New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC WM Janney Montoomery Scott Inc. v Dennis Van DIngenen Attorneys: For Clainiant(s): Donna L. Levy Esq. - West Palm Beach, FL For Respondsnt(s): Den'lis Van Dingenen - Wellington, FL Date RIed: OBoaaooo Rrst Scheduled: O4A)3/2O01 Decided: 08/08/2001 Case Summary: Member firm claimant aleges breach of cor ilract, non-paymentof promissory note, and u(\ius

New York Stock Exchange )n the Matter of Arbitration Between NYSE Case: Anna C. Badzik Trust, Anna C. Badzik, Trustee v. Memll Lynch, Joseph Brooks and Beveriy McClelland Attomeys: For Cialmant(5): Brian P. Biggins Esq. - Rocky River, OH For Respondent(s): Kathryn Jones Troy Esq. - New York, NY Date Filed: 06/05/2000 First Scheduled: 12/13/2000 Decided: 1-10-2001 Case Summary: Anna Badzik was a customer of Merrill Lynch and Its stock

.New York Stock Exchange hn the Matter of Arbitration Between NYSE Case: Fahnestock & Co.. Inc. v William C. Squires Attorneys: For Claimant(s): Eric J. Shames Esq. - New York, NY For Respondents): William C. Squires - Bellmore, NY William Squires- Hauppauge,NY Date Filed: 06/05/2000 Case Summary: Claimant, a member firm, First Scheduled: 02/13/2001 has alleged that respondentdkl not repay Product: Decided: 02/13/

New York Stock Exchange > In the Matter of Arbitration Between NYSE Case: Pmdenlial Securities Incorporated v. James Kujawski Attomeys: For Claiinant(s): Robert AW. Boraks Esq. - Washington, DC For Respondent(s): Mtehael J. McAHister Esq. - New York, NY Date Filed: O6/13/2000 First Scheduled: 04/25/2001 Decided: 10/03/2002 Case Summary: Claimant a member firm, alleges breach of contract with respect to an empfoyment agreement and a promi

>iNew York Stock Exchange In the IVJatter of Arbitration Between NYSE Case: Sheldon Terman, Trustee for the Sheldon Terman Living Trust dtd. 9/14/93 v. Stifel, Nicolaus & Co., Inc. Attorneys: For Claimant(s): Lonnie K. Martens Esq. - West Palm Beach, FL For Respondent(s): Jeff Kalinowski Esq. - St Louis, MO Date Filed: 06/01/2000 First Scheduled: 03/O6/2001 Decided: 05/03/2001 Case Summary: Customer claimant alleges unsuitable trading in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robin McTague Name of Respondent CIBC World Markets Corporation f/k/a CIBC Oppenheimer Corporation Case Number: 01-03910 Hearing Situs: Boca Raton, Florida REPRESENTATION OF PARTIES For Robin McTague, hereinafter referred to as "Claimant": Richard A. Ivers, Esq., Navon, Kopelman & Lavin, P.A., Ft. Lauderdale, Florida. For CIBC World Markets Corpo

^New York Stock Exchange NYSE the Matter of Arbitration Between r in Case: Dr. Martin Kaplan v. Charies Schwab Attorneys: For Claimant(5): Cary Schachter Esq. - Dallas, TX For Respondent(s): Sean Meehan Esq. - San Francisco, CA Date Filed: 05/31/2000 First Scheduled: 07/28/2000 Decided: 02/01/2001 Case Summary: Claimant, a public customer, alleges that respondent's online trading account executed an old limit order which was a prohibited

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert and Susan Briles v Bradley Leo Renberg, Herbert Edward Modglin and Olde Discount Corporation Attomeys: For Clainfiant(s): John D. Hudson Esq. - Des Moines, IA For Res|Dondent(s): David T. Doyle Esq. - Deboit Ml Date Filed: 05/11/2000 First Scheduled: 01/2M001 Case Summary: Customer against member finn and registered representatives fbr gross mismanagement, u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James F. Rinakli v. Salomon Smitti Bamey Inc.; George Assenza, and Mary Betti Wafer Attorneys: For Clabnant(s): Jeffrey J- Tinlay Esq. - Waterbury, CT For Raspandant(s): Ellen SHpp Esq. - New York. NY Date Filed: os/is/2000 Rrst Scheduled: 03A]1/2001 Dedded: 03/01/2001 Case Summary: Customer claimant aleges misrepresentaflon regarding purchase of new Issue on margin

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Schwab & Co., Inc. v Himanshu Patel & Nllam Patel Attorneys: For Claimant(s): Brandon K. Hemtey Esq. - San Francisco, CA For Respondent(s): l-limanshu & Nilam Patel - Newark, CA Date Filed: 05/12/2000 First Scheduled: 01/I8/20CI Decided: 02/28/2001 Case Summary: Claimant, a member firm, has alleged that respondentfailed to apy fora aebit balance in fl< 3 accou