New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cary Corp. v. Lehman Brothers Attorneys: For Claimant(s): Michael J. Levin Esq. - New York, NY For Respondent(s): William Oishan Esq. - New York. NY Date Filed: 02/19/1999 First Scheduled: 08/17/1999 Decided: 1-14-2000 Case Summary: Cary Corp., a customer of Lehman Brothers, alleges that the firm executed a sell order for AOL common stock after the sell order

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Lewis and Nancy Jablonski vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Russell Clark Attorneys: For Claimant(s): Stanley T. Padgett Esq. - Tampa, FL For Respondent(s): Todd A. Zuckerbrod Esq. - New York, NY Date Filed: 02/08/1999 First Scheduled: 09/13/1999 Decided: 01/21/2000 Case Summary: Customers vs. Member Firm and Registered Rep alleging unauthorized

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence Barysh v. Asiel & Co. Attorneys: For Claimant(s). David B. Gorfinkel Esq. - New York, NY For Respondent(s): Michael Bowe Esq. - New York, NY Date Filed: 01/11/1999 First Sctieduled: 05/19/1999 Decided: 4-14-2000 Case Summary: Lawrence Barysh, a former employee of Asiel & Co., alleges that Asiel & Co. underpaid him in breach of contract. Mr. Barysh se

' yw York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Floyd Harvey v. Ladenburg Thalmann & Co., Inc., Donald Bauman and Victor Labi Attorneys: For Clalmaiit(s): Siinon S. Kogan Esq. - New York, NY For Respondentis): Richard L. Baum Esq. - Portland, OR Date Filed: 05040001 First Scheduied: 11/130001 1 Decided: 12/11/2002 Case Summary: Claimant a public customer alleges chi/i^lng, unsuHabllity. vtolaHons of Fed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Popkin Case Number: 01-03998 Estate of Ruby Popkin (Claimants) Prime Capital Services Hearing Site: New York, New York Salvatore P. Liggieri (Respondents) ^ REPRESENTATION OF PARTIES Claimants, Richard Popkin ("R. Popkin") and Estate of Ruby Popkin ("Estate Popkin"), hereinafter collectively referred to as "Claimants": Neil L. Fuhrer, Esq., Neil L. Fuhrer & A

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Laura Goldbeig v. Charies Schwab & Company Inc. Attorneys: For Claimant(s): Laura Goldberg - Belle Hart}or, NY For Respondents): Eamonn F. Foley Esq. - New Yoric. NY Date Filed: 12/21/1998 First Scheduled: 04/21/1999 Decided: 07/12/1999 Case Summary: Claimant, a public customer, alleges respondent, a member firm failed to follow instmctions regarding the sale of shar

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntel & Company vs. James W. Branch Attorneys: For Clalmant(s): Davkl W. Schmidt Esq. - Kenilworth, NJ For Respondents): James VV. Branch - Detroit, Ml Date Filed: 11/25/1998 First Scheduled: O8/10/1999 Decided: 08/10/1999 Case Summary: Claimant, a member fimn, has alleged that respondentfailed to meet a margin caH, therefore causing a debit balance in the acco

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Louis Baccash v Paine Webber, Inc., Thomas Kealy and Joseph Pramer Attorneys: For Claimants): Envin Cohn Esq. - Chicago, IL For Respondent(s): Andrew J. Melnick Esq. - Weehawken, NJ Date Filed: 12/16/1998 First Scheduled: 06/30/1999 Decided: 07/13/1999 Case Summary: Claimant, a customer, has alleged that respondente engaged in unsuiteble and unauthorized trading and

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rose Alaimo and Lawrence G. /Maimo v. Bear Steams & Co. Inc. and Robert S. Finkelstein and Steven Uicia Attorneys: For Claimants): Ralph Gant Esq. - New Yort(, NY For Respondent(5): Arthur G. Jakoby Esq. - New York, NY John D. Singer Esq. - New Yori< , NY Date Filed: 12/08/1998 First Scheduied: 05/13/1999 Decided: November 19, 1999 Case Summary: Rose Alaimo an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eric E. Anderson and Melanie B. Anderson, JTWROS etal, Claimants v. Victoria Anastasia Pierce and New World Securities, Respondents Case Number: 01-03996 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Eric E. Anderson and Melanie B. Anderson, JTWROS, hereinafter referred to as "Claimants": Marc A. Wites, Esq., Wites & Kapetan, P.A., Deerfield Beach, Florida.