Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., (Claimant) vs. Andre Lopoukhine, (Respondent) Case Number: 01-03537 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., hereinafter referred to as "Claimant": Susan F. Drogin, Esq., a sole practitioner, Boston, MA. Respondent, Andre Lopoukhine, hereinaf

NYSE Arbitration Case #2003-011723 Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Archibald Walker v. Merrill Lynch, Pierce, Fenner & Smith Docket Number: 2003-011723 Attomeys: For Gaimant(s): Arthur P. Fisch - Brooklyn, NY For Respondent(s): Carol B. Trask - Paoli, PA Date Filed: 4/3/2003 First Scheduled: 04/14/2004 Decided: 12/14/2005 Case Summary: Claimant, a former employee and regist

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donna M. Trainor v. Morgan Stanley Dean Witter Docket Numben 2003-011400 Attomeys: For Gaimant(s): Richard H. Levenstein - Stuart, FL For Respondent(s): Todd Zuckerbrod - West Palm Beach, FL Date Filed: 2/4/2003 First Scheduled: 03/03/2004 Dedded: 11/18/2005 Case Smnmary: Customer daimant alleges unsuitable trading on margin, fi-aud, misrepresentation, violation of

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arnold & Maureen Weber, the Weber Family Trust, Adam Joseph Weber Trust, Nicholas Arman Weber Trust, Zachary M. Weber Trust v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Dodcet 2003-011289 Attomeys: For Claimant(s): William E. Weber - Brooklyn, NY For Respondent(s): John P. Kincade Brad Gordon - Dallas, TX DateFiled: 1/13/2003 First Scheduled: 03/09/2004 Dedded: , ,, ,

• NYSE Requlation NYSE Regulation In the Matter of Arbitration Between case: Sarah J. FitzGerald and Eugene W. Emmerich III v. Salomon Smith Barney, Richard R. Gamboa Docket-2006-016576 Attomeys: For Claimant(s): Gary R. Gleason - San Mateo, CA For Respondent(s): Lydia R. Zaidman - New York, NY DateFiled: 8/10/2006 First Scheduled: 03/12/2007 Dedded: 7/9/2007 Case Summary: Claimants, customers, allege respondents' investments in mutual fiind

«Ui NYSE NYSE Regulation In the Matter of Arbitration Between Case: Pinnacle Asset Management, Inc. v. Bear Stearns Securities Corp. Docket: 2006-016532 Attomeys: For Claimant(s): Matthew E. Miller - Arlington, VA For Respondent(s): Philip A. Irwin - New York, NY Date Filed: 6/12/2006 First Scheduled: 02/09/2007 Decided: 6/26/07 Case Summary: Non-member broker-dealer alleges breach of a clearing agreement involving an alleged fai

f' • NYSE NYSE Regulation In the Matter of Arbitration Between Case: 627 (f) claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Kuose Fung, Michael Paul hix, Feter bon Viso, and Daniel Clatter Docket: 2006-016429 Attomeys: For Claimant(s): Self-Represented For Respondent(s): Neal Brickman - New York, NY Date Filed: 2/9/2006 First Scheduled: 11/07/2006 Decided: Case Summary: Customer claimants allege fraud, deceit, conspiracy, misrepr

"S:a?;"r:^- FINRA DR In the MatLer of ArbitKttion Between Q^se: Sherman B. McBeth, Jr. v. Citigroup Global Markets d/b/a Smith Bamey and Carl Livingston Truluck Docket: 2006-016600 Al-torne^'fi: Pcy Cl'iimaiitCs): Arthur A. Aiken - Columbia, SC For Kespo23dent(E): Lydia AppJegate - Qiarlesron, SC Stephen F. McICinney - Columbia, SC j-M-Cf iaed: 9/3/2006 I'irst Scheduled: 07/18/2007 Decided: ^'/f^/c'^ ."j»ss Sumroar)-; Cusiomer daimant allege

f NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Lowdy C. Layfield v. Citigroup Smith Barney Docket2006-016650 Attorneys: For daimant(8): Lowdy C. Layfield - Phenix City, AL For Respondent(s): Lydia R. Zaidman - New York, NY Date Ffled: 12/18/2006 First Scheduled: 04/30/2007 Dedded: 05/03/2007 Case Summary: Customer Claimant alleges failure to follow instructions, misrepresentation and improper transfer regarding stoc

/^ji..-uiauuii - case Hswi-vi-tyjo, v^ppenncimer cc i.,o. v. Nennein K. KoD Page 1 of 2 • NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Oppenheimer & Co. v. Kenneth R. Roban v. Oppenheimer & Co. Docket 2004-014938 Attorneys: For Claiinant(s): Michael J. McAllister - New York, NY For Respondent(s): James A. Janowitz - New York, NY Date Ffled- 1/12/2004 First Scheduled: 02/08/2006 Dedded: 5/24/2007 Case Sum