• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equities Group, Inc. f/k/a Prudential Securities, Inc. v. Richard O'Fallon v. Pmdential Docket Number: 2004-015181 Attomeys: For Claimant(s): Patrizia M. Salvaggio - Ft. Lauderdale, FL For Respondent(s): Andre R. Perron - Bradenton, FL Date Filed: 3/16/2004 First Scheduled: 10/19/2004 Decided: 10/19/2004 Case Summary: Member Firm v. Registered Rep (f

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Opaline G. Ward v. Merrill Lynch Docket Number: 2004-015166 Attomeys: For Claimant(s): Celeste ChiaramonteHayes - Kingwood, TX For Respondent(s): Kip a. A. Nesmith - Birmingham, AL Date Filed: 3/10/2004 First Scheduled: 12/15/2004 Dedded: 01/03/2005 Case Summary: Customer claimant alleges negligence, unsuitability and misrepresentation, breach of fi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert W. Baird & Co. Incorporated Case No. 01-03633 Name of Respondent Kevin G. Thompson Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Robert W. Baird & Co. Incorporated ("Baird"), hereinafter referred to as "Claimant": Brian D. Trexell, Associate General Counsel, Baird, Milwaukee, Wisconsin. For Kevin G. Thompson ("Thompson"), her

i NYSE ew York Stock Exchange In the Matter of Arbitration Between Case: Teresa Clay for Gavin Clay v. Merrill Lynch and Jeffrey Neilson Docket Number: 2004-015155 Attorneys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Eric J. Glassman - Sacramento, CA Date Filed: 3/5/2004 First Scheduled: DecidedJ.2/08/2004 Case Summary: Claimant, a customer, alleges respondents mismanaged claimant's minor son's account

Vew York Stock Exchange In the Matter of Arbitration Between Case: Mrs. Jill Bohn v. Solomon Smith Bamey Docket Number: 2004-015149 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Ann Parry - New York, NY Date Filed: 2/25/2004 First Scheduled: 5/28/2004 Decided: Case Summary: Claimant alleges Respondent's negligence, misrepresentation and unsuitable investments caused substantial, but avoidable, lo

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Norman E. Goehner v Salomon Smith Bamey, Inc. n/k/a Citigroup Global Markets, hic. Docket Number: 2004-015101 Attomeys: For Claimant(s): Norman Goehner - Bloomington, MN For Respondent(s): Ann Parry - New York, NY Date Filed: 3/2/2004 First Scheduled: 7/22/04 Decided: 8/27/04 Case Summary: Customer claimant alleges failure to disclose conflicts rela

•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Peter Kalibat, Individually and as Beneficiary of the South Brunswick Dental Group Profit Sharing Plan v. Salomon Smith Bamey, Inc. Docket Number: 2004-015053 Attomeys: For Claimant(s): Charles S. Wuest - Kingwood, TX For Respondeiit(s): WilliamA. Hohauser-New York, NY/ Karl L. Marquardt- Florham Park, NJ Date Filed: 2/9/2004 First Scheduled: 07/06/2004 Decided

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Mario A. Ovalle v. Merrill Lynch, Pierce, Fenner & Smith, Inc.; Stephen Q. Adams; Jody Weinberg; and Robert A. Schwarz Docket Number: 2004-015057 Attorneys: For Claiinant(s): Andrew J. Waldron - Oklahoma City, OK For Respondent(s): Christopher Freeze - New York, NY Date Filed: 2/9/2004 First Scheduled: 07/20/2004 Decided: 11/04/2004 Case Summary: Customer v. Me

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Linda Duarte v. UBS Paine Webber, hic. Docket Number: 2004-015043 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Cynthia Walshe - Stamford, CT Date Filed: 4/26/2004 First Scheduled: 6/28/2004 Decided: 7/20/2004 Case Summary: C V. MF: Claimant alleges negUgence, misrepresentation and unsuitable investments by Responde

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