New York Stock Exchange NYSE In the Matter of Arbitration Betwfen Case: Gnjnw * Company v. Stan Bymet >\ttomey8: For Cbrinwit(i}: ttevid Senmldt E< q. - KwHtwerttt, NJ For RMpendMd): imn Bymw bq. - New York, NY oate Filed: 12/120000 First Seneduled: owsmw Decided: ^Q '25/20OI Caae Summaiy: oiimwit, a nMirtMr fiim, •itages braad. of a piomttMry nott ind aMks Memnificilim of a MBtoPAMt amount paid to puUto cuatamn, fonrn dtento of tt» rospondent in

New York Stock Exchange ^ In the Matter of Arbitration Between NYSE Case: llya Alex Shpartier v. Fidelity Invesbnente Attomeys: For CteiiTiant(s): ilya /Mex Shparber - Houston, TX For Re5pondent(s): Colleen A. Hankins Esq. - Boston, MA Date Filed: 12/08/2000 First Scheduled: 05/02/2001 Decided: 05/11/2001 Case Summary: Claimant a publk: customer, alleges that responctenrs teilure to execute a transaction in GM shares ki a timely manner c

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Judy Sidonio vs. Merrill Lynch and Edward W. Blab vs. The Vanguard Group Attorneys: For Claimant(s): JudiUi Sidonio - Oldsmar, FL For Respondent(s): Jennifer A. Woods Esq. - New York, NY Date Filed: 12/04/2000 First Scheduled: 07/O6/2001 Decided: 07/I6/2001 Case Summary: Customer vs. Member Firm and Registered Rep alteging teilure to diversity, failure to fdkiw instr

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Barry Bondy vs. Salomon Smith Bamey Attomeys: For Claiaiant(s): Peter S. Peariman Esq. - Saddlebrook, NJ For Respondent(s): Sean J. Coughlin Esq. - New York, NY DateFiled: 11/27/2000 First Scheduled: 05/08/2001 Decided: 07/18/2001 Case Summary: Customer vs. Member Firm alleging teilure to follow instructions, unauttiorized transactions and use of margin, failur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03921 Mantis Securities, Inc. Claimant vs. Israel Katcher, Respondent. ATTORNEYS: Claimant, Mantis Securities, Inc. ("Claimant"), appeared through its President, Brad Treichler, Levittown, NY. Respondent, Israel Katcher, ("Respondent"), appeared pro se, La Grangeville, NY. DATE FILED: July 24, 2001 CASE SUMMARY: Claimant alleged that Respondent agreed to purchase shares in two

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Janney Montgomery Scott LLC v. Philip E. Lonergan Attorneys: For Claimant(s): Paula Shaffner Esq. - Philadelphia, PA For Respondent(s): Christoper B. Jones Esq. - Scranton, PA Date Filed: 11/24/2000 First Scheduled: 04/18/2001 Decided: 7/17/2001 Case Summary: Janney Montgomery Scott alleges ttiat registered representetive Philip Lonergan felled to repay the balan

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Mtierto Vateagna, trustee for Rae Investmente Inc. v Menill Lynch, Jorge Carreras and John Morris Attomeys: For Claimant(s): Eric S. Hutoer Esq. - New Yoric, NY For Respondent(s): Theodore A. Krebsbach Esq. - New Yoric, NY Date Filed: 11/O6/2000 First Scheduled: 11/O6/2001 Decided: 08/09/2001 Case Summary: Cteimant, a customer, has alleged that respondente engaged i

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /Vkady Mavashev and Rena Mavashev (JT TEN) v Wateriiouse Securities, Inc. (BD # 7870) Attomeys: For Claimant(s): Steven B. Camso Esq. - New Yoric, NY For Respondent(s): Liam O'Brian Esq. - New Yoric, NY Date Filed: 10/26/2000 First Scheduled: 05/10/2001 Decided:6/22/01 Case Summary: Customer against member firm fbr unauttiorized liquidations. Product: Market:

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Margaret J. Meding and Christine Hitchen v. Merrill Lynch and Clinton B. Factor Attorneys: For Claimant(s): Margaret Meding - Cedar Grove, NJ For Respondent(s): Daren Luma Esq. - New York, NY Date Filed: 10/04/2000 First Scheduled: 03/21/2001 Decided: 04A)2/200l Case Summary: Margaret IMedlng was ttie benefidary of a trust and Christine Hitchen was the bustee. Ms. Me

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lance A. Rotti v. Salomon Smitti Bamey and Citigroup inc. Attomeys: For Claimant(s): Neil A Sussman - New York, NY For Respondent(s): Marde Mintz Esq. - New Yoric, NY Date Filed: 10/18/2000 First Scheduled: 03/O6/2001 Decided: 07/09/2001 Case Summary: Cteimant a registered representetive and former employee, alleges breach of contract breach of fidudary duly, breach