'^w York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hugh Ewing v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill Lynch & Co.Inc. Attorneys: For Claimant(s): Kevn Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yoric, NY Date Filed: 11/13/2001 First Scheduled: 03/07/2002 Decided: 12-12-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill

)New York Stock Exchange NYSE In the Matter of Arbitration Between Case: George Makien v. Merrill Lynch Pterce Fenner Smitti and MerriH Lynch & Company Inc. t Attorneys: Fcxr Claimant(5): Kevin Love Esq. - Coral Gabtes, FL For Respondent(s): Frances Chlapowski Esq. - New York. NY Date Filed: 11/02/2001 First Scheduled: 12/20^001 Decided: 12/20/2001 Case Summary: Customer claimant alleges breadi of contract teilure to comply witti diversity requl

New York Stock Exchange J In the Matter of Arbitratfon Between y NYSE Case: Elena LeBlanc v. MenriV Lynch & Company Inc. and Merrill Lynch Pterce Fenner Smilh Attomeys: For Clalmant(s): Kevin Love Esq. - Coral Gables, FL For Resfiond6nt(s): Frances Chtepowski Esc|. - New Yoric, NY Date Filed: 11/02/2001 First Scheduled: 12/21/2001 Decided: 12/20/2001 Case Summary: Customer daimant alleges breach of conttact, feikire to comply wtth di

New York Stock Exchange ^ In the Matter of Arbitration Between NYSE Case: John Harrington v. Merrill Lynch Pierce Fenner Smitti and Merrill Lynch & Company Inc. Attorneys: For Claiinanl(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yoric, NY Date Filed: 11/02/2001 First Scheduled: 12/20/2001 Decided: 12/20/2001 Case Summary: Customer daimant alleges breadi of contract, teilure to comply with dive

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Bubridc v. MerriH Lynch Pierce Fenner & Smitti Inc. and Merrill Lynch & Company, Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Re5pondent(s): Frances Chlapowski Esq. - New Ycxk, NY Date Filed: 11/02/2001 First Scheduled: 12/20/2001 Decided: 12/20/2001 Case Summary: Custcxner claimant alleges breach of ccxittad, teilure to comply witti d

New York Stock Exchange ' In the Matter of Arbitration Between NYSE Case: Richard M. Kelso and Ellen H. Keteo v. Michael Hassell, Richard Getzoff and Pmdential Securities Attorneys: For Cteinnant(s): Richard and Ellen Kelso - Burke, VA For Re5pondent(s): Gabriel Loubier Esq - New York, NY Date Filed: 07/O6/2001 First Scheduled: 12/04/2001 Decided: 12/26/2001 Case Summary: Customer daimante allege breach of agreement regarding commissions

. New York Stock Exchange ) In the Matter of Arbitration Between NYSE Case: Donald H. Beisner v Brown & Company Attorneys: For Claimant(s): Donald H. Beisner - Springfield, MO For Respon(tent(s): Bruce D. Levin Esq. - Boston, M^ Date Filed: 05/18/2001 First Scheduled: 10/23/2001 Decided: 11/20/2001 Case Summary: Claimant alleges ttiat respondent denied access to daimant's pension account ttiereby preventing daimant's from selling sec

^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prucfenbal Sec:urittes Incorporated v. John A. Mattera Attorneys: For Claimanl(s): Steven P Gomberg Esq - Chicago, tt. For Respondent(s): John A Mattera - Bcxa Raton, FL Date Filed: 06/28/2001 First Scheduled: 12/13/2001 Decided: 12/13/2001 Case Summary: Memtier fimi daimant alleges breach of Ccxnmand Account /Vgreement and ncxi-payment of debit balance fdkming mar

In the Matter of Arbitration Between Case: James K. Graham v Charles Schwab & Co. & Susan Busch Attorneys: For Claimant(s): ;ames K. Graham - Bloomfield HOs, Ml For Respondent(s): Betti Greenspan Esq. - San Francisco, CA Date Filed: 05/24/2001 First Scheduled: 10/24/2001 Decided: 11/02/01 Case Summary: Customei' v member firm and registered representetive. Customer alleges breachof ficfudary duty by failing to execute an cxder. Product:

NASD DISPUTE RESOLUTION. INC FINAL ORDER. CASE: 01-03906 Beckley & Madden Profit Sharing Plan, Claimant vs. Richard J. Conway, Fred L. Peggs and Salomon Smith Barney, Inc., Respondents. ATTORNEYS: For Claimant appeared John G. Milakovic, Esq., Harrisburg, PA Respondents, appeared through their in-house counsel, Ann Parry, Esq., New York, NY DATE FILED: July 23, 2001 CASE SUMMARY: Respondents filed a motion for the enforcement of a settlement agreement