i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kathleen Kelly vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Hubie OToole Docket Number: 2001-009698 Attomeys: For Claimant(s): Anthony Hom - New York, NY For Respondent(s): Thomas L. Weisenbeck - Florham Park, NJ Date Filed: 12/17/2001 First Scheduled: 7/10/2002 Decided: 6/10/2004 Case Summary: Customer vs. member Firm and Registered Rep alleging unsui

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Salomon Smith Barney, Inc. v. Dr. Peter U. Nwangwu Docket Number: 2001-009370 Attomeys: For Clainiant(s): Martin Cole - New York, NY For Respondent(s): Peter Nwangu - Dallas, TX Peter Nwangwu - Suagarland, TX Date Filed: 8/16/2001 First Sclieduled: 2/12/2003 Decided: 02/12/2004 Case Summary: Claimant, a Member Firm alleges Respondent, a Public Custo

' NYSE Regulation NYSE Regulation In the Matter of Arbitration Between ^Base: Prudential Securities, Inc. v Ron Oren v Prudential Securities, Inc. 'Docket 2001-009086 Attorneys: For CIaimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Steven V. Rheuban - Los Angeles, CA Date Ffled: 3/29/2001 First Scheduled: 10/30/2001 Decided: 1/12/2007 Case Sununary: Member firm against former customer for breach of pledge agreement. Respond

Page 1 ofI • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ron Yandell and Pamela Yandell, v. First Union Securities, Inc. and Edwin Troy Hawkins Docket Number 2001-009386 Attorneys: For Qaimant(s): Tracy P. Stoneman - Westcliffe, CO For Respondent(s): Troy Hawkins - Manson, WA Date Filed: 8/30/2001 First Scheduled: 10/29/2002 Decided: 11/04/2005 Case Summary: Claimants, PubUc Customers, allege churning, una

" NYSE Regulaiio NYSE Regulation In the Matter of Arbitration Between n Base: ^od Michael T. O'Brien v James Kruzan and Raymond James Financial Services, Inc. ocket 2006-016422 Attomeys: For Claimant(s): G. Lynn Thorpe - New Rochelle, NY For Respondent(s): Terrance A. Bostic - St. Petersburg, FL Date Ffled: 2/2/2006 First Scheduled: 07/27/2006 Decided: 10/5/2006 Case Sunmiary: Claimant customer alleges unsuitable investments in equities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peregrine Financials & Securities, Inc., Claimant v. Faramarz B. Hakakha, Respondent Faramarz B. Hakakha, Counter-Claimant v. Peregrine Financials & Securities, Inc., Counter- Respondent Faramarz B. Hakakha, Third-Party Claimant v. ABN AMRO Incorporated, Robert B. Cihlar, Sr., Robert W. Uria, and James F. Kelly, Third-Party Respondents Case Number: 01-03418 Hearing Site: Los Ang

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harvey Millstein vs. Janney Montgomery Scott, Inc. and Walter Tye Docket Number: 2000-008541 Attomeys: For Claimant(s): Morgan Bentley - Newark, NJ For Respondent(s): Paula Shaf&ier - Philadelphia, PA Date Filed: 6/9/2000 First Scheduled: 11/20/2000 Decided: 2/11/2004 Case Summary: Customer vs. Member Firm and Registered Rep alleging unauthorized transactions,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ms Tegwen S. Hunt v. HSBC Securities (USA) be. Docket Number: 2002-009795 Attomeys: For Claimant(s): Ethan Brecher - New York, NY For Respondent(s): Kenneth Kelly - New York, NY Date Filed: 1/23/2002 First Scheduled: 3/4/2003 Decided: V/rA/^ Case Summary: The statement of claim alleges tortious interference with prospective business advantage; a

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Frank Romanelli, Carol RomaneUi & Frank Romanelli, IRA v. Janney Montgomery Scott & Peter Costanzo Docket Number: 2001-009689 Attomeys: For Claimant(s): Anthony Horn - New York, NY For Respondent(s): Joseph Dougherty - West Chester, PA Date Filed: 12/5/2001 First Scheduled: 8/7/2002 Decided: 2^; iT.r/''^ Case Summary: The claim alleges unsui

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mary Starr v. Morgan Stanley Dean Witter, Inc. Docket Number: 2004-015027 Attomeys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Keith Guilfoyle - New York, NY Date Filed: 2/3/2004 First Scheduled: 4/01/2004 Decided: 4/22/2004 Case Summary: Customer v. Member Firm alleging negligence, misrepresentations, unsuitable investments, lac