New Yorli Stocic Exchange Jn the Matter of Arbitration Between y NYSE Case: Marilyn Alice Roffle vs. PaineWebber, Inc. Attorneys: For Claimant(s): Anthony J. Hom Esq. - New York, NY For Respondent(s): John E. Jenkins Esq. - Weehawken, NJ Date Filed: 08/29/2001 First Scheduled: 01/I6/2002 Decided: 02/20/2002 Case Summary: Customer vs. Member Firm alleging unlawful conduct, unsuitable investments, violations of NYSE & NASD Rules, failu

{/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John P. Ryan v Oscar Gruss & Son, Ina v John P. Ryan Attorneys: For Claimants): David B. Wechsler Esq. - New York, NY For Re»pondant(s): Robert S. Churchill Esq. • New York, NY M Data Filed: 08/22aooi First Scheduled: 11/12/2001 Decided: o 2. Case Summary: Claimant alleges ttiat he was recruited to Join respondent to fonn a research sales bading and re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Nuzzi, (Claimant) vs. Morgan Stanley Dean Witter, Inc., (Respondent) Case Number: 01-03827 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter A. Nuzzi, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., Ralph A. Gant, Counselor at Law, New York, NY. Respondent, Morgan Stanley Dean Witter, Inc., hereinafter referred to as "Respondent": Ke

New York Stock Exchange In the Matter of Arbitration Between Attorneys: For Claimant(s): H. Naill Falls, Jr. Esq. - Nashville, TN For Respondent(s): David D. Steriing Esq. - Houston, TX y NYSE Case: Bauer, Steven G. v. Morgan Stanley Dean Witter & Co. and Morgan Stanley Dean Witter, Inc. Date Filed: 08/i7/200i First Scheduled: 07/23/2002 Decided: 08/14/2002 Case Summary: ClaimanL a Public Customer, alleges unsuitability, violatio

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert & Karen Weingarten v Merrill Lynch Attorneys: For Claimant(s): Seth Lipner Esq. - Garden City, NY For Respondent(s): Roger J. Hawke Esq. - New York, NY Date Filed: 07/30/2001 First Scheduled: 02/25/2002 Decided: 02/28/2002 Case Summary: Claimants, customers, have alleged that respondents gave negligent Investment advise regarding option strategies, concentrate

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Neil Glassmoyer Attorneysf- For Claimants}' Jason Haselkorn, Esq. - W. Palm Beach, FL, For Respondent(s): Arthur C. Koski Esq. - Boca Raton, FL Date Filed: 08/20/2001 First Scheduled: 06/06/2002 Decided: 6/6/2002 Case Summary: Member fimi alleges breach of Employment Agreement and non-payment of Promissory Note. Product: PROM

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charies B. O'Neil v. Merrill Lynch Pierce Fenner & Smith Inc. and Patrick J. Welde Attorneys: For Claimant(s): Jonathan H. Colman Esq. - Paoli, PA For Respondent(s): William E. Mahoney Esq. - Philadelphia, PA Date Filed: 08/13/2001 First Scheduled: 11/06/2002 Decided: 12-5-02 Case Summary: The Statement of Claim alleges that the registered representative made unau

/ New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Memll Lynch, Pierce, Fenner & Smith Incorporated v. C u^foMS^ Attorneys: For Claimant(s): J. Martin Acevedo Esq - Wethersfiek), CT For Respondent(s): Flower Mound, TX Date Fiied: O8/16/2001 First Scheduled: 08/27/2002 Decided: 10/23/2002 Case Summary: Member firm claimant alleges breach of Margin Account and non-payment of debit balance following liquidat

\ y ^ ' New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Janney Montgomery Scott, LLC vs. Christopher WInchell Attorneys: For Claimant(s): Howard A. Tescher Esq. - Ft. Lauderdale, FL For Respondent(s): Christopher WInchell - Naples, FL Date Fiied: 08/15/2001 First Scheduled: 03/08/2002 Decided: 07/10/2002 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due und

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Janney Montgomery Scott LLC vs. Stephen Snowman Attorneys: For Claimant(s): Howard A. Tescher Esq. - FL LaudenJale, FL For Respondent(s): Arthur 0. Koski Esq. - Boca Raton, FL Date Fiied: 08/15/2001 First Scheduied: 03/07/2002 Decided: 03/07/2002 Case Summary: Member Firni vs. Registered Rep (fbrmer employee) seeking to recover amounts allegedly due under the t