( # • NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Joseph Galbo Docket 2005-016026 Attomeys: For Claimant(s): James C. Creel - Philadelphia, PA For Respondent(s): Steven M. Selz - Palm Beach, FL Date Filed: 3/16/2005 First Scheduled: 09/01/2006 Dedded: 11/8/2006 Case Summary: Member Firm Claimant alleges breach of contract and non-payment of promissory note. Product Promiss

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mark R. Lange Case No. 01-03493 Wayne Hummer Investments, LLC Site- Milwaukee, Wisconsin Claimant Mark R. Lange appeared pro se. Respondent Wayne Hummer Investments, LLC was represented by G.T. (Ted") Becker, CFO, Wayne Hummer Investments, LLC, located in Chicago, Illinois. Statement of Claim filed on or about: July 2, 200 L Claimant signed the Uniform Submission Ag

# I NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Anthony Louis DiGregorio, Jr. v. Citigroup Global Markets, Inc. Docket 2005-016025 Attomeys: For Claimant(s): Steven S. Biss - Richmond, VA For Respondent(s): Laura H. Allen - New York, NY Date Filed: 3/16/2005 First Scheduled: 10/16/2006 Dedded: 11/21/2006 Case Siunmary: Claimant, a former employee, alleges wrongful termination, defamation, intentional an

J NYSE Regulation WYS: £ Regulation In the Matter of Arbitration Between Case: Lawrence Scharf v. Advest, Inc. Docket 2005-016018 Attomeys: For Claimant(s): Lawrence Scharf - Redding, CT For Respondent(s): Michael Kalmus - New York, NY DateFiled: 1/24/2005 First Scheduled: 11/15/2005 Dedded: 4/20/2006 Case Sununary: Registered representative claimant alleges Respondent placed unwarranted and harassing restrictions on his business activity wh

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Darrell Prinsell, Patricia Prinsell individually and as custodian for their minor childrens' accounts, and Brian Prinsell v. Merrill L)aich, Pierce, Fenner & Smith, Inc. and John A. Borsellino Dockeb2005-016006 Attorneys: For ClaiTnant(s); Jenice L. Malecki - New York, NY For Respondait(s): Ted Snyder - New York, NY Date Filed: 3/3/2005 First Scheduled: 08/22/2006 Dedde

" NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Christopher Cornette v. Ben Chinea, Brean Murray & Co., Direct Access Partners, Inc. Docket: 2005-015993 Attorneys: For Gainiant(s): Donald Neidhardt - Brooklyn, NY Mary C. Freeze - Brooklyn, NY For Respondent(s): David Lackowitz - New York, NY Thomas J. McCabe - New York, NY DateFiled: 2/16/2005 First Scheduled: 09/11/2006 Dedded: 12/26/2006 Case Summary: Claimant

" NYSE Regulation NYSE Regulation In the Matter of Arbitration Between pe: SIG Specialists, Inc. v. Corroon, Lichtenstein & Co., LLC, George A. Corroon, Jr., Robert R. Lichtenstein, George A. Con:oon, Sr.. Gwen L. Scavone, Craig T. Lichtenstein, Lisa L. Knutzen, Courtney T. Corroon-Haggerty, George A. Corroon III Trust, and Frank Ventimiglia Docket: 2005-015988 Attorneys: For Claimant(s): M. Norman Goldberger - Philadelphia, PA For Respondent(s): Al

( I '.NYSE Regulatioi^. NYSS Regulation In the Matter of Arbitration Between Case: Orville C. Winstead and Mary K. Winstead v. UBS Financial Services Inc. Docket 2005-015984 Attorneys: For Ciaimant(s): Thomas R. Ajamie - Houston, TX For Respondent(s): Paul D. Flack - Houston, TX DateFiled-2/10/2005 First Scheduled: 02/14/2006 Dedded: 4/24/2006 Case Summary: Claimant customers allege unsuitability, negligence, failure to supervise, misreprese

^ I •NYSE NYSE Regulation , the Matter of Arbitration Between Case: Austin J. DeCoster, Austin J. DeCoster, Trustee of the DeCoster Revocable Trust and LBl Holdings, LLC v. Lehman Brothers Docket: 2005-015975 Attomeys: For Claimant(s): Jan Kramer - Des Moines, IA Todd Strother - Des Moines, IA William Smith - Des Moines, IA For Respondent(s): David G. Russell - Atlanta, GA Patrice R. Walker - Atlanta, GA DateFiled: 1/27/2005 Firs

• NYSE Regulation ^hrSE Regulation In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Allison Stark Docket 2005-015953 Attomeys: For Claimant(s): Victor A. Machcinski - New York, NY For Respondent(s): Michael H. Ference - New York, NY DateFiled: 1/7/2005 First Scheduled: 10/20/2005 Dedded: 4/11/2006 Case Summary: Member firm claimant alleges breach of contract in connection with the failure to repay the balance due on a promissor