Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Case No. 01-04754 Hearing Site: Boca Raton, Florida Names of Respondents Salomon Smith Barney, Inc. Peter H. Silcox REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") hereinafter referred to as "Claimant": Joseph A. Dougherty, Rubin and Associates, P.C., Paoli, Pennsy

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marvin J. Rothenberg. Inc. Pension Trust. Marvin J. Rothenberg. Trustee v Gruntal & Co.. Inc. Attorneys: Fbr Ciainant(s): Marvin J. Rothenberg - Fair Lawn. NJ For Respondent(s); Davkl Reppaport - New York, NY Date Filed: O6/15/92 First Scheduled: 10/20/92 Decided: 10/20/92 Case Summary: claimant, a customer, alleges thet respondent failed to deliver certain mut

U-' Ve York Stock Exchange [n me Matter of Arbitration Between NYSE 3ase: Nathan LIfson v Prudential Securities and Dennis Sandman Xttorneys: =or Claimant(s): Nathan Lifson - Pomona, NY -or Respondent(s): )et>bie Stone Mishan Esq. - New York, NY Date Filed: 06/18/92 First Sciieduled: 11/30/92 Decided: 05/19/93 ^ase Summary: Claimant, a customer, has alleged that respondents misrepresented information regarding the redemption charges

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Jorge V. Lopez-Ramirez v Merrill Lynch Pierce Fenner & Smith. Inc. Attorneys: Fbr Clainiant(s): Jorge V. Lopez-Ramirez - Rio Piedreas. PR Fbr Respondent(s): James Gross Esq. - New York. NY Date Filed: O6/12/92 First Sciieduled: 10/20/92 Decided: 10/20/92 Case Summary: claimant, a customer, has alleged that respondent failed to properly handle their checking acc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shlrley Lesser and Richard Lesser v Prudential Securities. Inc. Attorneys: For Claimant(8): Shirely Lesser - Mamaroneck. W Fbr Respondent(s): Pamela M. Kenny Esq. - New York. NY Date Filed: 06/OS/92 First Scheduled: 10/20/92 Decided: 10/20/92 Case Summary: claimant, customers, have alleged that respondet's wrongfully transferred their shares of chancelk>r tex managed

l/^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard SilberfeM and Nancy Silberfekl v Prudential Securities, Jim Jensen and Alan Raffer Attorneys: For Clainiant(s): Leonard & Nancy Silberfekl - Nonwood. NJ Fbr Re6pondent(8): Herbert J. Marek Esq. - New York. NY Date Filed: O6/17/92 First Sctieduied: 12/18/92 Decided: 12/01/92 Case Summary: claimants allege that respondents wrongfully debited claimants'

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Co.. Inc. v Kevin Quinn Attomeys: For Claimanl(e); Joel Stuttman Esq. - New Yori(, NY For ReapoiMlenl(e): Kevin Quinn - Boston. MA Date Filed: Case 07/21/92 Summary: Rrst Scheduled: Member Firm against registered representative fbr Product: OTHER 06/10/93 Deckied: 6/10/93 8n 8li09^ bf98ch of protnissory noto flQiwnsnt. Market

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Markowitz v Merrill Lynch Pierce Fenner & Smith, Inc., Roy T. Whiteman, Jr., and Hershell Parent Attorneys: For ClainvBnt(s): Ralph A. Gant Esq. - New York, NY Fbr Respondent(s): John J. Kilkenny Esq. - New York, NY Date Filed: 07/10/92 First Scheduled: 11/23/92 Decided: 12/20/92 Case Summary: customer against member firm and registered representatives for alleged

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Kidder. Peabody & Company. Incorporated v Jacqueline Alexander Attorneys: For Clainnnt(s): Sheila A. Chervin Esq. - New York. NY Fbr Respondents): Jacqueline Alexander - Short Hills. NJ Date Filed: 07/06/92 First Scheduled: 12/15/92 Deckied: os/ie/es Case Summary: Claimant alleges that Respondent incurred tosses in an option account and currently maintains a debit balance.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Kidder, Peabody & Company, Incorporated v Henry Val and Packard Capital Inc. Attorneys: For Claimant(s): Sheila A. Chennn Esq. - New York, NY For Respondent(s); Henry Val - Brooklyn, NY Date Filed: 07/07/92 First Scheduled: 01/22/93 Decided: OAm/ss Case Summary: Member Firm V Customer. Claimant seeks damages for toss incurred as a result of failure of customer to pay