previous years compensatior Pro

.New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Prudential Securities Inc. v Serafin Garcia Armas and SMJ Corporation Attorneys: For Clalmant(s): Patricia M Christiansen Esq - West Palm Beach, FL For Respondent(s): David Chase Esq. - Miami, FL An.'^re.G Rtvp.ro - M.iam.i . Fl . Date Filed: 07/16/2001 First Scheduled: 06/04/2002 Decided: 4/25/2003 Case Summary: Memtier firm claimant alleges civil theft,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Chad Spence v. Prudential Securities, Inc. and Jeffrey S. Ward Attorneys: For Claimant(s): Henry Shelton, III - Memphis, TN For Respondent(s): Patrick Gaffney - New York, NY Date Filed: 6/28/2001 First Scheduled: 12/11/2001 Decided: 12/15/2003 Case Summary: Claimant alleges that Respondent breached his fiduciary duty by inducing Claimant to engage in specul

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of § § RichMark Capital Corp. (CRD 43162) § § Claimant, § § and § No. 01-03693 § § RML Trading, Inc., Robert § David Luecke (CRD 1999585) § § Respondents. § STIPULATED AWARD This matter came on before the below named panel on the stipulation and consent of Claimant RichMark Capital Corp. (CRD No. 43162) ("RichMark") and Respondent Robert D. Luecke (CRD No. 19995