New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Betty A. Eitteman v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frands S. Chlapowski Esq. - New Yorit, NY Date Filed: 08/13/1999 First Scheduled: 05/17/2001 Decided: 5-24-2001 Case Summary: Betly A Eitteman (Claimant) alleges ttiat MerriH Lynch Pierce Fenn

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Tayel Shehate v. Okie Discount Corporation, Bruce Welnstein and Jody Houston Attomeys: For Clalmant(s): G. Alexander Novak Esq. - New Yoric, NY For Respondent(s): Theodore A. Krebsbach Esq. - New Yorit, NY Date Filed: 08/11/1999 First Scheduled: 05/18/2000 Decided: 03/12/2001 Case Summary: Customer daimant alleges unsuiteble trades on margin, misrepresentetion, violation of Secu

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Jenny A. Puchte v A.G. Edwards & Sons, Inc., Michael J. Doherty and Emest G. Rocchettt Attorneys: For Clalinant(s): Bmce A. Langer Esq. - New York, NY For Raapondent(s): l\4ichael Naccarato Esq. - St Louis, MO Date Filed: 07/16/1999 First Scheduled: 11/16/1999 Decided: i* :^?/ol Case Summary: Customer v member finn, regtetered representettve and branch office manag

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nonnan Blerireind v. Charies Schwab & Company Inc. Attomeys; For Claimant(s): Norman Bterfireind - East Brunswick, NJ For Respondent(a): Amir Tadjedin Esq. - San Francisco, CA Date Filed: 07/09/1999 First Scheduled: 09/17/1999 Decided: 10/26/1999 Case Summary: Customer, a public customer, alleges teilure to execute against Respondent, a Member Finn. Cteimant contends

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Wedbush Morgan Securities, Inc. v Robert Guarino and Bemard Herold & Company Attorneys; For Claifnant(s): Gary Holmes Esq. - Los Angeles, CA For Respondent(s): Mitton R. Gteit Esq. - White Plains, NY Robert Guarino - Maspeth, NY Date Filed; 07/06/1999 First Scheduled: 02/29/2000 Decided; 02/O8/2001 Case Summary: Claimant, a member firm, has alleged that responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Brandel (Claimant) v. Salomon SSB, Inc. n/k/a Citigroup Global Markets, Inc. and Ernest Casciole (Respondents). Case Number: 01-03946 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Laura Brandel ("Brandel") hereinafter referred to as "Claimant": Louis F. Burke, Esq., Louis F. Burke, P.C., New York, NY. Respondent, Salomon Smith Barney, Inc., n/k/a Cit

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Frances S. Greenbaum, Individually and as Trustee of the Jesse K. Greenbaum Revocable Trust dated 11/26/90, v. Gruntel & Company, LLC, Robert Greenbaum and Bernard Barry Salzman Attorneys: For Claimant(s): Phillip A. Cole Esq. - Minneapolis, MN For Respondent(s): Donald N. Cohen Esq. - New York, NY Robert Greenbaum - Luthervllle, MD Date Filed; 06/25/1999 First Scheduled: ii

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rasmussen. Erik, v. Smith Bamey, Inc. and Philip J. Canzoneri Attorneys: For Claimant(s): Erik Rasmussen - Whitestone, NY For Respondent(s): Ann Parry Esq. - New York, NY Date Filed; 06/25/1999 First Scheduled; 09/10/1999 Decided: 09/10/1999 Case Summary: Claimant, a public customer, alleges respondents, a member firm and registered representative, made certain repre

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Norma Koff v. Salomon Smitti Barney Attorneys: For Claimants): Nomia Koff - Babyton, NY For Respondent(s): Ann Parry Esq. - New Yorit, NY Date Filed: 06/01/1999 First Scheduled: 09/I6/1999 Decided: 10-15-1999 Case Summary: Nonna Koff, a customer of Salomon Smith Barney, contends her stockbroker gave her the wrong infonnation about the number of shares in her

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case; Munray S. Monroe v. Ladenburg,Thalmann & Co. & Correspondent Sen/ices Corp. Attorneys: For Claimants): Murray S. Monroe Esq. - Cincinnati. OH For Respondents): Joseph Giovanniello Esq. - New Yorit, NY Vincent Ollva Esq. - Weehawken, NJ Date Filed: 06/10/1999 First Scheduled: 09/16/1999 Decided: 12-17-1999 Case Summary: Murray Monroe, a customer of Laden