New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gary H. Elzweig v. Smith Bamey and Steven T. Flacco Attorneys: For Claimantls): Eravin Cohn Esq. - Chicago, IL For Respondent's): James S. Goddard Esq. - New York, NY Date Filed: 12/02/1998 First Scheduled: 04/i4/i999 Decided: 07/15/1999 Case Summary: Customer claimant alleges unsuitable trading, misrepresentation and failure to supen/ise. Product: EQU IWari^et:

Wew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nancy Hart vs. Pnidential Securities. Inc., Kevin Reed and Douglas Sotorzano Attorneys: For Claimants): Richard H. Levenstein Esq. - Stuart, FL For RespoiKlent(s): Darleen Monaco Esq. - New York, NY Kevin Mtohael Reed-New York, I4Y Date Filed: 11/24/1998 First Scheduled: 05/12/1999 Decided: 10/06/1999 Case Summary: Customervs. Member Firm and Registered Reps alle

./ New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Wheat First Union v. Mark Duffy and Legg Mason Wood Walker, Inc. Attorneys: For Claimant(s): John MacDonald Esq. - Lawrenceville, NJ For Respondent(s): Gayle B. Stein Esq. - Philadelphia, PA Date Filed: 11/25/1998 First Scheduled: 04/27/1999 Decided: /^ -p v-^-^ Case Summary: Wheat First Union alleges that Mark Duffy, its fbrmer stockbroker and L

/ xVew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. LeonardWain Attorneys: For ClaimanKs): Rtehard G. Masterson Esq. - New Yoric, NY For Respondent(8): Frank L^wis Esq. • Phoenix, AZ Date Filed: 11/16/1998 First Scheduled: 04/30/1999 Decided: 06/10/1999 Case Summary: Member rum vs. Registered Rep (fomner empkiyee) seeking to recover amounts due underthe terms of a promissory note

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Theodore Land v. PaineWebber, Inc. Attorneys: For Claimant(s): Theodore Lanci - Syosset, NY For Respondent(s): M. Major Khan Esq. - Weehawken, NJ Date Filed: 11/02/1998 First Scheduled: 02/04/1999 Decided: 2-9-1999 Case Summary: Theodore Lanci, a public customer, alleges that the registered representative misrepresented the investment merit of "All fbr a Doll

ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Gilbert Carter v. Dave McCaih & J. C. Bradford Attorneys: For Claimant(s): Gilbert Carter- Jonesborough.TN For Respondent(s): Linda Gibbons Willis Esq. - Nashville, TN Date Filed: 11/12/1998 First Scheduled: 03/23/1999 Decided: 3-25-99 Case Summary: Gilbert Carter, a public customer, alleges the firm and its registered representative erroneously executed a sell or

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CIBC OppenheimerCorporatnn v. Glenn Pere Attorneys: For Clalmant(s): Ltoyd S. Clareman Esq. - New Yorit, NY For Respondent(s): Benedict L. Sliney Esq. - Mineola, NY DateFiled: 11/10/1998 First Scheduled: 05/19/1999 Decided: 07/26/1999 Case Summary: claimant, a member firm, alleges Respondent, a public customer, failed to pay a debit balance in a margin account involv

New York stock Exchange NYSE In the Matter of Arbitration Between Case: Gruntal & Co., LLC v. Chaites J. Montsro Attorneys: For Claimantls): Wss Holstxm, Esq. " Hiapo., FL For Rsspondanlts): CharlesJ. Montsro • Miami, FL Charies J. Montsro- New Yorit, NY Date Filed: 10/14/1998 First Scheduled: 04/15/1999 Decided: 05/12/1999 Case Summary: Mamiwr Ann claimant alleges breach of Emptoyment Agreement and non payment of Promissory Note and non-payment

New York Stock Exchange In the Matter of Arbitration Between y- NYSE Case: Peter F. Szabo, Szabo Associates Inc., Mildred Szabo and Lorain Szabo v. Merrill Lynch Attorneys: For Clafmant(s): Steven J. Gard Esq. - Atlanta, GA For Respondent(s): Marianne Bretton-GranatoorEsq. - New York, NY Date Filed: 10/14/1998 First Scheduled: 05/11/1999 Decided: 05/20/1999 Case Summary: Claimants, public customers, allege misrepresentation and failu

New York Stock Exchange Tn the Matter of Arbitration Between NYSE Case: Prudential SecuriOes, Inc. va. James Halck. Jr. Attomeys: For Claimant(s): Alan s, Brodherson bsq. - New York, NY For Raapondant(a): Delmer C. Gowing Esq. - Delray Beach, FL Date Filed: 10/D5/1998 First Scheduled: 04/22/1999 Decided: 04/22/1999 Case Summary: Member Firm vs. Registered Rep (fomier emptoyee) seeking to recover amounts allegedly due under ttie terms of