I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Thomas Bachmann v. Salomon Smith Barney, Inc. Docket Number: 2001-009617 Attomeys: For Claimant(s): Gary Stunqjp - New York, NY For Respondent(s): Jill Rosenberg - New York, NY Sean Coughlin - New York, NY Date Filed: 11/9/2001 First Scheduled: 4/18/2002 Decided: 3/19/2004 Case Summary: Thomas Bachmann was a Senior Vice-President in the Financial Institutio

^ i I 'Ti'Vlrork Stock Exchange n tfie Matter of Arbitration Between Hase: Walter Leib v. Merrill Lynch Docket:2002-010886 Attorneys: For Claimant(s): Richard DeVita - Hoboken, NJ For Respondent(s): Edwin Zipf - New York, NY Date Filed: 10/16/2002 First Scheduled: 09/23/2003 Decided: / / / ^ / ^ ^ Zasit Summary: Customer Claimant alleges fraud, misrepresentations and omissions, breach of fiduciary duty, failure

i NYSE New York Stock Exchange I"-*He Matter of Arbitration Between Case: Lehman Brothers Inc. v Olusoia Awofala Docket: 2002-010146 Attomeys: For Qaimant(s): Atlantis Tillman Langowski - San Francisco, CA For Respondent(s): Olusoia Awofala - San Francisco, CA Date Filed: 4/4/2002 First Scheduled: 12/15/2005 Decided: I /18/2006 jase Summary: Claimant, a member firm, has alleged that resopndent breached his agreement by failing to repay money

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Belle Rockman Revocable Trust, (Claimant) vs. Fahnestock & Co., Inc., Ernest Mishne, and Sean Mishne, (Respondents) Case Number: 01-03417 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, The Belle Rockman Revocable Trust, hereinafter referred to as "Claimant": Joshua R. Cohen, Esq., Gary, Naegele & Theado, Cleveland, OH. Respondents, Fahnestock & Co., Inc. (

s N.A.S.D. ANUD NKnOHKL AUSOdATZOT C2P SHODHTTIES TTHffiBBB let SecuritiM OMtara, ine. NASD RnaneW Cmiar 33 Whitehall SlTMC New York, New York 10004 IB tbB of tte Aitoilsatiaa BllaK. 90-01469 sLSsssesass Stanley B. 2ioy«a Ppefetted Seesaeitias, me. Itr GlaiaBBt: HUliaa C. Ian* o£ ItoMlU & Zana, P.C. For Sa^xinriantat Oooais O. Kazp£, Cauaalar at of Claim flladx Hty 23, 1990. my 18, 1990 aigpad by nalnant-

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Names of C^laim^nts Harold and Meriam Duke 96-02815 Namy of Respondent Joel J. Lipton REPRESENTATION The Claimants Harold S. And Meriam K. Duke ("the Dukes") appeared QJB sg. The Respondent Joel J. Lipton ("Lipton") appeared QIQ Sfi- CASE INFORMATION Statement of Claim filed on: January 28, 1996. Claimants' Submission Agreement

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Vincente Olvera Calderon, Illiani Nohemi Olvera NadiaB. Olvera and 00-01211 Dallas, Texas Name of Respondents Horacio G. Valle and Bear, Stearns & Co., Inc. REPRESENTATION OF PARTIES Vincente Olvera Calderon, Illiani Nohemi Olvera and Nadia B. Olvera ("Claimants") were represented by Hardin Ramey, Esq., Blakeley & Ramey, Dallas, Texas.

• NYSE Regulation NYSE Regulation In the Matter of Arbitration Between Case: Wachovia Securities, LLC v James S. Polese Docket: 2006-016443 Attomeys: For Qaimant(s): Demian J. Betz - Richmond, VA For Respondent(s): Grover S. Parnell, Jr. - Boston, MA Date Filed: 3/2/2006 First Scheduled: 06/05/2007 Decided: Case Summary: Member firm claimant alleges breach of contract in connection with failure to repay the balance due on a promissory note.

• NYSE Regulation NYSE Regulation In the Matter of Aibitration Between Case: Susan Joan Mitchell v. Bear, Stearns & Co., Inc. and Merrill Lynch Docket:2006-016413 Attorneys: For Claimant(s): Jenice L. Malecki - New York, NY For Respondent(s): Gene Small - New York, NY Melissa Getler - New York, NY Stuart T. Rebish - New York, NY Date Filed: 12/29/2005 First Scheduled: 09/19/2006 Decided: 7/19/2007 Case Summary: Claimant, a public customer, a

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Philip A. Vickers and 01-03409 Phoenix, Arizona Name of Respondents Quick & Reilly, Inc. Charles Bradford CofFm Stewart Lasher Stothoff REPRESENTATION OF PARTIES Philip A. Vickers ("Claimant") appeared pro se. Quick & Reilly, Inc. ("Respondent Quick & Reilly"), Charles Bradford Coffin ("Respondent Coffin") and Stewart Lasher Stothoff ("R