i' NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Lehman Brothers, Inc. v. John Zografos Docket 2003-011503 Attorneys: For Claimant(s): Victor A. Machcinski - New York, NY For Respondent(s): Daniel J. Donovan - Baltimore, MD Date Filed: 3/4/2003 First Scheduled: 11/12/2003 Dedded: 12/7/2006 Case Summary: Member Firm Claimant alleges breach of contract and non-payment of Promissory Note. On May 7, 2003 Responde

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William Wiedemann v. Morgan Stanley Docket Number: 2003-011498 Attomeys: For Clainiant(s): Jeffrey Pederson - Dallas, TX Richard Lewins - Dallas, TX For Respondent(s): Adam Cole - New York, NY 3 Date Filed: 2/26/2003 First Scheduled: 3/29/2004 Decided: 4/1/2004 Case Summary: Customer claimant alleges negligence, breach of contract, unsuitability

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janice Aglio, guardian to Theresa Manno v. Fahnestock & Co., Inc. Docket Number: 2003-011484 Attomeys: For Ciaimant(s): Janice Aglio - Huntington Station, NY For Respondent(s): Kathryn Gostinger - New York, NY Date Filed: 1/28/2003 First Scheduled: Decided: 4/7/04 Case Summary: Public customer claimant alleges that investment in a high yield bond fund w

) I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Colette Bartlett-Borland v. Morgan Stanley Dean Witter Docket Number: 2003-011456 Attomeys: For Clainiant(s): Tim Wright - Stuart, FL For Respondent(s): Todd Zuckerbrod, West Palm, Beach Date Filed: 2/14/2003 First Scheduled: 2/24/2004 Decided: 2/26/04 Case Summary: Customer claimant alleges unsuitable investments, failure to supervise, breach of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garrett Bauer, (Claimant) vs. On-Site Trading, LLC, (Respondent) Case Number: 01-03448 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Garrett Bauer, hereinafter referred to as "Claimant": Richard C. Szuch, Esq., and Cindy D. Salvo, Esq., Lowenstein Sandier, PC, Roseland, NJ. Respondent, On-Site Trading, LLC, hereinafter referred to as "Respondent": Michael H.

I NYSE New Yoric Stock Exchange ID tbe Matter of Arbitration Between Case: Joseph F. Kirch v. Charles L. Schwab & Co., Inc. Docket Number: 2003-011444 Attomeys: For Ciainiant(s): Joseph Kirch - Guttenberg, NJ For Respondent(s): Sean Meehan - San Francisco, CA Date Filed: 2/7/2003 First Scheduled: 8/21/2003 Decided: S^ j "? / ^ V Case Summary: Claimant alleges that he attempted to sell his stock but was prevented from doing so

^ •iMYSE New York Stocit Exchange In tbe Matter of Arbitration Between Case: Donald Marshall and Marjorie Marshall vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Joseph Funigiello Docket Number: 2003-011435 Attomeys: For Claimant(s): Sidney Jackson - Mobile, AL For Respondeiit(s): Bennett Falk - Ft. Lauderdale, FL Date Filed: 2/18/2003 First Scheduled: 3/16/2004 Decided: 3/19/2004 Case Summary: Customers vs. Member Firm an

Page 1 of4 •NYSE NYSE Regulation In the Matter of Arbitration Between Case: Cheryl Schwarzwaelder and Steven B. Schwarzwaelder v. Salomon Smith Barney,Inc. Dave Williams and Ken Kuska v. Cheryl Schwarzwaelder Docket: 2003-011428 Attomeys: For Claimant(s): For Respondent(s): Ethan A. Brecher - New York, NY Robert A. Buhlman - Boston, MA Date Filed: 2/20/2003 First Scheduled: 10/18/2005 Decided: "SL/Z^^/ ^ T Case Summar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bmce Barron vs. Case Number: 06-00006 Hearing Site: Minneapolis, Minnesota Name of Respondent Wachovia Securities, LLC f/k/a Prudential Securities, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Bruce Barron ("Claimant") was represented by April L. LIndauer, Esq., Shaheen. Novoselsky, Staat, FllipowskI & Ecclest

^fi> • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Eddie H. Smith v Morgan Stanley Dean Witter Docket 2005-015926 Attomeys: For Claimant(s): William H. Gladden - Savannah, GA For Respondent(s): Christopher Gawley - Purchase, NY Date Filed: 12/29/2004 First Scheduled: 11/15/2005 Dedded: 2/15/20O6 Case Siunmary: Customer claimant alleges unsuitability, overconcentration in proprietary mutual fiinds, failure to discl