i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: loseph Tortoretti vs. Morgan Stanley DW, Inc. Docket Number: 2002-011106 Attomeys: For Gaimant(s): lames D. Keeney - Sarasota, FL Lawrence L. Klayman - Boca Raton, FL For Respondent(s): Allison B. Doneghey - Pensacola, FL Mark E. McKane - San Francisco, CA Date Filed: 12/3/2002 First Scheduled: 10/16/2003 Decided: 11/10/2005 Case Summary: Customer C

^•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Vincent N. Mistretta v HSBC Securities Docket Number: 2002-011105 Attomeys: For Claimant(s): Pearl Zuchlewski - New York, NY For RespondeDt(s): Kenneth Kelly - New York, NY Date Filed: 12/3/2002 First Scheduled: 10/29/2003 Decided: 5/11/04 Case Summary: Registered representative v member firm alleges constructive discharge, breach of agreement and refii

NYSE i^ ' S£ Regulation e Matter of Arbitration Between Case: Nevada Business Credit v. Banc of America Securities, LLC, and Randall Baum and Steve Behnke Docket: 2002-011094 Attomeys: For Claimant(s): For Respondent(s): Erwin Cohn - Chicago, IL Cameron Stout - San Francisco, CA Date Filed: 11/29/2002 First Scheduled: 11/08/2004 Decided: 1 hh 7 Case Summary: Customer Claimant alleges breach of contract, churning, unsu

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: C. Lamar Philips, Revocable Living Trust, Charlotte Lamar and James O. Philips vs. Menill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2002-011069 Attomeys: For Claimant(s): Stephen Murphy - Phoenix, AZ For Respondent(s): Paul Schumacher - Los Angeles, CA Date Filed: 12/3/2002 First Scheduled: 10/21/2003 Decided: 4/5/2004 Case Summary: Customers vs. Mem

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert and Denise Kadar v. Banc of America Securities, LLC Docket Number: 2002-011054 Attomeys: For Claimant(s): Stuart Meissner - New York, NY For Respondent(s): Ben Suter - San Francisco, CA Peter Boutin - San Francisco, CA Date Filed: 11/25/2002 First Scheduled: 10/27/2003 Decided: 04/20/2004 Case Summary: Claimants, public customers, allege comm

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03440 Abraham and Shirley Bielski David Bielski, Roth IRA Abraham Bielski, IRA Shirley S. Bielski, IRA David Bielski and Natalie Bielski Zaifert Names of the Respondents Hearing Site: Tampa, Florida Robert W. Baird & Co. Inc. M. David Epstein REPRESENTATION OF PARTIES For Abraham and Shirley Bielski, David Bielski, Roth IRA, Abraham Bielsk

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Myrene Slightam, individually and as Trustee for the Frederick and M. Slightam Revocable Intervivos Trust, (Claimants) vs. Brookstreet Securities Corporation, Stanley C. Brooks and Eric L. Stem, (Respondents). Case Number: 00-01216 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES The Claimants were represented by: Robert L. Gonser, Esq. Resolution Law Gro

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v Harold Y. Beckwith Docket Number: 2002-011038 Attomeys: For Claimant(s): Steven Gomberg - Chicago, IL For Respondent(s): Harold Beckwith - Little Rock, AR Date Filed: 11/18/2002 First Scheduled: 5/11/2004 Decided: 5/28/04 Case Summary: Member Firm v. Registered Rep alleges breach of employment agreement. Failure to p

I IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Samuel I. Pridgen, III and Eleanor Williams Pridgen v. Wachovia Securities and David Palmer Stamper Docket Number: 2002-011035 Attomeys: For C]aimant(s): Nicholas Thomas - Raleigh, NC Philip Isley - Raleigh, NC For Respondent(s): Brian Carlis - Lawrenceville, NJ Date Filed: 10/31/2002 First Scheduled: 1/1/1900 Decided: S'/Z^/^y Case Summary: Th

*NYSE : n '. NYSE Regulation lolhe Matter of Arbitration Between I^he Case: ise: John Goldsberry v Bear Stearns & Co. Inc. Docket: 2002-011027 Attomeys: For Claimant(s): George S. Trevor - Corte Madera, CA For Respondent(s): Kelly J. iMoynihan - San Francisco, CA Date Filed: 11/12/2002 First Scheduled: 10/10/2005 Decided: 9/26/2006 Case Summary: Claimant, customer, has alleged that respondent breached their fiduciary duty by engaging in