Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03684 Robert W. Baird & Co., Inc. Name of the Respondent Hearing Site: Tampa, FL Kevin M. Luetje REPRESENTATION OF PARTIES For Robert W. Baird & Co., Inc. ("Baird"), hereinafter referred to as "Claimant": Brian D. Trexell, Associate General Counsel, Baird, Milwaukee, WI. For Kevin M. Luetje ("Luetje"), hereinafter referred to as "Respondent": David J. F

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kathryn Shober v. Caren McCullen & Prudential Securities Inc. Attorneys: For Claimant(s): Richard Levenstein - Stuart, FL For Respondent(s}: Debra Jenks - Jupiter, FL For Srd Party: Q ate Filed: 11/10/2000 First Scheduled: 7/10/2001 Decided: 9/19/2003 Case Summary: Customer claimant alleges violations of Florida State Statutes, fraud, imauthorized t

J^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Stone v. Joseph Weinberg & David Schwartz v. Josepthal & Co.Inc. Attorneys: For Claimant(s): Allan H. Cariin Esq. - New Yori< , NY For Respondent(s): Evelyn Bukchin Esq. - New Yort< , NY Emilia M. De Meo Esq. - Watchung, NJ Lynn Weinberg - Fort Lee, NJ For 3rd Party: Evelyn Bukchin Esq. - New York, NY Date Filed: 10/27/2000 First Scheduled: 04/26/2001

Nevf York Stock Exchange In the Matter of Arbitration Between NYSE Case: R. Bruce Paterson v. Lehman Brothers Inc. Attorneys: For Claimant(s): Jeffrey L. Liddle Esq. - New Yori(, NY Laurence S. Moy Esq. - New Yori< , NY Leila I. Noor Esq. - New Yori< , NY For Respondent(s): Steven M. Knecht Esq. - New Yori< , NY Kevin LeBlang Esq. - New Yori< , NY Date Filed: 07/24/2000 First Scheduled: 01/17/2001 Decided: 07/21/2003 Case Summary

^ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Richard K. Diamond, Chapter 7 Tmstee for Toluca Pacific Securities Corporation v Schroder Werthelm & Co., Inc. and Gary Salamone Aiiorneys: For Claimant(s): Leslie Cohen Esq. - Santa Monica, CA For Respondent(s): DavkJ D. Piper Esq. - Long Beach, CA Date Filed: 06/13/2000 First Scheduled: 03/27/2001 Decided: IfuTcT Case Summary: Claimant alleged that Respondents

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marilyn J. BerttKxid v. Ragen MacKenzie Inc., Mictiael Keever, Mari< McClure and Michael Hartdns Attomeys: For Claimant(s): Marilyn Berthoud - Pemberton, BC V0N2L0. BC For Respondent(s): Brian J. Meenaghan Esq. - Seattle, WA Date Filed: 05/22/2000 First Scheduled: 10/25/2000 Decided: 08/29/2003 Case Summary: Claimant, a public customer, alleges unauthorized trading w

) I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harry S.H. Wong v Salomon Smith Barney, Inc. Attorneys: For Claimant(s): Leonard Steiner - Beverly Hills, CA For Respondent(s): Jodi Cohen - Long Beach, CA Date Filed: 4/26/2000 First Sclieduled: 2/14/2001 Decided: /?~ j ^ / c 3 Case Summary: Former registered representative against member firm for discrimination, defamation, a

isew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald A. Miller v Merrill Lynch, Pierce, Fenner & Smith, Inc., Raul A. Aballi and John R. Brown Attorneys: For Clainriant(s): Jared R. B. Hutton Esq. - Los Angeles, CA For Respondent(s): Peter Brcvn Dolan Esq. - Los Angeles, CA Date Filed: 03/15/2000 First Scheduled: 02/13/2001 Decided: ••'h /C3 Case Summary: Customer alleges that the fimi breached the term

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mike D. and Renu M. Wadhwani v T.D. Waterhouse and Jon Hong Attorneys: For Claimant(s): William Bonnheim - Palm Desert, CA For Respondent(s): John Erikson, Jr. - Los Angeles, CA Date Filed: 3/13/2000 First Scheduled: 6/12/2001 Decided: l< ^/^/'C3 Case Summary: Claimants, customers of Respondent T.D. Waterhouse, alleged: violation of Section 10 of the Securit

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carl A. Demico and Barbara A. Demico vs. Morgan Stanley DW Inc. and Robert Glenn Yarbrough Docket Number: 2002-010603 Attomeys: For Claiinant(s): James D. Keeney - Sarasota, FL For Respondent(s): Jon A. Jacobson - West Palm Beach, FL Date Filed: 8/16/2002 First Scheduled: 10/01/2003 Decided: 03/08/2005 Case Summary: Customer v. Member Firm and Registered Repres