New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. K&K Oil Co., Inc. Attorneys: For Claimantis): Alan Brodherson Esq. - New Yori(, NY For Respondentis): K&K Oil Co. Inc. - Llano, TX Date Filed: 11/11/1999 First Scheduled: 07/13/2000 Decided: : 07/13/2000 Case Summary: Member finn claimant alleges breach of contract and non-paymentof debit balance reganling purchase of 'Amr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nfltn ft ^f th p :_ClaiTnaTits P^^N 1111 ")^ 1 " 01-04013 Steven & Sharon Cutbirth Name of 1V T?p«;pnndentg Hearing-Site: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. Estate of Joseph R. English PF-PKFSF-NTAT10N Claimants Steven & Sharon Cutbirth. hereinafter collectively referred to as "Claimants": James D. Baskin. Ill, Esq., of

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Dora Ann Serraltes-Picciano v. Dean Witter Reynokls Inc. and Barbara M. Dinaburg Attorneys: For Claimantis): Scott J. Link Esq. - West Palm Beach, FL For Respondentis): Allison B. OonegheyEsq. - Sarasota, FL Peter W. Homer Esq. - Miami, FL Date Filed: 11/11/1999 First Scheduled: 07/13/2000 Decided: 09/13/2000 Case Summary: Customer claimant alleges churning

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Susan Levin v. Salomon Smitti Bamey, Davkl Woffindin & Rochelle Horst Attorneys: For Claimantis): Susan Levin - Lakewood, NJ For Respondentia): Ann Parry Esq. - New York, NY Date Filed: 10/26/1999 First Scheduled: 05/24/2000 Decided: 6-5-2000 Case Summary: Susan Levin, a customer of Salomon Smith Barney, alleges Uiat David Woffindin, her stockbroker, made u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anita Nimberger and Jeanne Bohr v. PaineWebber Inc. Attorneys: For Claimantis): Anita Nimberger - Wyckoff. NJ For Respondentia): Sandra 0. Grannum Esq. - Weehawken, NJ Date Filed: 11/08/1999 First Scheduled: 02/01/2000 Decided: 03/09/2000 Case Summary: Anita Nimberger, a customer of PaineWebberalleges that the broker's recommendation to purchase Compaq was improper.

iNew York Stock Exchange In the Molfer of Arbitration Between y^ NYSE Case: RonaM P. Stephensv. PaineWebber Incorporated. Rtohard L. Case, Sr, and James M. Pierce Attorneys: For Claimantls): William A. Jacobson Esq. - Provklence, RI For Respondentis): Davkl J. Kerman Esq. - Boston, MA Date Filed: 10/27/1999 First Scheduled: 06/27/2000 Decided^ 09/21/2000 Case Summary: Registered Representative claimant aleges wrongful terminatton and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Reza Asgari v Republic New Yoric Securities Corp. & RepubBc New Yoric Corporation Attorneys: For Claimantis): Joseph M. Heppt Esq. - New Yoric, NY For Respondentis): Andrew S. O'Connor Esq. - New York, NY Date Filed: 09/27/1999 First Scheduled: 05/16/2000 Decided: 05/22/2000 Case Summary: Claimant, a fomier employee, has alleged that respondentbreached their contract

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Bernard J. Morello v Charies Schwab & Co., Inc. Attorneys: For Claimantis): David A. Domina Esq. - Omaha, NE For Respondentis): Gilbert R. Serota Esq. - San Francisco, CA (o Is'to 0 Date Filed: 10/05/1999 First Scheduled: 03/21/1999 Decided: Case Summary: Customer against member firni for breach of account agreementwhen stocks were liquklated because respon

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leroy & Nola Dickson v Quick & Reilly, Inc. & Shannon Moore Attorneys: For Claimantis): Leroy & Nola Dickson - Morgan Hill, CA For Respondentia): Brian McSherry - New Yoric, NY Shannon Moore - New Yorit, NY Date Filed: 10/15/1999 First Scheduled: Decided: 04/05/2000 Case Summary: Claimants, customers, have alleged that respondentfailed to execute a sell order for

\ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David S. Dinsmore v. Piper Jaffray Inc and David P. Stevens Attorneys: For Claimantis): Ario D. Sommen/old Esq. - Sioux Falls, SD For Respondentis): Edward J. Pluimer Esq. - Minneapolis, MN Date Filed: 10/19/1999 First Scheduled: 02/29/2000 Decided: 10/10/2000 Case Summary: Claimant, a public customer, alleges unauthorizedtrading and unsuitability, breach of fi