NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03452 Estate of Walter Louis Burson, claimant vs. Salomon Smith Barney Inc. and Richard H. MacMillan, Jr. , respondents. ATTORNEYS: For Claimant appeared Donald L. Cook, Jr., Esq., of the Law Offices of McGee & Oxford, LLP, Atlanta, GA. For Respondents appeared Ann Parry, Esq., in-house counsel, New York, NY. DATE FILED: June 29, 2001 CASE SUMMARY: Claimant alleged that respond

Page 1 of 3 • NYSE Heouiai.ior NYSE Regulation In the Matter of Arbitration Between Case: Qrville N. Greene Trust (Irrevocable), Orville N. Greene Trust No. 2, ONG Associates, L.P„ Victoria h Navarra Trust f/b/o J. Greene, Victoria A. Navarra IRA v Neuberger Berman, LLC and Neuberger Berman Inc. Docket: 2003-012252 Attorneys: For aaimant(s): Robert Heim - New York, NY For Respondent(s): Victor A. Machdnski Jr. - New York, NY Date Filed

Page 1 of2 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Deborah Surrette and George Hughes v. Salomon Smith Barney, Philip Louis Spartis, Jack Benjamin Grubman Docket Numben 2003-012207 Attorneys: For Claimant(s): Seth Lipner - Garden City, NY For Res>pondent(s): Jeffrey L. Liddle - New York, NY Terry D. Weissman - Chicago, IL Date Filed: 8/19/2003 First Scheduled: 02/14/2005 Dedded: 10/18/2005 Ca

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: The Joyce S. Douglas 1998 Revocable Tmst, by Laura Douglas Mitkas, Tmstee vs. Morgan Stanley DW, Inc. Docket Number: 2003-011292 Attomeys: For Claimant(s): Erwin Shustak - San Diego, CA For Respondent(s): Clifford Hyatt - Los Angeles, CA Date Filed: 1/13/2003 First Scheduled: 1/27/2004 Decided: 5/21/2004 Case Summary: Customer vs. Member Firm alleging over-

^w NYSE ' York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jafifray Inc. v. Gary L. Nickel Docket Number: 2003-011278 Attomeys: For Claimant(s): Steven M. Phillips - Minneapolis, MN For Respondent(s): Gary L. Nickel - Tulsa, OK Date Filed- 1/3/2003 Fu-st Scheduled: 05/10/2005 Dedded: / '^// ^/^_r Case Summary: Member firm claimant alleges breach of contract in connection with the failure t

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harold R. Banke, Jr., Executor of the Estate of Harold R. Banke, Sr., v. Merrill Lynch, Pierce, Feimer & Smith, Inc. and Richard D. Restagno Docket Number: 2003-011264 Attomeys: For Claimant(s): J. Pat Sadler - Atlanta, GA For Respondent(s): Larry Polk - Atlanta, GA ^ Date Filed: 1/9/2003 First Scheduled: 1/27/2004 Decided :2/2o/2004 Case Summary:

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray, Inc. v. Thomas R. Schloeder Docket Number: 2003-011255 Attomeys: For Claimant(s): Nathan P. Breima - Minneapolis, MN For Respondent(s): Thomas Schloeder - Moorhead, MN Date Filed: 1/3/2003 First Scheduled: 2/3/2004 Decided: 2/3/2004 Case Summary: Claimant member firm alleges respondent former employee/registered representativ

{ ) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Raymond E. Fredrick and Marilyn P. Fredrick v. Prudential Inc. Docket Number: 2003-011240 Attomeys: For CIaimant(s): Tim Wright - Stuart, FL For Respondent(s): Debra Jenks - Jupiter, FL Date Filed: 1/3/2003 First Scheduled: 6/15/2004 Decided: 6/16/2004 Case Summary: Customer claimants allege misrepresentation, unsuitable trading, breach of fiduciary

• NYSE \ New York Stock Exchange '^ In the Matter of Arbitration Between Case: Anthony Doria and Joseph Pedraz vs. Raymond James Financial and Gene Melamud Docket Number: 2003-012104 Attomeys: For CIaimant(s): Anthony Doria - Dunedin, FL For Respondent(s): Rick Buchwalter - St. Petersburg, FL Date Filed: 7/16/2003 First Scheduled: 2/23/2004 Decided: 2/23/2004 Case Summary: Customers vs. Member Firm and Registered Rep alleging unsuita

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Johnson Tool Co., Inc. v. Edward D. Jones & Co., L.P. Docket Number: 2003-012149 Attomeys: For Claimant(s): Drew Mouton - Big Spring, TX For Respondent(s): Jonathan Pace - Dallas, TX Date Filed: 7/29/2003 First Scheduled: 3/9/2004 Decided: 3/9/04 Case Summary: Claimant alleges Respondent member firm permitted an unauthorized transfer of funds from C