NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03481 Alexander Gutnik, Claimant vs. Hill, Thompson, Magid & Co., Respondent. ATTORNEYS: Claimant appeared pro se, Los Angeles, CA. For Respondent appeared Timothy Burke, Esq., of the firm Bingham Dana LLP, Boston, MA. DATE FILED: July 2, 2001 CASE SUMMARY: Claimant alleged respondent fraudulently executed an order to buy shares of a bulletin board "penny stock" at a higher price t

^NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cynthia Thomae aka Cynthia Dowdall Thomae v. Salomon Smith Barney, Inc. Dodcet Number: 2004-015752 Attomeys: For Gaimant(s): Milton H. Fried - Kingwood, TX For Respondent(s): Jennifer P. Nore - Phoenix, AZ Qaim Data: Qaim: Punitive: Atty Fees: Dqwsit: $213,000.00 UNSPECIFIED UNSPECIFIED $750.00 DateFiled: 10/5/2004 First Scheduled 10/25/2

" NYSE Regulation NYSE Regulation In the Matter of Arbitration Between fise: Questern Corporation and Gerald Klein v. UBS Painewebber, Inc., Andres Eduardo Loboguerrero and Donald B. Marron "Docket: 2004-015674 Attorneys: For Claimant(s): Gerald Klein - Newport, VT For Respondait(s): Sara Soto - Miami, FL Date Filed 8/5/2004 First Scheduled 06/07/2005 Dedded 8/9/2006 Case Summary: Customers v. Member Firm and Registered Representatives alleg

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph). Timmes, ]r., M.D. by Power of Attorney, for and in the name of Eleanor C. Timmes v. Prudential Securities Incorporated n/k/a Prudential Equit)' Group, LLC and Ra)'n]ond M. Diorio v. Judy Herring Docket Number: 2004-015609 Attomeys: For Claiinant(s): Daniel A. Ball - Bethesda, MD For Respondent(s): Christine M. Debevec - Philadelphia, PA Date Filed: 7/23/20

• NYiSE Regulation NYSE Regulation Inihe Matter of Arbitration Between Iiybe Case: Edsel D. Sparks v. Merrill Lynch Pierce Fenner & Smith, Inc. and Brent D. Sturgill Docket: 2004-015539 Attomeys: For Gaimant(s): G. Lynn Thorpe - New Rochelle, NY For Respondent(s): Ellen B. Cohen - Atianta, GA Date Ffled 5/14/2004 First Scheduled: 06/21/2005 Dedded: 7/21/2006 Case Summary: Claimant customer alleges breach of fiduciary duty, breach of contract, vi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe and Wynn, Inc. (Claimant) vs. Daniel J. Roach (Respondent) Case Number: 01-03478 Hearing Site: Boston, New York REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe and Wynn, Inc., hereinafter referred to as "Claimant": Susan F. Drogin, Esq., Attorney at Law, Boston, MA. Respondent, Daniel J. Roach, hereinafter

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Jamshed Bari Dar and Najma J. Dar v. H&R Block Financial Services, Robert Owings, Henry Skyler and Michael McCormick Docket: 2004-015505 Attomeys: For Claimant(s): Jamshed Bari Dar - Hackettslown, NJ For Respondent(s): David T. Doyle - Detroit, MI DateFiled 6/7/2004 Fust Scheduled: 01/25/2005 Dedded: 11/27/2006 Case Summary: Claimants, public customers, allege u

INYSE New York Stock Exchange [n the Matter of Arbitration Between Case: Earnestine Sykes v. Edward Jones & Co., LP Docket Number: 2004-015493 Attomeys: For Gaimant(s): Debra Hayes - Kingwood, TX For Respondent(s): M. Jane Matoesian - St. Louis, MO Date Filed 5/28/2004 Fust Scheduled: 09/20/2005 Dedded: 11/29/2005 Gase Summary. Customer Claimant alleges breach of fiduciar)' duty, breach of contract, violations of NYSE and NASD rules,

* NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Larry L. Schoolar v. Salomon Smith Barney, Inc. Docket 2004-015470 Attomeys: For Gaimant(s): Celeste M. Chiaramonte - Kingwood, TX For Respondait(s): G. Wayne Hillis, Jr. - Atianta, GA Date Filed 5/28/2004 Fust Scheduled: 10/11/2005 Dedded 7/19/20O6 Case Summary: Customer daimant alleges breach of fidudary duty, breach of contract, negligence, misrepresentations, failur

.^YSE Reauiation 4YSE Regulation In the Matter of Arbitration Between Vnse: Thomas G. Roberts and Mell H. Roberts v. A.G. Edwards, Inc. Docket:2004-015424 Attomeys: For Gaimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): James Browning - St. Louis, MO Date Filed: 5/4/2004 First Scheduled: 08/19/2005 Dedded: 9/26/2006 Case Summary: Claimant customers allege unsuitability, negligence, breach of fiduciary duty, breach of contract, fail