New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Barry R. Kaplan (Successor Trustee of the Ingrid Bareuther Revocable Trust U/A DTD 4/27/95) v. Merrill Lynch and Douglas Chin Attorneys: For Claimant(s): Bruce S. Schaeffer Esq. - New York, NY For Respondent(s): William J. Manning, Jr. Esq. - New York, NY Date Filed: io/05/i998 First Scheduled: 04/07/1999 Decided: 05/05/1999 Case Summary: Claimant, a public cu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Bemardo Santos Attomeys: For Clalmant(s): Joseph A. Valk) Esq. - New Yorit, NY For Respondent(s): Bemardo Santos - New Yorit, NY Date Filed: 10/06/1998 First Scheduled: 03/22/1999 Decided: 03/22/1999 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due under ttie tenns of a promissory note f

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CNB Bancshares, Inc., Pinnacle Financial Servtees, Inc. and Pinnacle Financial Consultants, Inc. v Ernst 8i Company, Inc. Attorneys: For Claimants): Michael P. Coakley Esq. - Detroit, Ml For Respondent(s): Michael H. Du Boff Esq. - New York. NY Date Filed: 10/12/1998 First Scheduled: 09/28/1999 Oecided: 10/13/99 Case Summary: CNB Bancshares, Inc., Pinnacle Financ

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gaintal 8i Co. L.L.C. v. Lila Moran Attorneys: For Clalmant(s): Davkl W. Schmklt Esq. - New York, NY For Respondenlfs): Lila Moran - Brookline, MA Date Filed: 10/06/1998 First Scheduled: 02/25/1999 Case Summary: Member fimn claimant alleges breach of Client Agreementand non Product: OTHER Oecided: 05/21/1999 1 payment of debit balance fbllowing margin deficiency.

New. York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sanjjg Brothers & Company Ltd. v. Generex Phannaceuticals Inc. and Generex Biotechnology Corporation Attorneys: For Claimant(s): Richard A. Roth Esq. - New York, NY For Respondent's): Matthew Farley Esq. - New York, NY Date Filed: 09/01/1998 First Scheduled: O6/O8/1999 Decided: 09/22/1999 Case Summary: Claimant, a member firni, alleges breach of contract and anticip

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank D. Pinto v. Smith Bamey and Ted Calinog Attomeys: For Claimant(s): Frank D. Pinto - Wayne, NJ For Respondent(s): Ted Calinog - New Yorit, NY Ann Pany Esq. - New Yorit, NY Date Filed: 09/09/1998 First Scheduled: 12/14/1998 Oecided: 12/14/1998 Case Summary: Claimant, a customer, has alleged that respondentprovided inaccurate Infbrmation regarding an option pr

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Frank M. Paladino Attorneys: For Claimants): Arthur BaumgartnerEsq. - New Yorit, NY For Respondent(s): Frank M. Paladino - GuHfbrd, CT Date Filed: 09/14/1998 First Scheduled: 03/10/1999 Decided: 06/30/1999 Case Summary: Claimant, a member firm, alleges respondent, a registered representative and fbrmer employee, breached the temi

New York Stock Exchange In tbe Matter of Arbitration Between NYSE Case: Thomas Halikias vs. Warbugi Dillon Read LLC f/k/a UBS Securities, LLC Attorneys: For Claimant(s): David B. Wechsler Esq. - New York, NY For Respondent(s): Sharon Parella Esq. - New York, NY Date Filed: 09/09/1998 First Sctieduled: 03/16/1999 Decided: 12/10/1999 Case Summary: Registered Rep (fbrmer employee) vs. Member Firm and successor Member Firm alleging breach of

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Salomon Smtth Barney, Ina v Kennetti Michael Luskin Attorneys: For Claimant(s): Robert B. Ericson Esq. - Long Beach, CA Jaymee Kahn Esq. - New Yoric, NY For Respondentis): Kenneth Michael Lutein, Malibu, CA Oate Filed: 09/04/1998 First Scheduled: 04/13/1999 Decided: S-lil (q O f Case Summary: Member fimi against fonner registered representetive for balance due on a p

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mario Bruni and Ptetrina Bruni v. Chartes Goubeaudand Smith Barney Attorneys: For Claimant(s): William Harrison Esq. - Stamford, CT For Respondents): William A. Hohauser Esq. - New Yoric, NY Date Filed: 08/10/1998 First Scheduled: 02/02/1998 Decided: 5-27-1999 Case Summary: Mario Bruni and Pietrina Bmni, public customers, allege that the registered representative