New York Stock Exchange \n the Matter of Arbitration Between y" NYSE Case: Dean March! v. Waterhouse Securities Inc. Attorneys: For Claimants): Steven B. Caruso Esq. - New Yorit, NY For Respondent(s): Liam O'Brien Esq. - New York, NY Date Filed: 07/3i/2000 First Scheduled: 02/13/2001 Decided: 02/22/2001 Case Summary: Claimant, a public customer, alleges Respondents member firm, Ik^uklated shares in Claimant's margin account due to a

y New York Stock Exchange )In the Matter of Arbitration Between NYSE Case: Henry and Theresa Haas v Sakimon Smitti Bamey and Paul Penzel Attorneys: For ClaimantCs): Solomon A. Amusan Esq. - Savannah, GA For Respondent(s): Etta M. Gumbs Esq. - New Yoric, NY Paul Penzel - FlinL Ml Date Filed: 07/12/2000 First Scheduled: 05/17/2001 Decided: 05/29/2001 Case Summary: Claimante allege ttiat ttie Respondente foiled to advise ttiem of tt

. New York Stock Exchange •) In the Matter of Arbitration Between NYSE Case: Stenlslav Lazbin v TD Waterhouse Investor Services, Inc., f/k/a Waterhouse Securities Attomeys: For Clwmant(s): Jenice L Matecki Esq. - New Yoric, NY For Respondent(s): Liam O'Brien Esq. - New Yori< , NY Date Filed: 07/24/2000 First Scheduled: 11/16/2000 Decided: " / 5-/0/ Case Summary: Stenlslav I azhin alleged ttiat infomnation regarding his margin posi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paul F. Ferguson v Charles Schwab & Co., Inc. Attomeys: For Claimant(s): Paul F. Ferguson - Soutti Portland, ME For Respondent(s): Steve Murphy Esq. - San Francisco, CA Date Filed: 07/17/2000 First Scheduled: 01/25/2001 Decided: 01/25/2001 Case Summary: Customer claimant alleges misrepresentetion regarding trade made on Telebroker service using a stop limit order and

New York Stock Exchange NYSE ^n the Matter of Arbitration Between Case: Charles M. Fallon. Jr v. Salomon Smith Barney Inc. (f/k/a Smith Barney Inc.) and Citigroup Inc. (f/k/a Travelers Group Inc). Attorneys: For Claimant(s): Neil A. Sussman Esq. - New York, NY For Respondent(s): Marcie S. Mintz Esq. - New York, NY Date Filed: 06/20/2000 First Scheduled: 11/15/2000 Decided: 02/23/2001 Case Summary: Claimant seeks the return of Citigroup shareswhich w

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-03913 Silas Clarke Trustee for the Clarke Family Trust, dated 4/24/89 Claimant vs. TD Waterhouse Investor Services, Inc., Respondent. ATTORNEYS: Claimant, Silas Clarke Trustee for the Clarke Family Trust, dated, 4/24/89, appeared pro se, San Pedro, CA. For Respondent appeared in-house counsel, Janis Campanella, Esq., Ft. Lauderdale, FL. DATE FILED: July 24, 2001 CASE SUMMARY: Claiman

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elias Teplitzky and Josefina Artese v. Prudential Securities, Inc.; Claudto Nahmias; Mercedes Rigou; Merrill Lynch Pierce Fenner & Smitti and Richard Peny Attorneys: For Claimant(s): Richard Rotti Esq. - New Yort< , NY For Respondent(s): Maria D. Metendez Esq. - New York, NY Date Filed: 06/26/2000 First Scheduled: 03/O6/2001 Decided: 10-23-2001 Case Summary: C

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Sara Sirotzky v Sanford Bemstein & Co., Inc. Attomeys: For Claimant(sV- Edward X. Clinton, Jr. Esq. - Chicago, IL For Respondent(s): Matthew J. Brief Esq. - New Yori< , NY Date Filed: O6/09/2000 First Scheduled: 04/17/2001 Decided: 06/23/2001 Case Summary: Customer alleges ttiat respondent mismanaged her account in a negligent and imprudent manner. Claimant seeks refom of cap

New York Stock Exchange ) In the Matter of Arbitration Between NYSE Case: Sanford C. Bemstein & Co., Inc. v Steven J. Shepp, Craig I. Bloom, Brain S. Katz Attorneys: For Claimant(5): Lawrence R. Goklberg Esq. - Saint Louis, MO For Respondent(s): Howard O. Boltz, Jr. Esq. - Santa Monica, CA Date Filed: 05/31/2000 First Scheduled: 12/07/2000 Decided: 03/09/2001 Case Summary: Member firm against fbrmer registered representatives for retaini

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marian F. DeSantis vs. First Unton Capital Markets Corp., formerly Wheat First Securities, Vdlbia V\/heat First Union, Wlbia Wheat First Butcher Singer, and David MehaKck, an indivkiual Attomeys: For Claimant(s): Mary Bower Sheets Esq. - Pittsburgh, PA For Responderrt(s): Bin B. Young Esq. - Cleveland. OH Date Filed: 06/23/2000 First Scheduled: 10/27/2000 Decided: 04