New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Aughey, Jr. v. Manil Lynch Pterce Fenner & SmNh Inc. and MEnHI Lynch & Co., Inc. Attomeys: For Clabmrntfa): Michael A Hanzman Esq. - Mtemi, FL For Respondanlf^: Frands CMapowsfci Esq. - New York, NY Date Filed: 08/24/1999 First Scheduled: 03A)a/2000 Deckled: 12/26/2001 Case Summary. Customer claimant alteges breach of conbact and breach of fidudary duty regaidtog purd

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Steve Shuptok and Jeanne Shupick v. Menrill Lynch Pierce Fenner Smitti and Menill Lynch Company Inc. Attorneys: , For ClaimantCs): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frands S. Chlapowski Esq. - New Yoric, NY Date Filed: 08/24/1999 . First Scheduled: O6/05/2001 Decided: 10-9-01 Case Summary: stave Shuptok and Jeanne Shuptok (Ctehnante) allege ttiat Menm

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ann Keane v. MeniH Lynch Pterce Fenner Smitti and Merrill Lynch & Company Inc. Attorneys: For Cteiniant(s): Kevin B. Love Esq. - Coral GatMes, FL For Respondent(s): Fran Chtepowski Esq. - New Yoric, NY Date Filed: 08/24/1999 First Scheduled: 02/10/2000 Decided: in-9A-9nm Case Summary: Ann Keane (Claimant) alleges ttiat Meml Lynch Pierce Fenner & Smitti,lnc and Me

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case; Juanlte Bames Plouiz vs. Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill Lynch & Co., Inc. Attorneys; For Claimant(s): Michael A. Hanzman Esq. - Coral Gables, FL For Respondent(s): Francis S. Chlapowski Esq. - New Yoric, NY Date Filed: 08/13/1999 First Scheduled: 06/19/2001 Decided: 06/19/2001 Case Summary: Customer claimant alleges breach of conbact, te

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between:' Michael A. Stein and Oakland Foot Clinic PSP DR. Michael Stein TTEE U/A DTD 06/01/86, Claimants v. Robert F. Gallo, Christopher C. Young, Jbhn M, Madigan and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 01-03949 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons , REPRESENTATION OF PARTIES

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Carolyn Porche v Memll Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., In& Attorneys: For Clalmant(s): Michael A Hanzman Esq. - Coral Gabtes, FL For Rospondant(s): Francis S. Chtepowski Esq. - New York, NY Date RIed: 08/13/1999 First Schiiduled: O6/O6/2001 Decided: Jtjne 6, 2001 Case Summary: Customer claimant alteges breacdi of oonbacl, teilure to

Jew York Stock Exchange In the Matter of Arbitration Between / . NYSE Case: CIBC Oppenheimer vs. Gerard Marini Attorneys: For Clalmant(8): Joseph A. Valio Esq. - New York, NY For Respondentia): Gerard Marini - Steten Island, NY Date Filed: 08/06/1999 First Scheduled: 12/06/1999 Decided: 12/06/1999 Case Summary: Member Finn vs. Registered Rep (ax-employae) seeking to recover amounte allegedly due under Uie temns of a promissory no

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence A. Roach v. Menill Lynch Pierce Fenner & Smitti Inc. and Menill Lynch & Company Inc. Attomeys: For Clainiant(s): Kevin B. Love Esq. - Coral Gabtes, FL For Respondent(s): Fran S. Chlapowski Esq. - New Yoric, NY Date Filed: 08/13/1999 First Scheduled: 02/09/2000 Decided: 6-12-2001 Case Summary: Lawrence A. Roach (Claimant) alleges ttiat Menil Lynch Rerce F

New Yoric Stocic Exchange In the Matter of Arbitration Between NYSE Case: Duane L. Godel v. Merrill Lynch Pierce Fenner & Smitti Inc. and MerriH Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Francis S. Chlapowski Esq. - New Yoric, NY Date Filed: 08/13/1999 First Scheduled: 02/I6/2000 Decided: 6/26/2001 Case Summary: Duane L. Godel (Claimant) alleges ttiat Memll Lynch Pierce

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald E. Grandy v. Menill Lynch Pierce Fenner & Smitti Inc. and Merrill Lynch and Company Inc. Attorneys: For Claimant(s): Michael A. Hanzman Esq. - Miami, FL For Respondenl(s); Francis S. Chlapowski Esq. - New York, NY Date Filed: 08/13/1999 First Scheduled: 10/20/1999 Decided: 06/07/2001 Case Summary: Claimant a public customer, alleges breach of contract failure