^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sands Brothers & Company, Ltd, v. Gcnercx Pharmaceuticals, Inc., Generex Biotechnology Corporation Docket Numljer: 2003-011992 Attomeys: For Claimant(s): Richard Roth - New York, NY For Respondent(s): Paul Bschorr - New York, NY Date Filed: 6/23/2003 First Scheduled: 3/3/2004 Decided: 08/11/2004 Case Summary: Claimant, a member firm, alleges breach of co

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Miron Allen & Richard Mooney v. Shields & Co., Jerry V. Shields Docket Number: 2003-011980 Attomeys: For Clainiant(s): Marion Smith - Atlanta, GA For Respondent(s): Michael Kaelin - Wilton, CT DateFiled: 6/18/2003 Fir^t Scheduled: 2/3/2004 Decided: 3/29/2004 Case SunMnary: Claimant, a registered representative, alleges respondents breached a settlement

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Eureal A. Gardner v Morgan Stanley Dean Witter Docket Number: 2003-011958 Attomeys: For Clalmant(s): Eureal A. Gardner - Jackson Heights, NY For Respondent(s): Daren Luma - New York, NY Date Filed: 6/16/2003 First Scheduled: 10/14/2004 Decided: • 10/29/2004 Case Summary: Customer-Claimant, pro se, alleges that he requested that his account be closed and t

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jack L. Pace, Anthony Fagella, Jr. v. Lehman Brothers, Inc. Docket Number: 2003-011948 Attomeys: For Clainiant(s): Kevin T. Hoffman - Greenwich, CT For Respondent(s): Kevin Leblang - New York, NY Steven Knecht - New York, NY Date Filed: 5/14/2003 First Scheduled: 01/23/2004 Decided: 10/27/2004 Case Summary: Claimants former registered representative

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert 1. Elliott, Ttee, FBO Robert I. Elliot Rev. Tmst, U/A/D 05/14/96 v. Salomon Smith Bamey Inc. Docket Number: 2003-011945 Attomeys: For Claimant(s): Lawrence Klayman - Boca Raton, FL For Respondent(s): Sean J. Coughlin - New York, NY Date Filed: 06/09/2003 First Scheduled: 10/05/2004 Decided: 1/18/05 Case Summary: Customer claimant alleges over-concent

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Buster Harris, Vivian Harris v. A.G. Edwards & Sons, Inc. Docket Number: 2003-011936 Attomeys: For Claimant(s): Duane Tobias - Kingwood, TX For Respondent(s): Matthew Salamon - St. Louis, MO ) Date Filed: 6/10/2003 First Scheduled: 6/22/2004 Decided: _,_, 7/7/2004 Case Summary: Customer claimants seek recovery for breach of fiduciary duty, unsuitabi

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Abraham & Sylvia Friedman v Salomon, Smith Bamey, Inc. and Lloyd A. Zitomer Docket Number: 2003-011922 Attomeys: For Claimant(s): Martin Siegel - New York, NY For Respondent(s): David Checchio - Florham Park, NJ Date Filed: 5/20/2003 First Scheduled: 7/27/2004 Decided: ' \U joy Case Summary: Claimants allege that Salomon Smith Bamey failed to supervi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03602 Martin E. Segal, Claimant vs. Prudential Securities, Inc. and Keith Steibler, Respondents ATTORNEYS: Claimant, Martin E. Segal, appeared Pro Se, Coral Gables, Florida. Respondents appeared through their in-house counsel, Gabriel Loubier, Esq. New York, NY. DATE FILED: July 6, 2001 CASE SUMMARY: Claimant alleged that respondents were negligence in failing to use reasonable

9 i NYSE New York Stock Exchange In the .Vlatter of Arbitration Between Case: Eugene J. Murdock, Jr., Eugune J. Murdock, III, Lilla-Ann B. Murdock v. Merrill Lynch Docket Number: 2003-011900 Attomeys: For Claimant(s): Tracy P. Stoneman - Palm Dessert, CA For Respondent(s): Terry R. Weiss - Atlanta, GA Date Filed: 6/6/2003 First Scheduled: 12/13/2004 Decided: 01/07/2005 Case Summary: Claimants, public customers, allege

) • NYSE New York Stock Exchange In the Matter of Arbitration Between ) Case: Lois A. Shaffer v. Merrill Lynch Docket Number: 2003-011868 Attomeys: For Clainiant(s): Michael Tarringer - Philadelphia, PA For Respondent(s): David Bamberger - New York, NY Date Filed: 5/30/2003 First Scheduled: 5/19/2004 Decided: 7/20/2004 Case Summary: Customer claimant alleges unsuitability, failure to supervise, and violations of NYSE