Award NASD in tne Matter ot tne Arbitration between: Name of the Claimant Case Number: 01-03902 Fred Ross Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Charles Bloom REPRESENTATION OF PARTIES For Fred Ross ("Ross") hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delray Beach, Florida. For Salomon Smith Barney, Inc. ("SSB") and Charles Bloom ("Bloom") hereinafter collectively ref

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack Epstein indivkfcially and as Trustee of THE CHARITABLE REMAINDER UNITRUST DATED 1992, AND JACK I. EPSTEIN, as Trustee of ttie JACK I. EPSTEIN 1990 TRUST v. AG. Edwards & Sons, Inc., Mtehael Adams and Randall Beckrran Attomeys: For Claimani(s): Ellzabeti Lowery Esq. - Los Angeles, CA For Respondant(s): WUHam S. Port Esq. - SL Louis, MO Date Filed: 03/23/2001 First Sc

..New York Stock Exchange .. In the Matter of Arbitration Between NYSE Case: Yulin Yao v. Goldman Sachs & Co. Attomeys: For Clainiant(s): Daniel R. SoNn Esq. - PIttsfield, MA For Respondent(s): Robin D. Fessel Esq. - New Yoric, NY Date Filed: 03/19/2001 that sen I • »• hi First Scheduled: 10/03/2001 Decided: 11-20-01 Case Summary: Yulin Yao was en assodate witti GoMman Sachs & Co. (Goldman) and received 1,338 Restrict

^, New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Eugene Stan- v. Salomon Smitti Bamey, Inc. Attorneys: For Claimant(s): Eugene Starr - Englewood Clifls, NJ For Respondent(s): Ann Pany Esq. - New Yoric, NY Date Filed: 03/20/2001 First Scheduled: 07/11/2001 Decided: 9-7-2001 Case Summary: Eugene Stanr, a customer of Sakxnon Smitti Bamey, alleges ttiat Sakxnon felled to timely deliver shares into his account in

\ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Mike S. Fujikawa and Sandra H. Fujikawa v. Mark K. incxiye and Satomon Smitti Bamey Attorneys: For Claimant(s): Melvin Y. Agena Esq. - Honcjiulu, HI For Raspondent(s): /\nn Parry Esq. - New Yoric, NY Date Filed: 01/25/2001 First Scheduled: Decided: 12/28/2001 Case Summary: Claimants, public customers, allege failure to execute a buy Umit order witti respect to

NraE New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Gail A. Stanger v. Morgan Stanley Dean Witter Attorneys: For Claimaiit(s): Gail A. Stanger - Shrewsbury, NJ For Respondent(s): Douglas F. Stone Esq. - New Yoric, NY Date Fiied: 01/24/2001 First Scheduled: O6/07/2001 Decided: 6/28/2001 Case Summary: Gail Stanger placed an order to sell her shares h Priority Healtticare. The Statement of Ciaim alleges ttiat Morgan Sta

; New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Thalia E. Hitchins and Robert W. Hitchins v. Janney Montgomery Soott, and Kurt X. Bergmeister « Attorneys: For Claimant(s): Robert W. Hitchins - Martton, NJ For Respoiid«nt(s): Jacqueline Kaiser Zivitz Esq. - Philadelphia, Date Filed: 01/24/2001 First Scheduled: 09/20/2001 Decided: 10-11-2001 Case Summary: Thalia and Robert Hitchins (Claimants) allege t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Amerind, Inc. v. Starr Securities, Inc. Fagenson & Co., Inc. Ignatius Teichberg and Martin Vegh Attorneys: For ClaimantCs): Michael Du Bolf Esq. - New York, NY For Respondenl(s): Sheldon Eisenberger Esq. - New York, NY Arthur G. Jakoby Esq. - New York, NY Date Fiied: 01l^&2O0^ First Scheduled: 06/ig/200i Decided: 11-13-2001 Case Summary: Amerjnd,lnc was a cus

) New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal S Co. L.L.C. v. George Fallica Attorneys: For Clalmant(s): David W. Schmidt Esq. - Cranford, NJ For Respondent(s): George Fallica - Fort Lauderdale, FL Date Fiied: 01/12/2001 First Scheduled: O8/09/2001 Decided: 08/09/2001 Case Summary: Member firm claimant alleges breach of employment agreementand non-paymentof promissory note and seeics liquidated

)New York Stock Exchange In the Matter of Arbitration Between NYSE Ciise: James J. Hayes and Leo A. Orleans v. Morgan Stanley Dean Witter Al tomeys: Fer Claimant(s): Jamea Hayes - Annandato,VA Fer Raipondant(s): Judlth M. Rosenberg Esq. - San Francisco, CA Date RIed: 01/16/2001 Rrst Schtiduied: 06/22/2001 Decided: 08/19/2001 C'lSe Summary: Customerdalmantsallegsbreachofconti act and breach of fiduciary duty regarding increasing maintenan