New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leonard A. Reinhart, J. Scott Coteman, Joan K. Lensing, Dcxiakl Marchesielto, David G. Coye, John R. Lohr, Donakl G. Robinscxi, John L. OelVecchio & James J. Seuffert v. Salomon Smitti Barney, Inc/Smitti Bamey, Inc. Attorneys: For Claimant(s): Bruce Nagel Esq. - Livingston, NJ Fcxr Respondent(s): Sean Coughlin Esq. - New York, NY Jill Rosenberg Esq. - New York, NY Date F

New York Stock Exchange •|n the Matter of Arbitration Between NYSE Case: Randy D. Lindsey and Jimmy B. Lindsey (Individually) v. A.G. Edwards & Sons Inc. and Does 1 - 3 Attorneys: For Claimant(s): William B. Federman Esq. - Oklahoma City. OK A. Daniel Woska Esq. - Oklahoma City, OK For Respondent(s): Michael Naccarato Esq. - St Louis, MO Date Filed: 02/02/2000 First Scheduled: oo/i 2/2000 Decided: 02/14/2001 Case Summary: Claimants R

y New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Namite Kansal & Sylvain Raynes v PaineWebber, Inc. Attorneys: For Claimant(s): Philip R. Michael Esq. - Bronx, NY For Respondent(s): Date C. Christensen, Jr. Esq. - New Yoric, NY Date Filed: 02/11/2000 First Scheduled: O8/15/2000 Decided: 01/30/01 Case Summary: Claimante, fomfier employees, have alteged that they were wrongfully tenninated in breach of impfied

) New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Tlmotiiy Gillis v. Credit Lycxinals Securities (USA) Inc., Douglas Stone & Francds Oelagrange Attorneys: For Clalmant(s): Melvyn J. Falls Esq. - New York, NY For Respondent(s): Bartiara M. Rotti - New Yoric, NY Date Filed: 02/03/2000 First Scheduled: 06/13/2000 Decided: 8-7-01 Case Summary: Timothy Gillis. a sales tracter, alleges that ttie firm promised to transfer hi

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Murray Shulman v Morgan Stenely Dean Witter and Stenley Pargman Attorneys: For Claimant(s): Murray H. Shulman - New Yoric, NY For Respondent(s): Allison Barry Doneghey Esq. - Sarasota, FL Date Filed: 01/06/2000 First Scheduled: 05/23/2000 Decided: 06/06/2001 Case Summary: Claimant alleges ttiat respondente made an unauttiorized and unsuiteble purchase of Iridium Bond

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Dean Witter Reynolds. Inc. v Nicholas Reeves and Ronald Reeves Attorneys: For Claimant(s): John H West Esq - Baltimore, MD For Respondent(s): Kevin M. Brill Esq. - Providence. RI Date Filed: 01/19/2000 First Scheduled: 06/13/2000 Decided: 01/02/2001 Case Summary: Claimant, a member firm, alleges Respondents, public customers, failed to pay a debit balance in th

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Teal Traina v. Merrill Lynch Pierce Fenner & Smitti Inc. and Louis Flore Attorneys: For Claimant(s): Eric J. Sussman Esq. - Garden City, NY For Respondent(s): Michael E. OIney Esq. - New York, NY Date Filed: 01/11/2000 First Scheduled: 10/11/2000 Decided: 01/25/2001 Case Summary: Teal Traina was a customer of Merrill Lynch and its stockbroker Louis Flore. Mr. Traina

New York Stock Exchange ' In the Matter of Arbitration Between NYSE Case: Keith Connors vs. HSBC James Capel, A Division of HSBC and HSBC Securities Attorneys: For Claimant(s): Craig M. Bonnlst Esq. - White Plains, NY For Respondent(s): Kenneth J. Kelly Esq. - New Yoric, NY Date Filed: 01/11/2000 First Scheduled: 06/29/2000 Decided: 01/O8/2001 Case Summary: Registered Rep vs. Member Firm (former employer) alleging teikire to pay a guaran

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name Claimant Jeffrey M. Sassano Name nf the - 01-03907 Edward D. Jones & Co., and Anthony J. Kesslak Hearing Site: Pittsburgh, Pennsylvania RFPRFSRNTATTON OF PARTIES Claimant Jeffery M. Sassano, hereinafter referred to as "Claimant", was represented by Lynn R. Emerson, Esq., Attorney at Law, Oakdale, Pennsylvania. Respondent Edward D. Jones & Co. ("Edward Jo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hideko Rested v Morgan Stenley Dean Witter & Co. (Dean Witter Reynolds Inc.) & Kevin R. Blackburn Attorneys: Fcxr Claimant(s): HaroW Webb Esq. - New Yoric. NY for Respondent(s): Allen Broderscxi Esq. - New Yoric, NY Date Filed: 12^7/1999 First Scheduled: 06/20/2000 Decided: -^|7~^/ft 1 Case Summary: Customer against member finn and registered representetive tor i