New York Stock Exchange Tn the Matter of Arbitration Between NYSE Case: Ruth Sacks v. Gregg Weiss (Agent fbr Prudential Securities Ina) Attomeys: For Claimant(s): Ruth Sacks - So Pakn Beach, FL For Respondents): Richard Martens Esq. - West Palm Beach, FL Date Filed: 01/24/2000 First Scheduled: 08A)9/2000 Decided: 08/09/2000 Case Summary: Customer claimant alleges mismanagementchumkig, and unsuitable trading, reganling portlblo of *bkie c

New York Stock Exchange In the Matter of Arbitration Between > ./' NYSE Case: Timonthy Cronm v Pnidential Securities Inc. Attorneys: For Claimants): Timothy J. Cronin - FrankHn Square, NY For Respondent(s): Darleen Monaco Esq. - New Yoric, NY Date Filed: 12/28/1999 First Scheduled: Decided: 06/25/2000 Case Summary: Claimant, a customer, has alleged that respondentmade improper investments and unauthorizedtrades. There are no specifk

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Fernando Mollica v. Quick & Reilly Attorneys: For Claimant(s): Gregory Mason Esq. - Mineola, NY For Respondent(s): Brian McSherry Esq. - New York, NY Date Filed; oi/ig/2000 First Sclieduled; 04/03/2000 Decided: 4-14-2000 Case Summary: Fernando Mollica was a customer of Quick & Reilly. The Statement of Claim alleges that he mailed a letter to the firm with

11 mn Street New Yoric, NY 10005 / New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ingeborg Schwenhert v Hornblower Fischer & Co. !S! 9 ^ H _ Attorneys: ' ~ "• »^-' — For Claimant(s): NeAYn.l. IngeborgSchweickert-Manheim Germany, 1:017: Exctiarige, Inc For Respandent(s): Kevin T. Hoffman Esq. - Greenwich, CT Date Filed: 01/21/2000 Case Summary: account for margin Claimant, calls. a

New York Stock Exchange NYSE ^n the Matter of Arbitration Between Case: John Rtedel v. D.H. Blair & Co. Inc. Attorneys: For Claknant(s): Jay L. Uner Esq. - Baltimore, MD For RaBpondent(s); Jeffrey R. Martin Esq. - Boston, MA Date Filed: 01/21/2000 First Scheduled: O6/29/2000 Decided: 10/31/2000 Case Summary: Customer claimant aHeges bihtre to foHow instrucltons, misrepresentetton, and unsuitable trading reoardlngslodi purchases. oaknaniiiied an

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Clare A. Sherwood vs. Satomon Smith Bamey, Inc. (f/k/a Smith Bamey Shearson) and Gerald DeMeo Attorneys: For Clalmant(s): Erto S. HutnerEsq. - New Yori(, NY For Respondent(s): Etta M. Gumbs Esq. - New Yort< , NY Date Filed: 01/14/2000 First Scheduled: 05/10/2000 Decided: 05/10/2000 Case Summary: Customer vs. Member Fimn and Registered Rep alteging failure to execute Claimant's or

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pasquale Cecio, Judith Cedo & Joseph Cecio v. Shearson Lehman Brothers, Inc., now Smith Bamey and Daniel Kooribusch Attorneys: For Claimant(s): Mario De Marco Esq. - Port Chester, NY For Respondent(s): Mary Reisert Esq. - New York, NY Date Filed: 01/12/2000 First Scheduled: 6-1-2000 Decided: 12/13/2000 Case Summary: Pasquale Cedo, Judith Cecio and Joseph Cecio ("Clai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Israel Weint>erg & Molly Weinberg v Bear Stearns, Andrew Haas, AvI Rojany Attorneys: For Clalmant(s): Leonard Steiner Esq. - Beverly Hills, CA For Respondent(s): Michael M. Gless Esq. - Long Beach, CA Date Filed: 12/21/1999 First Scheduled: 02/23/2000 Decided: 10/18/2000 Case Summary: Customers against member firm to rescind a settlement agreement procedure under dur

New York Stock Exchange In the Matter of Arbitration Between 1/ NYSE Case: Susan Gates v. Oppenheimer& Company, Geoffrey S. Paul and The Paul Group Attorneys: For Claimant(s): Leonard Steiner Esq. - Beveriy Hills, CA For Respondents): Neal S. Robb Esq. - Long Beach, CA Date Filed: 12/21/1999 First Scheduled: 05/10/2000 Decided: November 28, 2000 Case Summary: Claimant, a public customer, alleges fl^ud, negligence, unsuitability, brea

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alexander Polk v Morgan Stanley Dean Witter, Keith Conty, Todd Galinko, Kevin O'Dea & Richanj Smith Attorneys: For Claimants): Alexander B. Polk - Guttenberg, NJ For Respondent(s): Paul G. Thomas Esq. - New Yori(, NY Date Fiied: 12/13/1999 First Scheduled: 04/17/2000 Decided: 05/04/2000 Case Summary: Claimant a customer, has alteged that respondentexecuted an unautho