Jew York Stock Exchange In the Matter of Arbitration Between /-- NYSE Case: Julian Marie Breslow v. Prudential Securities Inc. Attorneys: For Clalmant(s): Herbert M Deutech Esq - Garden City, NY For Respondent(s): Jordan D Becker Esq - New York, NY Date Filed: 07/13/2001 First Scheduled: 04/16/2002 Case Summary: Customer claimant alleges unsuiteble Investment in misrepresentetion, violation of Florida Stete Stetutes, breach of contra

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Wood v. Quick & Reilly.lnc. and Morgan Stenley Dean Witter Attorneys: For Claimant(s): Robert Wood - Beaumont, TX For Respondent(s): Brian McSherry Esq. - New York, NY Douglas Stone Esq. - New York, NY Date Filed: 07/09/2001 First Scheduled: 12/14/2001 Decided: 3/18/2002 Case Summary: Claims fbr improper ti-anster between firms and lost profits d

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Anthony Spinelli v. Dennis Kalian & Morgan Stenley Dean Witter Attorneys: For Claimant(s): Anthony Spinelli - Montrose, NY For Respondent(s): Keitti Guilfoyle Esq. - New York, NY Date Filed: 07/03/2001 First Scheduled: 02/07/2002 Decided: 03/05/2002 Case Summary: Claimant alleges that ttie broker b-aded his account without authorization. Product: IVIark

New York Stock Exchange In the Matter of Arbitration Between '\y^" NYSE Case: Slmao, Wilbur v. SWS Securities, Inc. & Kattileen Oher Attorneys: For Clalmant(s): Brian P. Sanford Esq. - Richardson, TX For Respondent(s): Stuart E. Blaugmnd Esq. - Dallas, TX Date Filed: 07/06«00i First Scheduled: 01/23/2002 Decided: 02/12/2002 Case Summary: Claimant, a registered representetive and former emptoyee, alleges breach of contract and vmingfu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sarah Petty and Gilbert Petty vs. Merrill Lynch, Richard Zell and Ronda Wdf Attorneys: For Claimant(s): Sarah Petty - Sun City West, AZ For Respondent(s): Jason D. Sanders Esq. - Phoenix, AZ Date Filed: 06/28/2001 First Scheduled: 03/27/2002 Decided: 04/23/2002 Case Summary: Customers vs. Member Firm and Registered Reps alleging unauthorized and unsuiteble transactio

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jackie Verdone and 01-03815 Phoenix, Arizona Name of Respondents Heritage West Securities, Inc. Michael Diggs REPRESENTATTQN OF PARTIES Jackie Verdone ("Claimant") was represented by John Augustine, Esq., Phoenix, Arizona. Mr. Augustine failed to appear at the hearing held on April 10, 2002. Heritage West Securities, Inc. ("Respondent Herita

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anttiony D. Basil & Shiriey A. Basil v. David Crist & Merrill Lynch Pierce Fenner & Smitti Attorneys: For Claimant(s): Donald E. Grossfield Esq. - Rochester, NY For Respondent(s): Steven N. Fuller Esq. - Buftelo, NY Date Filed: 06/25/2001 First Scheduled: 02/28/2002 Decided: 7/22/2002 Case Summary: The Statement of Claim alleges fraudulent misrepresentation, negl

New York Stock Exchange In the Matter of Arbitration Between IP- NYSE Case: Darryl Brodzinski & Nannette BrodzinskI v. Fahnestock & Company & Jeffrey Vizak Attorneys: For Clalmant(s): Michael B. Dubin Esq. - Jenkintown, PA B. Eugene Fuighum Esq. - Moorestown, NJ For Respondent(s): William E. Mahoney, Jr. Esq. - Philadelphia, PA Date Fiied: O6/O6/2001 First Scheduled: 04/15/2002 Decided: 4/26/2002 Case Summary: Claimants alleg

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marianne Blliek v. Ferris Baker Watts Inc., Lou Akers, Patrick Vaughan, Theodore Urban, and Dan Newell Attorneys: For Claimant(s): Patrick G Finegan Jr Esq - Washington, DC For Respondent(s): Patrida A. Rutherford Esq. - Baltimore, MD Date Filed: O6/21/2001 First Scheduled: 02/12/2002 Decided: 03/i 8/2002 Case Summary: Registered representative daimant alleges wrongf

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jared Kotler v Morgan Stanley Dean Witter, inc., Michael Bader, Prudential Securities,lnc. and Steven Conners Attorneys: For Claimant(s): Jacob Zamansky Esq. - New York, NY For Respondent(s): Charies B. LaChaussee Esq. - San Francisco, CA Howard M. Sendrovitz Esq. - New Yori< , NY Danielle J. Tarasen Esq - Long Beach, CA Date Filed: 06/03/2001 First Scheduled: 02/06/2