New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Elbert Dahlen and Vivianne, Dahlen As Trustee For The Benefit Of The Dahlen 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: 01/09/2003 Decided: ^ ''^ -"o Case Summary

New York Stock Exchange n the Matter of Arbitration Between y NYSE Case: Joanne RichlchI 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: 3/10/2003 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc

New Yorii Stocic Exchange In the Matter of Arbitration Between y^ NYSE Case: Janet KusmlerskI and Greg Singer, Individually and as legal custodians for Avery K. Singer and Calder K. Singer v. Josephthal & Co., Inc., Fahnestock & Co., Inc. and Michael Fasclgllone Attorneys: For Claimant(s): Christine M. Bae - New York, NY Carlton R. Asher Esq. - New York, NY For Respondent(s): Edward J. Boyle Esq. - New York, NY Date Filed: O8/O6/2002

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Gordon L. Capps, As Trustee For The Capps Family Trust v. Memll 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: 01/09/2003 Decided: 2-19-03 Case Summary: Claimant alleges that Merrill Lyn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 01-03882 Bernard Kleinert, claimant vs. Quick & Reilly, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Blauvelt, NY. For Respondent appeared Samantha E. Kefford of Quick & Reilly, Inc., New York, NY. DATE FILED: July 23, 2001 CASE SUMMARY: Claimant alleged that respondent failed to give him the best execution price on several trades made on-line within two minutes and forty-si

New York Stock Exchange In the Matter of ArbitratioD Between y NYSE C9se: Sakmon Smilh Bamay inc- v. Gonkm T. Dale Attorneys: Fur ClaimaM{s}: Molly T. Talirain Esq. - New YocK. NY For RespondenlM: John H. Waat, HI Esq. • Baltftnon, MO Date FBsd: oerasooOK First Scnedulod: OI/D7/ZD03 Docided: 02/10/2003 Caae Summary: Membar nrni Clatmant adeoaB-eraaoi of Inmcriisa aar«amenl, mwappropriation and wranghil disclosure or confldeniial and

^ew York Stock Exchange In the Matter of Arbitration Bet>veen NYSE Case: Rolando Sllva vs. UBS Painewebber and Eric Snyder Attorneys: For Claimant(s): Armando Cardona Esq. - Santurce, PR For Respondent(s): Guillermo J. Bobonis Esq. - San Juan, PR Date Filed: 07/19/2002 Case Summary: exercise the trade, contract. Claimant, a He alleges, First Scheduled: public customer, alleges he had a set failure to follow instructio

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marion Blamy vs. Merrill Lynch and James Moran Docket Number: 2002-010552 Attomeys: For Qaimant(s): Ronald M. Barron - Troy, MI For Respondent(s): Stuart Rebish - New York, NY Date Filed: 7/31/2002 First Scheduled: 02/09/2005 Dedded: 8/1/2005 Case Summary: Customer claimant alleges unsuitability, unauthorized trading of equities, misrepresentation, breach o

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard M. Engelhardt v. Bear Stearns and Steven Lacoff Attorneys: For Clalmant(s): Richard M. Engelhardt - WInslon-Salem, NC For Respondent(s): Nicholas K. Notlas Esq. - New York, NY Date Filed: 08/29/2002 Case Summary: Claimant, First Scheduled: 01/16/2003 a former employee, alleges that Bear Stearns Improperly issued to Product: OTHER Decided: 03/04/2003

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Paul Katz and Lorraine Katz vs. Matthew Printz and Salonrxm Smith Barney Attorneys: For Claimant(s): Paul Katz - Monroe Township, NJ For Respondent(s): Ann Pany Esq. - New York, NY Date Filed: 07/25/2002 First Scheduled: 12/27/2002 Decided: Case Summary: Customers vs. Member Firm and Registered Rep alleging they mislead claimants to hold or to fbllow claimants' I