. Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thg Claimant Sheila Warnock Sens Name of thg Nuveen Investments Case Number- 01-03516 Hearing Site- Philadelphia, Pennsylvania RKPRRSFNTATTOM OF PARTIES Claimant Sheila Warnock Seus, hereinafter referred to as "Claimant" was represented by Thomas E. Seus, Esq., McGivney Kluger & Gannon, P.C., Philadelphia, Pennsylvania. Respondent Nuveen Investments, hereinafter

# ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Joanne Grisolia v. Oppenheimer & Co., Inc. Docket 2006-016425 Attorneys: For Claimant(s): Jean Price Hanna - Radnor, PA For Respondent(s): Edward J. Boyle - New York, NY DateFiled: 1/23/2006 Fust Scheduled: 09/26/2006 Dedded: 11/03/2006 Case Summary: Claimant, a public customer, alleges unsuitability, failure to supervise, breach of fiduciary duty, negligence and

^ilUUiailUll - LcKSC #ZUU4-UI->OOV, ^..lll^JUUJ* UiUDai iVlillKtrtS IIJL. 1/K/tl 1 a^L. 1 KJi I • '.^ . • .. V. : • ' • IMYSE ^S£ Regulati the Matter of Arbitration Between ^fS£ Regulation ^ t l Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. v. Torren J. Szuluk Docket: 2004-015889 Attomeys: For Claimant(s): Greg Crochet - Atlanta, GA For Respondent(s): Delmer C. Gowing 111 - Ocean Ridge, FL D

I' 'NYSE Regulation NYSlBReffoIatwa In die Matter of Aridtralioii Between Citigroup Global Markets, Inc. v. Tod B. Potter v. Oiigroup Global Maikeis, Inc. Dodut: 2004-015278 AODincyK far (3aiiBaiii(s): Giegosy R. Crodiet - Adanta. GA Joyce M. Mocek - Atlanta. GA AirRcspeDdentCa): St^hen W. Sdrnder • Houston, TX DateRkd 4/16/2004 HntSdiednled: 11/30/2005 Decided: 06/12/2006 Case SummaEy: daimant menibar firm alleges bivacli of employnsoit

Case: Event Mayo y. Morgan Stanley Dean Witter, UBS Financial Services Inc and John Yaies DDdoei: 2003-011991 DecuioiuThe uadanigDed aibitntoxCs) have dedded and detennined diat in fiiU and final setdement of all claims between the parties that: ReqKmdents are jointiy and severally liable to Gaimant fix die sum of $89,500.00, inclusiva of iniereit, wbidi repieseitts $70,000.00 as an awud onthedaho and Sl9,500.00u an award of ccurts. New Yoilc Stock Exchange £oi

•NYSE Reguiation NYSB; GMC FnidBadalSaciiiWM^]n&,BrtE/al>mdeaiUl4paiqFGiaupbU^ Pradcitfiil Securities, Inc. n/kAi PradeBtW Iqiihy Gniypk U..C DadtBtaOQ2-OlOJ6f For Ver Slevcn P. Genbsif • CUo^Ob IL \yt MkliadB.Maiciaidn.CancDid.NC Antnooi 09tZ9f2M3 Dedde± 9/26/2006 J Mcndisflnn daiiDaDC aBeits breedi of aoBlEKt in oomiKtbn wjhh die lepay the balaDoe due on a praiBilMoiy note. Oaiasani sad» die balmoe due eo die BoiK ]ilu inte

• NYSE Regulation NYSE Reguktion In the Matter of Aibitration Between Case: Susan C. Jordan v. John M. Verfurth, Morgan Stanley DW, Inc. and UBS Financial Services Docket 2002-011055 Attorneys: For Claimant(s): Steven Murakami - Jericho, NY For Respondent(s): Donald N. Cohen - New York, NY Victor Olds - New York, NY DateFiled: 11/26/2002 Fust Scheduled: 01/27/2004 Dedded: 11/08/2006 Case Summary: Claimant, a public customer, alleges breach of co

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Prudential Equity Group, L.L.C. v. Matthew J. Leary Docket 2002-010575 Attorneys: For Qaimant(s): Steven Gomberg Linda Gallagher - Chicago, IL For Respondent(s): Grover S. Farnell, Jr. - Boston, MA Date Filed: 8/7/2002 First Scheduled: 07/22/2003 Dedded: 6/22/2006 Case Summary: Claimant member firm alleges breach of contract in respondent's failure to pay the balance of

( *NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets Holdings Inc., f/k/a Salomon Smith Bamey Holdings, Inc. v. Brian A. Geor^ Docket 2003-014612 Attorneys: For Claimant(s): Gregory R. Crochet - Atianta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Robert W. Keddie, III - Princeton, NJ DateFiled: 10/7/2003 Furst Scheduled: 10/19/2004 Dedded: Case Summary: Member Firm Claimant alleges br

• NYSE Regulation NYSE Regulation ( he Matter of Aibitration Between Case: Citigroup Global Markets, Inc. v. James Breaux Docket 2004-015907 Attorneys: For Claimant(s): Gregory R. Crochet - Atianta, GA For Respondait(s): James Breaux - New Orleans, LA DateFiled: 12/21/2004 First Scheduled: 09/13/2005 Dedded: 5/31/2006 Case Summary: Member Firm, Claimant, alleges respondent owes the principal amount due under the terms of a Promissory Note. P