NYSE NYSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers, Inc. v Ndjne Withheld - See Remarks Docket: 2006-016560 Attomeys: For Claimant(s): For Respondent(s): Charles A. Hammaker - Houston, TX J. Michael Bishop - Atlanta, GA Date Filed: 7/27/2006 First Scheduled: 01/17/2007 Decided: 5-07-07 Case Summary: Member Firm claimant alleges breach of contract in connection with the failure to repay the balance due on

Award NASD In the Matter ot tne Arbitration between: Name of the Claimant Case Number: 01-03535 Adele Helen Mestousis Names of the Respondents Hearing Site: Boca Raton, Florida The Agean Group, Inc. Paul J. Rico Michael Roberts David Demarest Albert Poliak REPRESENTATION OF PARTIES Claimant Adele Helen Mestousis ("Mestousis") appeared pro se. Respondent Paul J. Rico ("Rico") appeared pro se. Respondent David Demarest ("Demarest")

NYI NYSE SE Regulation the Matter of Arbitration Between Case: &?.7U-) Claimant v. A.&. fidwards e. Sens, Inc, •Ir-.s; A].be3:t.. Taliey, Thomas Rowland. Lonergan and Moritz Rudolf Hofsteter Docket: 2006-016402 Attomeys: For Claimant(s): Self-represented,, New York, N,Y For Respondent(s): Brent J. Burtin - St. Louis, MO DateFiled: 1/13/2006 First Scheduled: 02/23/2007 Dedded: M c7 Case Summary: Customer claimant alleges breac

0 4 NYSE ew York Stock Exchange the Matier of Arbitration Between Case: Michael Offit and Dara J. jMitchelJ (JTWROS) v. Josepli Schirripa, Ernest Back, Jennifer Manheim and UBS Financial Services, Inc. Docket Number: 2005-015996 Attorneys: For Gaiinaiit(s): Michael R. Offit - New York, NY For Respondent(s): Dan A. Rosenbaum - New York, NY DateFiled: 2/10/2005 First Scheduled: 10/19/2005 Dedded: 12/9/2005 Case Summary: Custome

# • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John M. Colette v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney & Jack Grubman Docket 2005-016286 Attorneys: For Qaimant(s): Scarlette M. Tuley - Montgomery, AL For Respondent(s): Mark L. Parmelee - New York, NY Date Filed: 7/27/2005 . First Scheduled: 1/24/2006 Dedded: 1/24/06 Case Summary: Customer claimant alleges violations of federal securities laws, fraud,

I NYSE < evr York Stock Exchange nJj^ Matter of Arbitration Between Dase: Carey James v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman Docket 2005-016272 lttomeys: For Claimant(s): Scarlette M. Tuley - Montgomery, AL For Respondent(s): Mark L Parmelee - New York, NY Date Filed: 9/29/2005 First Scheduled: 1/30/2006 Dedded: 1/30/2006 lase Summary: Customer claimant alleges violations of federal securities laws, fr

I NYSE 'ew York Stock Exchange 1 ij^latter of Arbitration Between lase: Cheryle Kortman v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman (ocket: 2005-016271 ttomeys: For Claimant(s): Scarlette M. Tuley - Montgomery, AL For Respondent(s): Mark L Parmelee - New York, NY )ate Filed: 9/29/2005 First Scheduled: 2/1/2006 Dedded: 2/1/2006 ase Summary: Claimant, a customer, alleges violations of federal securities laws

I NYSE few York Stock Exchange 1 ll^Matter of Arbitration Between Ase: Timothy Gray v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Grubman )ocket 2005-016270 ttomeys: For Claimant(s): Scarlette M. Tuley - Montgomery, AL For Respondent(s): Mark L. Parmelee - New York, NY Date Filed: 9/29/2005 First Scheduled: 1/30/2006 Dedded: 1/30/2006 lase Summary: Customer claimant alleges violations of federal securities laws, fra

#^ • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Vaughn Mooradian v Makram Talia and MerriU Lynch & Co. Inc Docket 2005-016267 Attorneys: For Qaimant(s): For Respondent(s): Marianne Marconnay - Livonia, MI Stuart T. Rebish - New York, NY Date Filed: 9/22/2005 First Scheduled: 02/22/2007 Dedded: 05/31/2007 Case Summary: Claimant alleges breach of fiduciary duty, misrepresentation, and failure to dive

Jew York Stock Exchange n the Matter of Arbitration Between ^se: Merrill Lynch, Pierce, Fenner & Smith, Inc. & Robert Ewing IV v. Hall Winters )ocket Number: 2005-016257 lttomeys: 'or Claimant(s): Aaron S. Furniss - Atlanta, GA 'or Respondent(s): Jacob Zamansky - New York, NY Date Filed: 9/8/2005 First Scheduled: 11/02/2005 Decided: 11/25/2005 ]ase Summary: Claimants, a member firm and a registered representative, seek an order of expung