i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael S. Adams and Susan S. Adams vs. Citigroup Salomon Smith Bamey Docket Number: 2003-011909 Attomeys: For Claimant(s): Michael Adams - Madison, WI For Respondent(s): Ann Parry - New York, NY Date Filed: 5/7/2003 First Scheduled: 3/9/2004 Decided: 3/30/2004 Case Summary: Customers vs. Member Firm alleging unsuitable recommendations to purchase World

i>NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Timothy R. Clancy Docket: 2003-011888 Attomeys: For Claimant(s): James Creel - Philadelphia, PA For Respondent(s): Timothy R. Clancy - Delray Beach, FL Date Ffled: 5/29/2003 First Scheduled: 02/24/2005 Dedded: 3/13/2006 Case Summary: Member firm claimant alleges breach of contract and non-payment of promissory note. Product Promissory Note Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John M. Turner, (Claimant) vs. Joan Brown and Raymond M. Brown, (Respondents) Case Number: 01-03450 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, John M. Turner, hereinafter referred to as "Claimant", appeared pro se. Respondent, Joan Brown ("J. Brown"), did not appear at the hearing in this matter. Represented by: Greta K. Kolcon, Esq., Woods Oviatt Oilm

.4 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Flora Rich, Stuart Rich v. A.G. Edwards & Sons, Inc., Susan B. Pearlman Dodcet: 2003-011825 Attorneys: For Claimant(s): Bruce A. Langer - New York, NY For Respondent(s): Jeffrey P. Newman - Northvale, NJ Date Ffled: 5/2/2003 First Scheduled: 06/14/2005 Dedded: ^ , ^ ,,.,„„ ^ 2/24/2006 Case Suimnary: Customer claimants allege mismanagement, unsuitability, breach

i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Eugene Pasymowski and Catherine Pas>'mowski v. Morgan Stanley Dean Witter Docket Number: 2003-011817 Attomeys: For ClaimaDt(s): Debra Speyer - Philadelphia, PA For Respoadent(s): Gary Jackson - New York, NY Date Filed: 5/6/2003 First Scheduled: 4/27/2004 Decided: May 14, 2004 Case Summary: Claimants customers allege Respondent member firm breached t

^•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ross Gilbert and Mary Gilbert v Salomon Smith Barney and Jack Grubman Docket Number: 2003-011791 Attomeys: For Claimant(5): Jeffery L. Liddle - New York, Ni' For Respondent(s): Peter R. Boutin - San Francisco, CA Date Filed: 4/28/2003 First Scheduled: 11/16/2004 Dedded: 11/08/2005 Case Summary: Customer daimants allege violations of federal securities laws, fraud,

^ ^ NYSE ' York Stock Exchange In the Matter of Arbitration Between (Hase: Lehman Brothers Inc. v. Peter Carmasino Docket Number: 2003-011779 Attomeys: For Claimant(s): Jackie Gorham - New York, NY For Respondent(s): David A. Gehn - New York, NY Date Ffled- 4/25/2003 First Scheduled: 08/09/2004 Decided: ///^zy c:r i Case Summary. Member firm claimant alleges breach of contract in connection whh the failure to repay th

) • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rebecca Wright Twine, Phd, M.D. vs. Merrill Lynch Pierce Fenner & Smith, Inc. vs. and Michael A. Noone Docket Number: 2003-011754 Attomeys: For Claimant(s): Rebecca Wright Twine - Hempstead, NY For Respondent(s): William J. Manning, Jr. - New York, NY Date Filed: 4/16/2003 First Scheduled: 2/25/2004 Decided: 2/27/2004 Case Summary: Customer vs. Member Fir

n ^ «^ . ^ IWSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Gerald M. Jacobs and Grace C. Jacobs v. Steven M. Swarm and Legg Mason Wood Walkerjnc. Docket: 2003-011738 Attorneys: For Claimant(s): Richard H. Levenstein - Stuart, FL For Respondent(s): Jason W. Gaarder - Baltimore, MD Date Filed: 4/7/2003 First Scheduled: 02/14/2006 Decided: 10/20/2006 Case Summary: Customer Claimants allege unsuitable trading and inves

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Norman Huff and Wilma Huff v. Pmdential Securities, Inc., Michael G. Dobbins Docket Number: 2003-011725 Attomeys: For CIaimant(s): Jacob Zamansky - New York, NY For Respondent(s): Loren Schechter - New York, NY j Date Filed: 4/2/2003 First Scheduled: 2/10/2004 Decided: ^Lll^Af_^ Case Summary: Customer claimants contend that the respondent disreg