New York Stock Exchange In the Matter of Arbitration Between ^ NYSE Case: Patricia Thomma v. Salomon Smith Barney, Inc. Attorneys: For Clalmant(s): Michael Ira /teen Esq. - New York, NY For Respondent(s): Joseph Sack Esq. - New York, NY Date Filed: 10/04/2002 First Scheduled: 02/24/2003 Case Summary: Customer v. member firm alleges unauthorized investment activity. Claimant seeks monetary compensation In the amount of S80K. Decid

ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: William R. Hiett v. T.D. Waterhouse Securites Attomeys: For ClaimantCs): William R. Hieii - Arlington, TX For Respondent(s): Janis Campanella Esq. • Boca Raton, FL Date Filed: 10/07/2002 First Scheduled: 11/18/2002 Decided: Case Summary: Claimant, a public customer, alleges Respondent a member firm, failed to fislkiw instructians with respect to a limit buy orde

Sew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Janette E. Woodworth and Fred N. Woodworth, Jr. vs. Merrill Lynch Attorneys: For Claimant(s): Fred N. Woodworth - Wesley Chapel, FL For Respondent(5): Christopher Cavuoti Esq. - New York, NY Date Filed: 10/07/2002 First Scheduled: 03/03/2003 Decided: 3/5/03 Case Summary: Customers vs. Member Firm, in a dispute involving shares of EMC, alleging failure to foltaw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-03886 Thomas Pfeifer and Christine Pfeifer, individually and as trustees of their respective IRAs Name of the Respondents Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith, Inc. and Barry Killian REPRESENTATION OF PARTIES Andrew J. Stoltmann, Esq. of the firm Maddox Hargett & Caruso, PC located in Chicago Illinois r

New Yorlt Stock Exchange .n the Matter of Arbitration Between NYSE Case: George L. Gaskell v Morgan Stanley Attorneys: For Claimant(s): George L. Gaskell - Coto de Gaza. CA For Respondent(s): Keith Guilfoyle Esq. - New York, NY Date Filed: 09/30/2002 First Scheduled: 03/20/2003 Decided: //2^/^3 Case Summary: Customei against member firm for excessive and unauthorized fees. Product: Market: Claim Data Claim: 55.808.84

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward F. McNamee and James Palmer Patton v Donald C. Hembling Attorneys: For Claimant(s): Linda Alpert Esq. - New Yori< , NY For Respondent(s): Bruce A. Langer Esq. - New York, NY Date Filed: 09/11/2002 Case Summary: claim. Claimants, First Scheduled: registered representatives, have filed a Product: motion Decided: 10/24/2002 requesting e

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: Marsha Porcell, v. Merrill Lynch and Paul De Rosa Attorneys: For Claimant(s): Marsha Porcell - New York, NY For Respondent(s): Richard Kelly Esq. - New York, NY Date Filed: 09/13/2002 First Scheduled: 02/04/2003 Decided: 02/04/2003 Case Summary: Claimant, a public customer, alleges breach of contract with respect to the management of certain assets and related

New York Stock Exchange NYSE AU the Matter of Arbitration Between Case: Dulllo A. Cortese vs. A.G. Edwards & Sons, Inc. Attorneys: For Claimant(s): Dulllo A. Cortese - Sun City West, AZ For Respondent(s): Phyllis A. Hartrich Esq. - St. Louis, MO Date Filed: 09/03/2002 Case Summary: Customer vs. First Scheduled: 12/27/2002 Decided: 12/29/2002 Member Firm alleging unauthorized transactions and failure to fbllow Instructions. Produc

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Lee Dillon Attorneys: For Claimant(s): Arthur Baumgartner Esq. - New Yortt, NY For Respondent(s): Lee Dillon - Destin, FL Date Filed: 09/04/2002 First Scheduled: 03/07/2003 Decided: 03/07/2003 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover amounts allegedly due under the terms of a promissory note

New York Stock Exchange . the Matter of Arbitration Between NYSE Case: William J. Harris, /\s Trustee For The William J. Harris Trust v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 09/03/2002 First Scheduled: 02/19/2003 Decided: 9/x/%*aS Case Summary: Claimant alleges that