New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Henry and Glida Block v Schroder & Co., Inc.; Salomon Smith Bamey Inc., a member of Citigroup; Pamela Jo Rosenau; and 0. Craig Palmer Attorneys: For Claimant(s): Bruce A. Langer Esq. - New York, NY For Respondent(s): Brian F. Amery Esq. - New York, NY Date Filed: 05/I6/2001 First Scheduled: 02/19/2002 Decided: 7/(i>/o3 Case Summary: Claimant alleges th

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salonnn Smith Barney Inc v. William T. McAuliffe Attorneys: For Claimant(s): David W Schmidt Esq - Cranford, NJ For Respondent(s): Michael A Collora Esq - Boston, MA Date Filed: 06/06/2001 First Scheduled: 05/21/2002 Decided:-y-7i''-tJ 5 Case Summary: Member firm claimant alleges breach of contract and non-payment of Promissory Note. Respondent filed a counterclaim

••NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Joel Wolfson and Steve Bemer v. Dean Witter Reynolds, Inc. d^/a Morgan Stanley Dean Witter Attomeys: For Claiinant(s): Karl Baumgardner - Amarillo, TX For Respondent(s): David Sterling - Houston, TX Date Filed: 4/3/2001 First Scheduled: 2/12/2003 Decided: 6/5/03 Case Summary: Claimants' allege material mistatements of fact made in connection with sale of se

New York Stock Exchange In the Matter of Arbitration Between Date Filed: 03/27/2001 First Scheduled: 02/05/2002 Decided: NYSE Case: Eugene Zubok and Zina Zubok v. Merrill Lynch Pierce Fenner & Smith,lnc. and Shadi Dabit v. Shadi Dabit Attorneys: For Claimant(s): Randall Calvert Esq. - Oklahoma City, OK For Respondent(s): Bruce W. Day Esq. - Oklahoma City, OK For Srd Party: Mhadi uabit - Ukianoma uiiy, Ow June 24, 2003 Case Su

New York Stock Exchange In the IMatter of Arbitration Between y^ NYSE Case: Societe Generale Bank Ltd. v Merrill Lynch Attorneys: For Claimant(s): David A. Beke Esq. - New York, NY For Respondent(s): Neal Brickman Esq. - New York. NY Date Filed: 03/09/200i First Scheduled: 10/11/20O'. Decided: 06/10/03 Case Summary: Claimant, a customer, has alleged that responoents made unauthorized transfers ot funds from the account and changed th

AMENDED AWARD New York Stock Exchange m the Matter of Arbitration Between NYSE Case: Bear Hunter Specialists LLC v Lek, Schoenau & Co., Inc. Attorneys: For Clalinant(s): George Brunelle Esq. - New Yori(, NY For RespondenKs): Philip R. Schatz Esq. - New York. NY Date Filed: 02/22/2001 First Scheduled: 03/20/2002 Decided: hlo-^ Case Summary: Claimant Bear Hunter Specialists LLC allege that LSC failed to make commission payments all

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carol Schiller v Memll Lynch and Michael A. Fox Attorneys: For Claimant(s): Martin Kaplan Esq. - New Yor1< , NY For Respondent(s): Mark Moore Esq. - New York, NY Date Filed: 02/01/2001 First Scheduled: 10/I6/2001 Decided: 09/04/2003 Case Summary: Customer v registered representative and member firm. Alleges breach of fiduciary duty, violation of NYSE mle 405, unau

New York Stock Exchange In the Matter of Arbitration BetAveen NYSE Case: Robert Lorelli v. First Union Securities. Inc. and Michael Roach Attorneys: For Claimant(s): Larry Moy Esq. - New York, NY For Respondent(s): Margaret Maloney Esq. - Charlotte, NC Date Filed: 02/O6/2001 First Scheduled: 02/26/2002 Decided: May 20, 2003 Case Summary: Robert Lorelli("Claimant") was a registered representative at First Union's Charlotte, North Caro

few York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Kendall v. Salomon Smith Bamey Inc. Attomeys: For Clalmant(s): Scott J Link Esq - West Palm Beach, FL For Respondent(s): John D. Boykin Esq. - West Palm Beach, FL Date Filed: 12/28/2000 First Scheduled: 11/O6/2001 Decided: 5/14/03 Case Sumnfiary: Registered representative claimant alleges breach of duty, breach of contract, violation of industry standards, viola

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sands Brothers & Co., Ltd., Alan Goddard, William Anthony lommi, Sr., Martin Scott Sands, and Steven Brett Sands v. Neil Morris Docket Number: 2005-015995 Attomeys: For Clainiant(s): David M. Kasell - New York, NY For Respondent(s): Richard Lewins - Dallas, TX Date Filed: 2/22/2005 First Scheduled: Dedded: 05/02/2005 Case Summary: Claimants, registe