• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Julio and Gloria Reyes vs. Merrill Lynch Pierce Fenner & Smith, Inc., Larry Hall and Soraya Batista-Garcia Docket Number: 2002-010668 Attomeys: For Claimant(s): Jacob Zamansky - New York, NY For Respondent(s): Beverly Jo Slaughter - Miami, FL Date Filed: 8/30/2002 First Scheduled: 11/18/2003 Decided: //^/(^^ Case Summary: Customer claimants allege unsui

NYSE New York Stock Exchange In fliie Matter of Arbitration Between Case: William Lefkowitz v. CIBC Oppenheimer & Co. Inc. Attomeys: For Claimant(s): Morgan Bentley - Newark, NJ For Respondent(s): Lloyd Clareman - New York, NY . Date FUed: 1/17/2003 First Scheduled: 9/22/2003 Decided: 01/15/2004 Case Summary: Claimant, a registered representative and former employee, alleges wrongful termination, misrepresentation and intentional

• NYSE New Yorli Stocli Excliange In the Matter of Arbitration Between Case: Rufus Schatzberg v. Citigroup Global Markets, Inc. Attorneys: For Claimant(s): Rufus Schatzberg - Bronx, NY For Respondent(s): Ann Parry - New York, NY Date FUed: 8/20/2003 First Sclieduled: October 20,2003 Decided: November 5, 2003 Case Summary: Claimant, a public customer, alleges negligence and misrepresentation regarding his purchases of WorldCom sto

I NYSE New Yoric Steele Exchange In tlie Matter of Arbitration Between Case: Joseph Mahfouz v. Commerzbank Securities Attorneys: For Claimant(s): David Wechsler - New York, NY For Respondent(s): Peter Altieri - New York, NY Date Filed: 7/31/2002 First Sclieduled: 5/8/2003 Decided: 12/8/03 Case Summary: Claimant, a registered representative, alleges constructive discharge, breach of contract, failure to pay bonus compensation,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated vs. Robert L. Strausbaugh and Ginger Strausbaugh v. Greg W. Ruber & John L. Gardner Attorneys: For Ciaimant(s): William Allen - Lexington, KY For Respondent(s): Charles Mihaiek - Lexington, KY Date Filed: 2/8/2002 First Scheduled: 8/25/2002 Decided: /-«/'^Z ^^ Case Summary: Prudential Securities alleges that the respon

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert W. Lisnoff (Claimant) vs. Parker Financial Corp., Jeffrey Gray, John Serkes and Keith Feldman, (Respondents) Case Number: 01-03313 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert W. Lisnoff, hereinafter referred to as "Claimant", pro se, did not appear at the pre-hearing conference in this matter. Respondents, Parker Financial Corp.

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Max Scheuerer vs. Merrill Lynch, Pierce Fenner & Smith, Inc. Docket Number: 2003-011743 Attomeys: For Claimant(s): Morgan Bentley - Newark, NJ For Respondent(s): Harold Ognelodh - New York, NY Date Filed: 4/14/2003 First Scheduled: 1/7/2004 Decided: 01/08/04 Case Summary: Customer vs. Member Firm alleging negligence, iraud, failure to supervise, violations of NYSE

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Paul Cronin Docket Number: 2003-011848 Attomeys: For Claimant(s): Carrie Chelko - Philadelphia, PA For Respondent(s): Paul Cronin - Island Park, NY Date Filed: 5/20/2003 First Scheduled: 1/16/2004 Decided: 1/16/2004 Case Summary: Claimant, a member firm, alleges that respondent failed to pay his loan obligation under t

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Edward Fitzgerald vs. Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2002-010945 Attomeys: For Claimant(s): Arthur S. Leider - San Diego, CA For Respondent(s): Mauricio Rauld - Long Beach, CA Date Filed: 11/1/2002 First Scheduled: 11/13/2003 Decided: 1/12/2004 Case Summary: Customer vs. Member Firm alleging misrepresentations, fraud, negligence, v

i New York Stock Exchange In the Matter of Arbitration Between Case: Bomer, Elizabeth Ann, v. Morgan Stanley Docket Number: 2002-010179 Attomeys: For Clainiant(s): Tracy Pride Stoneman - Westcliffe, CO For Respondent(s): David Seide - Los Angeles, CA Date Filed: 4/23/2002 First Scheduled: 12/9/2003 Decided: 12/11/03 Case Summary: Claimant, a public customer, asserts the following allegations against Respondent, a member firm