i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gary M. Sinderbrand v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2003-011953 Attomeys: For Claimant(s): Jonathan Peterson - Bala Cynwyd, PA Mark Halpem - Bala Cynwyd, PA For Respondent(s): David F. McComb - Paoli, PA Date Filed: 6/13/2003 First Scheduled: 12/01/2004 Decided: 02/16/2005 Case Summary: Claimant, a former registered rep

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wachovia Securities, Inc. v. John R. Bell Docket Number: 2003-011901 Attomeys: For Claimant(s): Derek C. Anderson - Boston, MA For Respondent(s): John R. Bell - Lawrenceville, GA DateFiled: 6/4/2003 First Scheduled: 10/19/2004 Decided: 01/25/2005 Case Summary: Member firm claimant alleges that Respondent, registered representative, failed to repay t

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Emlen Investments, Inc., Copernicus Society of America, Braddock Development, LP, Braddock Enterprises, LP, Edward J. Piszek v. Merrill Lynch Investments Managers, L.P. (f/k/a Merrill Lynch Investment Managers, L.P., Merrill Lynch & Co., Inc.) Docket Number: 2003-011806 Attomeys: For Claimant(s): Parry Warner - Philadelphia, PA For Respondent(s): Sam Cruse - Houston, T

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Bamey, Inc. v. Nathan Showalter Docket Number: 2003-011698 Attomeys: For Claimant(s): Jennifer Woods Burke - Cranford, NJ For Respondent(s): Nathan Showalter - Harrisburg, PA DateFiled: 4/3/2003 First Scheduled: 02/03/2005 Decided: 02/03/2005 Case Summary: Member firm claimant alleges respondent registered representative failed to pay the b

Arbitration - case #2006-01650 L Citigroup Global Markets Inc. d/b/a Page 1 of 2 • Finra FINRA DR In the Matter of Arbitration Between Case: Citigroup Global Markets Inc. d/b/a Smith Barney v Tab Tatro Docket:2006-016501 Attomeys: For Claimant(s): Erin E. Mac Avoy - New York, NY For Respondent(s): Tab Tatro - Laconia, NH Tab Tatro - Meridith, NH DateFiled: 5/1/2006 First Scheduled: 08/10/2007 Dedded: 8/10/2007 Case Siunmary: Member firm

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anna Bodigor and Harold Bodigor v Morgan Stanley DW, Inc., and Patrick O'Connor Docket Number: 2003-014666 Attorneys: For Claimant(s): James L. Kopecky - Chicago, IL For Respondent(s): Charlie Risch - Chicago, IL Date Filed: 10/17/2003 First Scheduled: 08/18/2004 Decided: I^ 1 7 ( 0 ^ Case Summary: Claimants, customers, allege respondents purchased

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03628 Ilene Lehrman, claimant vs. David Borenstein and Elliot Katz, respondents. ATTORNEYS: Claimant appeared pro se, Los Angeles, CA. For Respondents appeared Robert T. Sullwold, Esq., of the firm Sullwold & Hughes, San Francisco, CA. DATE FILED: July 7, 2001 CASE SUMMARY: Claimant alleged that respondent David Borenstein negligently and without her approval invested her IRA a

i^aee i ot:< i Finra FINRA DR In the Matter of Arbitration Between Case: Brent Milner v. Deutsche Bank Securities, Inc. Docket: 2005-016330 Attomeys: For aaimant(s): Blaine H. Bortnick - New York, NY For Respondent(s): Tamara Games Mata - New York, NY DateFiled: 11/2/2005 First Scheduled: 10/04/2006 Dedded:^'31'o7 Case Summary: Claimant, a registered representative and former employee, alleges wrongful termination, breach of an implie

Page 1 of6 Finra HNRADR In the Matter of Arbitration Between Case: Eric E. Alt, Michael Barr, J.J. Beaghan, Brian S. Bean, Charles Bolton, Vincent Bowen III, Richard A. Brand, Clark Callander, Georgene Carambat, Michael Casey, Jeffrey W. Colin, Alex Dean, Christopher R. Dodge, David Fullerton, Philip Gardner, Jonathan Goldman, Christophe W. Greer, Tony Haertl, Gregory C. Holmes, Frederick M. Hughes, Daniel Hurwitz, Andrew Kaye, Maureen McCarthy, Kevin M

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David Lieb and Amy Lieb v Prudential Securities and Charles Anastasiow Docket Number: 2002-010937 Attomeys: For ClaimaDt(s): Anthony J. Hom - New York, NY For Respondent(s): Kenneth O'Connor - Cranford, NJ Date Filed: 10/29/2002 First Scheduled: 07/13/2004 Decided: 01/17/2005 Case Summary: Customer claimant alleges negligence, unsuitability, breach of f