New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hugh Idstein and Margaret Idstein v. Merrill Lynch.Maria C. Fahey, Joseph Walker, and Donald Walker Attorneys: For Claimant(s): Nicholas R. Pen-ella Esq. - New Yori< , NY For Respondent(s): Jack D. Ballard Esq. - Houston, TX Date Filed: 03/11/2002 First Scheduled: 10/02/2002 Decided: 12/16/2002 Case Summary: Claimant alleges breach of fiduciary duty, failure to superv

new York Stock Exchange In the Matter of Arbitration Between NYSE Case: Maureen Carroll vs. BMO Nesbitt Burns Corp. (Bank of Montreal. US Group of Companies). Bank of Montreal, Harris Bank Corp. Inc.. c/c Michael George Zeiss - Secretary, David Hartley. Owen Thomas Lynch. James Joseph McVey, Diane Carey, Therese R. Umbs. Darlene Brushett. William A. Downe and Robert A. Bade Attorneys: For Claimant(s): Maureen Carroll - New York, NY For Respondent(s)

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Carolyn Joy Vesterstein v Salomon Smith Barney, inc. and Murray W. George Attorneys: For Claimant(s): R. Thomas Torgerson Esq. - Dulutti, MN For Respondent(s): Scott M. Steams Esq. - Minneapolis, MN Date Filed: 03/04/2002 First Scheduled: 07/16/2002 Decided: ?/'j/oi Case Summary: Claimant alleges ttiat Respondente: (1) tailed to follow her Insbuctton to mai

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Elsie Wamer vs. Fiserv Investors, Inc., Theodore Riley, III, Colonial Bank and Anchor National Life Insurance Company Attorneys: For Claimant(s): Greg Kehoe Esq. - Tampa, FL For Respondent(s): Sarah H. Dennis Esq. - Tampa, FL Richard Z. Freemann Esq. - Philadelphia, PA Donald R. Schmidt Esq. - Tampa, FL Date Filed: 02/27/2002 First Scheduled: 07/i 8/2002 Decided

New York Stock Exchange NYSE n the Matter of Arbitration Between Case: John B. Karpa, Jr. v. Merrill Lynch, Pierce, Fenner & Smith and Eric R. Bartok Attorneys: For Claimant(s): Charles W. Austin Jr. - Richmond, VA For Respondent(s): Jennifer Woods Buri< e Esq. - New York, NY Hunter W. Sims Esq. - Norfolk, VA Date Filed: 02/15/2002 First Scheduled: 12/04/2002 Decided: 1/28/03 Case Summary: This dispute revolves around two accounte at Men-ill

f New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nancy Lafuente v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Menill Lynch & Co., Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 02/15/2002 First Scheduled: 05/30/2002 Decided: 7/12/2002 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith,

^ew York Stock Exchange In the Matter of Arbitration Between A" NYSE Case: David A. Roe v First of Michigan a.k.a Fahnestock & Co. Attorneys: For Ciaimant(s): John H. Auld Esq. - Ann Arbor, Ml For Respondent(s): Joseph DaProcida Esq. - New York, NY Date Filed: 02/19/2002 Case Summary: Claimant, a customer, has First Scheduled: 03/18/2003 alleged that respondent unduly delayed the liquidatior Product: Decided: 04/03/20

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Pamela Long v. Merrill Lynch, Pierce, Fenner & Smith INC., and Merrill Lynch & CO., INC., Attorneys: For Clalmant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 02/15/2002 First Scheduled: •5At/u»t. Decided: 12-11-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, inc and M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03874 A.G. Edwards & Sons, Inc., claimant vs. Anthony Ayeni, respondent. ATTORNEYS: For Claimant appeared William S. Port, Esq., in-house counsel, St. Louis, MO. Respondent did not appear. DATE FILED: July 23, 2001 CASE SUMMARY: Claimant alleged that as a result of a check that was given by respondent to the claimant being returned and marked as "closed account", he incurred a debi

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Ken Minyard v. Merrill Lynch, Pierce, Fenner & Smith INC., and Men-ill Lynch & CO., INC., Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gabies, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 02/15/2002 First Scheduled: 09/17/2002 Decided: 12-21-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc and