ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Cattierine White v. Salonmn Smitti Barney Attomeys: For Claimant(s): Cattierine White - Rockville Centre, NY For Respondentia): Ann Parry Esq. - New York, NY Date Filed: 11/26/2002 First Scheduled: 03/07/2003 Decided: Case Summary: Customer alleges ttie fimi acted in breach of fiduciary duty. Product- Market: Claim Data Claim: $5,446.00 Punitive: $0.00

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sylvia K. Blumberg, v. MerriU Lynch, Pierce Fenner & Smith. Inc. Attorneys: For ClaimantCs): William J. Gladden Esq. - Savannah, GA For Respondent|s): Richard Kelly Esq. - New York, NY Date Filed: 11/OS/2002 First Scheduled: 03/24/2009 Decided: D4/1S/2003 Case Summary: customer v. Member Hrm alleges unsuitable and speculative securities for a retiremeni account. Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fr* rfci'mant Pagp Niimhp.r- 01 - Leslie C. Browne Name of {fop T?f sp^pHnritP Hp-an'na |jsj,t?' Dallas, Texas M.R. Deal & Company Bernard B. Beal Claimant Leslie C. Browne ("Browne") was represented by Christopher Nixon, Esq., of the firm of Nixon Minis LLP, located in Dallas, Texas. Respondents M.R. Beal & Company ("Beal & Co.'*) and Bernard B. Beal ("Beal"), herei

New York Stock Exchange jn the Matter of Arbitration Between NYSE Case: Glambrone Trust v. Merrill Lynch Pierce Fenner & Smitti, Inc. Attorneys: For Claimant(s): Kevin Thomas Hoffman Esq. - Greenwich, CT For Respondent(s): April M. Chung Esq. - New York, NY Theodore Krebsbach Esq. - New York, NY Date Filed: 11/O6/2002 First Scheduled: 04/09/2003 Decided: 04/i 1/2003 Case Summary: Claimant a co-trustee for trust invested with Merrill

y Jew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Prudential Securities, Inc. vs. Andrew Muehling Attorneys: For Claimant(s): Arthur Baumgartner Esq. - New York, NY For Re5pondent(s): Andrew Muehling - Scottsdale, AZ Date Filed: 10/31/2002 First Scheduled: 03/18/2003 Decided: 03/18/2003 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due under the terms of a promissory

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Stewart Smitti Attorneys: For Claimant(s): Arthur Baumgartner Esq. - New York, NY For Respondent(s): David Rodgers Esq. - Phoenix, AZ Date Filed: 10/31/2002 First Scheduled: 03/19/2003 Decided: 03/19/2003 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due under ttie terms of a promiss

New Yorli Stock Exchange .n the Matter of Arbitration Between y NYSE Case: Henry Andrechyn vs. Salomon Smith Barney and Glenn F. Malloy Attorneys: For Claimant(s): Alois Lemke Esq. - Santa Cruz, CA For Respondent(s): Joseph A. Sack Esq. - New York, NY Date Filed: 10/31/2002 First Scheduled: 03/21/2003 Decided: 4/4 /03 Case Summary: Customer vs. Member Firm and Registered Rep alleging failure to follow instructions, fi-aud, breach

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Joyce Pettus-Davis v Merrill Lynch, John Gee, Paul Gould, Jules Savine, Brian Smith, Jennifer Tortoriello and Harry RaUlff Attorneys: For Claimant(s): Joyce Pettus-DavIs - St Louis, MO For Re5pondent(s): Richard Kelly Esq. - New York, NY Date Filed: 10/25/2002 First Scheduled: Decided: 02/21/2003 Case Summary: Claimant, a customer, alleges that respondents made misre

% New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert T. Brennan v Thomas N. and Berry Cummings Attorneys: For Claimant(s): Peter A. Cantwell Esq. - Chicago, IL For Respondent(s): James Eccleston Esq. - Chicago, IL Date Filed: 10/07/2002 First Scheduled: 10/30/2002 Decided: y. /-^yl^Z. 'Jjl Case Summary: Claimants' Petition seeks entry of a Stipulated Artiltration whi

New York Stocli Exchange In the Matter of Arbitration Between y NYSE Case: Bishop Rosen & Co., Inc. v. Glen Meyer Attorneys: For Claimant(5): Isaac Schlesinger - New York, NY For Respondent(s): Glen Meyer - Mt. Sinai, NY Date Filed: 10/14/2002 First Scheduled: 03/12/2003 Decided: 03/12/2003 Case Summary: Member firm v. registered representative alleges breach of promissory note. Product: PROMISSORY NOTE Market: Other Claim Da