New York Stock Exchange In the Matter of Arbitration Between NYSE Case: teir Herschman v Salomon Smith Barney, Inc., Raymond Mealte, Linda Schaffer, Jack Gaglione, Rosemary Francavllla, Elizabeth Kratica and Eric Spahr ^ Attorneys: For Claimant(s): Edward H. Gtenn, Jr Esq. - New Yoric, NY For Respondents): Marcie S. Mintz Esq. - New Yoric, NY Date Filed: 03/19/1999 First Scheduied: 09/09/1999 Decided: 09/15/1999 Case Summary: Claiman

I^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Cooper and EKsa Cooper v. Watertiouse Securlttes and Timothy Boyd Attorneys: For Claimants): RobertR. Cooper- Daltes, TX For Responctent(s): Janis Campanella Esq. - New Yoric, NY Date Filed: 03/29/1999 First Scheduled: O8/10/1999 Decided: 8/12/1999 Case Summary: Cteimant alleges respondentimproperiy executed an order resulting in a loss of $4872.00. Cteimant

New York Stock Exchange In the Matter of Arbitration Between y y NYSE Case: James C. Sheehan v Bear Stearns & Co., Inc. Attorneys: For Claimant(s): Richard J. Sgariato Esq. - Stolen Island, NY For Respondent(s): Oennis J. Block Esq. - New Yoric, NY Date Filed: 03/17/1999 First Scheduled: 10/05/1999 Decided: 11/03/1999 Case Summary: James C. Sheehan, an empteyee of Bear Steams who became fully disabled, alteges that he was denied

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CIBC OppenhelmerCorp. v Paul Busse Attorneys: For Claimants): Devin A. Donohue Esq. - San Francisco, CA For Respondents): Paul Busse - San Francisco, CA Date Filed: 03/22/1999 First Scheduled: 11/16/1999 Decided: 11/22/1999 Case Summary: Claimant a member firm, has alteged that respondentbreached his agreementby felling to repay money owed as a result of a

New York Stock Exchange In the Matter of Arbitration Between Case: CIBC OppenhelmerCorp. v Stephen Papate NYSE Attorneys: For Claimant(s): Devin A. Donohue Esq. - San Francisco, CA For Respondent(s): Lawrence G. Papate Esq. - SL Hetena, CA Date Filed: 03/22/1999 First Scheduied: 11/18/1999 Decided: 11/30/1999 Case Summary: Claimant a member fimi, has alleged that respondentbreached his agreement by failing to repay money due as a result

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Teresa M.G. Femandesv Merrill Lynch Attorneys: For Ciaimant(s): Teresa M.G. Femandes Esq. - Portugal, For Respondent(s): Michael E. OIney Esq. - New Yoric, NY Date Filed: 03/09/i999 First Scheduled: 07/14/1999 Decided: 07/15/1999 Case Summary: Customer against member firm for conversten of funds entrusted to registered representative. Claimant alteges that funds were

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert J. Wetnightand Patricia Wetnight, Aten M. Cohen, Alan M. Cohen, MD., P.A., Profit Sharing Plan and Trust, Fred D. Colon and Susan Goton, Paul A. Reynokls, Bruce G. Haynes, Debra Haynes and Haynes Family Trust vs. PaineWebber, Inc. Attorneys: For Claimants): William M. Rishol Esq. - Winter Paric, FL Philip Snyderburn, Esq. - Winter Parle, FL For Respondent(s)'. Richard

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ricardo LItvak v Sakxnon Smith Bamey Inc. Attomeys: For Claiinant(s): David B. Wechster Esq. - New Yoric. NY For Respondent(s): Jill L Rosenberg Esq. - New Yoric, NY Date Filed: 03/03/1999 First Scheduled: 10/28/1999 Decided: Case Summary: Claimant alleges respcxident induced him to take a job but dkl not pay the agreed upon compensatkxi} Cteimant also alleges responde

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lydia Pacwa v Prudential Securlttes, Inc. and Jeffrey Gelter Attorneys: For Claimant(s): Lydia Pacwa - Jackson Heights, NY For Respondent(s): Theodore M. Davis Esq. - New Yoric, NY Jeffrey Gelter - New Yoric, NY Date Filed: 02/12/1999 First Scheduled: 05/21/1999 Decided: 05/21/1999 Case Summary: Claimant, a customer, has alteged that she was pressured Into purcha

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Donakl G. Wamockv Men-ill Lynch Attorneys: For Claimant(s): Donald G. Warnock - Princeton, NJ For Respondent(s): Michael E. Ghasen Esq. - New Yoric, NY Date Filed: 02/12/1999 First Scheduled: 05/21/1999 Decided: 05/21/1999 Case Summary: claimant, a customer, has alteged that respondentprovkied bad investment advtee regarding a purchase of Med Partners, Inc.