• NYSE Regulation .^YSERegdation In the Matter of Aibitration Between Case: Prudential Equity Group, L.L.C. f/k/a Prudential Securities, Inc. v. Gregory Iglow vs. Prudential Equity Group, L.L.C. f/k/a Prudential Securities, Inc. Docket: 2003-014488 Attorneys: For Claimant(s): For Reqx)ndeat(s): Steven P. Gomberg - Chicago, IL Sylvia Scott - Los Angeles, CA Date Filed: 8/19/2003 Fust Scheduled: 09/27/2005 Dedded: 6/2/2006 Case Sun

'NYSE Regulation. NYSE Regulation In the Matter of Arbitration Between Case: Albert S. Traina and Vail D. Traina v. Citigroup Global Markets Inc. (flea Salomon Smith Bamey Inc.) and Jeffrey G. Sullivan Docket:2003-012112 Attorneys: For CkunantCs): John P. McVeigh - Portland, ME For Respondent(s): Sean J. Coughlin - New York, NY DateFiled: 7/3/2003 Furst Scheduled: 12/15/2005 Dedded: 6/27/2006 Case Summary: Customer daimants allege unsuitability,

' NYSE Regulation NYSEReguktion In the Matter of Arbitration Between Case: Virginia C. Slack, Individually and as Trustee of the Virginia C. Slack Trust dated March 28, 1996 V. Salomon Smith Barney and Kim Heiman Docket: 2003-011897 Attomeya: For ClaimantCs): For Respondait(s): Virginia C. Slack - Stuart, FL Stephen A. Mendelsohn - Boca Raton, FL DateFiled: 5/2/2003 First Scheduled: 04/25/2006 Decided: 6/5/2006 Case Summary: Cust

i n NYSE ew York Stock Exchange h the Matter of Arbitration Between Case: Fred C. Dana, Jr., for himself and as UTMA Custodian for Cullen Dana and Casey Dana v. Jason Pucci, James Pucci & Advest, Inc. Docket Number: 2003-011854 Attorneys: For Clain]ant(s): Henry N. Christensen - Goshen, NY For Respondent(s): Daniel L. Schwartz - Stanford, CT Date Filed: 5/27/2003 First Scheduled: 01/27/2004 Decided: 12/29/2004 Case Summary: C

Arbitration case # Page 1 of 2 ' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Maureen C. Kratovil and Andrew T. Kratovil v Cynthia Bergin and Morgan Stanley Dean Witt- Docket:2002-010444 Attorneys: For Claimant(s): Edward W. Russey, III - Laguana Hills, CA For Reapondent(s): Robert J. Girard, II - Los Angeles, CA DateFiled: 7/9/2002 First Scheduled: 09/10/2004 Dedded: 5/25/2006 Case Summary: Customer claimants alleg

' NYSE Reguiation NYSERqpiladon la Ac Matter of Aibitration Between Case: Robert Finegan, Jack Bronstad, Christopher McCampbeU and Michad Salinaro v. Robert W. Baiid fit COM Inc v. StiH Nkolausft Ca v. Robert W. Baird &Co., Inc and Robert Finegan^ Jack Bronstsd, Christopher McCampbeD, Michael Salinaro, John Moore and Qayton Duffiy DoclHl:2001-009244 AUuuieyK FordiiinantCa): Charles A. Scigel, ni - Cazpinteria, CA BorSe^oodentCa): Chifs Baiber - Chic

Stipulated Award NASD In the Matter of the Arbitration Between: Richard Bacharach and Marylee Bacharach, JT TEN and Marylee Bacharach, Claimants v. A.G. Edwards & Sons, Inc. and David William Gamblin. Respondents Case Number: 01-03501 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Richard Bacharach and Marylee Bacharach, JT TEN and Marylee Bacharach, hereinafter referred to as "Claimants": Richard E. Brodsky, Esq.. Brodsky & Mullin, P.A

* NYSE Reauiation liinfSE Regulation In the Matter of Arbitration Between (jKe: Jonathan Posner v. Bear Wagner Specialists LLC and Bear Hunter Structured Products, LLC Docket: 2006-016486 Attomeys: For Gaimant(s): James G. Marsh - Garden City, NY For Respondent(s): Georgia Wainger - New York, NY Kevin B. Leblang - New York, NY DateFiled: 4/12/2006 First Scheduled: 11/29/2006 Dedded: 12/21/2006 Case Summary: Claimant, a former employee, alleges r

. - • • " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Robert Mosberg v. Advest, Inc. and Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Robert Mosberg Docket: 2006-016476 Attomeys: For Gaimant(s): Elliot Schnapp - New York, NY For Respondent(s): Patricia Sons Biswanger - Paoli, PA Date Filed: 3/30/2006 Fhst Scheduled: 10/12/2006 Dedded: 12/27/2006 Case Summary: Claimant, a registered represe

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between CSR Stratis Zaferiou and Theo Zaferiou v Miriam Holgado Docket: 2006-016446 Attorneys: For Claimant(s): Daren A. Luma - New York, NY For Respondait(s): Stephen Wexler - Mitchel Field, NY Date FUed: 3/8/2006 First Sdieduled: 08/16/2006 Dedded: 08/16/2006 Case Summary: Registered Representative daimants seek expungement from CRD record of all references to NYSE case 2003-