Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Michael Cullen and Barbara Cullen Name of the Respondents J.P. Turner & Company, LLC, Fiserv Correspondent Services, Inc., and Michael E. Leventis Case Number: 01-03495 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Michael Cullen and Barbara Cullen hereinafter collectively referred to as "Claimants": Thomas M. Kne

• NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Youssef Family Partnership v, Morgan Stanley DW, Inc. and A.G. Edwards & Sons Docket: 2005-016068 Attorneys: For aaimant(s): George H. Seitz, III - Wilmington, DE For Respondent(s): Clay L. Grumke - St. Louis, MO Kate Gostinger - New York, NY Date Filed: 4/20/2005 First Scheduled: 05/23/2006 Dedded: 1/17/2007 Case Summary: Claimants, members of a family partnership, all

* NYSE Regulation NYSE Regulation In the Matter of Arbitration Between 'ase: Oppenheimer & Co., Inc. v. Michael Koraney Docket: 2005-016064 Attorneys: For Clain)ant(s): Paul Workman - Los Angeles, CA Theodore R. Snyder - New York, NY For Resi^dent(s): Mark P. Lynch - Los Angeles, CA Date Filed: 4/21/2005 First Scheduled: 0S»/29/2005 Decided: 11/22/2006 ! Case Summary: Member Firm claimant alleges breach of contract in connection with the fai

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elaine Matthews v. Wallace Jeannine Fry and Salomon Smith Barney Docket Number: 2005-016059 Attomeys: For aaimant(s): Elaine Matthews - Tarpon Springs, FL For Respondent(s): Collen M. Fitzgerald - Tampa, FL Hugo Hilgendorff, IV - New York, NY Date Filed: 4/13/2005 First Scheduled: 09/08/2005 Dedded: 1 ol 5 / / l?5" Case Summary: Customer claimant alleges ne

" NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. v William H. Heidenreich, III Docket 2005-016058 Attomeys: For Claimant(s): W. Jerad Rissler - Atlanta, GA For Respondent(s): William Hank Heidenreich - Charlotte, NC DateFiled-4/21/2005 FhstScheduled: 01/18/2006 Dedded: 4/3/2006 Case Summary: Member firm claimant alleges failure to pay outstanding balance on a

" NYSE Regulation NYSE Regulation kthe Matter of Arbitration Between Case: Jill Avellone-Mack v. McDonald Investments, Inc. and J. Thomas Metcalfe vs. Jill Avellone-Mack Docket: 2005-016051 Attomeys: For aaimant(s): Alan J. Rapoport - Cleveland, OH For Respondent(s): Steven R. Malynn - Cleveland, OH Date Filed: 4/1/2005 First Scheduled: 04/25/2006 Dedded: Case Summary: Customer daimant alleges unauthorized and unsuitable trading, breach of c

f ' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. v. Darren Jurick Docket 2005-016047 Attorneys: For Claimant(s): Gregory R. Crochet - Adanta, GA Joyce M. Mocek - Atlanta, GA For Respondent(s): Darren Jurick - Plantation, FL DateFiled: 4/11/2005 First Scheduled: 5/19/2006 Dedded: 5/19/2006 Case Summary: Member firm daimant alleges breach of contract a

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Clarence Robertson v Morgan Stanley Docket Number: 2005-016045 Attomeys: For aaimant(s): Clarence M. Robertson - Neptune, NJ For Respondent(s): Joseph DaProcida - New York, NY DateFiled- 4/12/2005 First Scheduled: 10/31/2005 Dedded: 12/2/2005 Case Summary: Customer claimant alleges breach of fiduciary duty in connection with the failure to receive communica

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Merrill Lynch, Pierce, Fenner & Smith, Alan Fadel and Scott Brown v. William A. Strayer, Martha Strayer and Todd Strayer Docket Number: 2005-016038 Attomeys: For aaimant(s): Ari H. Jaffe - Cleveland, OH For Respondent(s): Jeffrey Kret - New York, NY DateFiled: 4/1/2005 First Scheduled: 09/28/2005 Decided: /^//< ^/^-f Case Summary: Claimants registered re

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Walter and Olivia Millar v. Norwest Investment Services, Inc., nka Wells Fargo Brokerage Services, LLC, and Wells Fargo Investments, LLC Docket 2005-016030 Attorneys: For Claimant(s): Richard A. Lewins - Dallas, TX For Respondent(s): Tamara A. Hoffbuhr - Denver, CO Date FOed: 3/29/2005 First Scheduled: 01/16/2007 Dedded: Case Summary: Claimants allege unsuitability, fra