' NYSE Regulation NYS£Rq;ulation I^ie Matter of Aibitration Between case: Pentad Securities, Inc. v Fred Alger & Co., Inc. Docket 2005-016363 Attomeys: For ClainiaDt(s): For Respondent(s): Fred A. Dietrich - Lakeland, FL Stewart D. Aaron - New York, NY Date FUed: 12/9/2005 First Scheduled: 06/06/2006 Dedded: 6/8/2006 Case Summary: Non-Member broker dealer alleges Member Firm respondent violated §s 11 and 15 of the Securities Act

• NYSE Reguiation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney v. Robert C. Batick, Jr. Docket 2005-016359 Attorneys: For aaimant(s): Kenneth O'Connor - Cranford, NJ For Respondent(s): Robert C. Batick - Guilford, CT Date Ffled: 12/5/2005 Furst Scheduled: 11/14/2006 Dedded: , ,^r ,,„„., 1/26/2007 Case Summary: Claimant, a member firm, alleges breach of contract for failure o

I Arbitration - case #2005-016351, Thomas E. Stamborski vs. Wintrust F Page 1 of 2 0 • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Thomas E. Stamborski vs. Wintrust Financial Corporation, Wayne Hummer Investments, LLC and Focused Investments, LLC Docket: 2005-016351 Attomeys: For aaimant(s): Lane M. Gensburg - Chicago, IL For Respondent(s): Howard K. Jeruchimowitz - Chicago, IL Date Filed: 10/19/2005 First Schedule

• NYSE Regulation ^ NYSE Regulation ' In the Matter of Arbitration Between ^^ise; Jamie York v Merrill Lynch, Pierce, Fenner & Smith, Inc. v Jamie York Dodret 2005-016348 Attomeys: For Claimant(s): Michael J. McEntee - Warwick, RI S. Paul Ryan - East Providence, RI For Respondent(s): Peter Fruin - Birmingham, AL DateFiled: 11/25/2005 First Scheduled: 09/19/2006 Dedded: 9/20/2006 Case Summary: Claimant customer alleges overconcentrati

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Janney Montgomery Scott v. Ted D. Baturin Docket 2005-016335 Attorneys: For Claimant(s): Carrie L. Chelko - Philadelphia, PA For Respondent(s): Arthur C. Koski - Boca Raton, FL Date Filed: 11/7/2005 First Scheduled: 02/14/2007 Dedded: 03/14/2007 Case Summary: Member Firm Claimant alleges breach of Settlement Agreement and non-payment of Promissory Note. Product Prom

•NYSE Regulation WsE Regulation In the Matter of Arbitration Between Case: Prudential Equity Group LLC, f/k/a Prudential Securities v. Stephen Ellis Docket 2005-016334 Attomeys: For Clainiant(s): Amy B. Jones - New York, NY For Respondent(s): Stephen L. Ellis - Keller, TX DateFiled: 10/31/2005 FhstScheduled: 08/01/2006 Dedded: 8/28/2006 Case Summary: Member firm Claimant alleges breach of a prior Settlement Agreement, and seeks interest, att

^ Arbiti-ation - case #2005-016332, Eduard Hamamjian v. Advest, Inc. Page 1 of2 M ' NYSE Regulation ^ NYSE Regulation In the Matter of Arbitration Between Case: Eduard Hamamjian v. Advest, Inc. Docket 2005-016332 Attorneys: For daimant(s): Stacey Nakasian - Providence, RI For Respondent(s): Timothy P. Burke Jeremy Bartell - Boston, MA DateFiled: 10/26/2005 First Scheduled: 02/05/2007 Dedded: 8/2/2007 • Case Summary: Claimant, a f

* *. • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary Jo Gunning TTEE and Michael J. Gunning Rev TRV/A v. Barry Murphy & Co. a division of StockCross Financial Services, StockCross Financial Svc, Elaine Kaven Docket2005-016321 Attomeys: For aaimant(s): Michael Gunning - Scranton, PA For Respondent(s): George Kupper, Esq. - Beverly Hills, CA Elaine Kaven - Beverly Hills, CA Date FUed: 11/1/2005 First Schedule

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03497 Kevin Smyth Names of the Respondents Hearing Site: Tampa, FL Epifanio Almodovar Stephen Frank Schwartz Philip M. Getter David N. Mahler Prime Charter Ltd., Inc. REPRESENTATION OF PARTIES For Kevin Smyth, hereinafter referred to as "Claimant": Michael P. Gilmore, Esq., Sims Moss Kline & Davis LLP, Mineola, NY. Respondent Epifanio Almodo

' " NYSE Regulation NYSE Regulation In the Matter of Arbitration Between ^Case; i: Aaron Ford v. UBS Warburg, LLC Docket 2005-016305 Attomeys: For Claimant(s): Marc A. Susswein - New York, NY For Respondent(s): Jill L. Rosenberg - New York, NY DateFiled: 10/19/2005 FhstScheduled: 05/01/2006 Dedded: 7/10/2007 Case Siunmary: Claimant, former employee, alleges respondent, member firm, breached a contract and failed to pay monies owed pursuant t