New York Stock Exchange A the Matter of Arbitration Between NYSE Case: Boyd Miller, Jr., v. Memll Lynch, Pierce, Fenner & Smith INC., and Merrill 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: H - i i - ~ c> Case Summary: Claimant alleges that Merrill Lynch Pierce

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: George Hennessy v. Merrill Lynch, Pierce, Fenner & Smith INC., and Merrill Lynch & CO., INC., Attorneys: For Ciaimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 02/15/2002 First Scheduled: 09/17/2002 Decided: 1/6/2003 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc a

New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Peter Koppel, Jr., v. Memll Lynch, Pierce, Fenner & Smith INC., and Memll Lynch & CO., INC., Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yoric, NY Date Filed: 02/15/2002 First Scheduled: 09/17/2002 Decided: Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc and Merrill Ly

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hoyt Lovelace and Linda Lovelace v. Menili Lynch, Pierce, Fenner & Smith INC., and Merrill Lynch & CO., INC., Attorneys: For Ciaimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 02/15/2002 First Scheduled: 09/17/2002 Decided: 10-22-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenn

ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Wayne Lange v. Merrill Lynch, Pierce, Fenner & Smith INC., and Merrill Lynch & CO., INC., Attorneys: For Ciaimant(s): Kevin B. Love Esq. - Coral Gabies, FL For Respondent(s): Frances Chlapowski Esq. - New Yort< , NY Date Filed: 02/15/2002 First Scheduled: O8/12/2002 Decided: 2-1-03 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, inc a

New York Stock Exchange Jn the Matter of Arbitration Between NYSE Case: Joseph Lanza and June Lanza v. Menill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New York, NY Date Filed: 02/15/2002 First Scheduled: 04/23/2003 Decided: 04/23/2003 Case Summary: Customer claimant alleges breach of contract, failure to comp

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Beverly Gelling v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(5): Fran Chlapowski Esq. - New Yori< , NY Date Filed: 02/O6/2002 First Scheduled: 02/28/2003 Decided: 3/01/2003 Case Summary: Customer claimant alleges breach of contract, failure to comply with

'ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence Hyde v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Re5pondent(s): Fran Chlapowski Esq. - New York, NY Date Filed: 02/06/2002 First Scheduled: 02/28/2003 Case Summary: Customer claimant alleges breach of contract, failure to comply connection with investment in

Jew York Stock Exchange In the Matter of Arbitration Betvteen NYSE Case: Larry Johnson v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Ciaimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yorl«, NY Date Filed: 02/O6/2002 First Scheduled: 02/28/2003 Decided: 3/14/03 Case Summary: Customer claimant alleges breach of contract, failure to comply with divers

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Elizabeth French and 01-03870 Kansas City, Missouri Name of Respondents Morgan Keegan & Company Inc. Prudential Securities, Inc. Thomas V. Orr, Jr. John M. Dunn Christopher A. Zook, Sr. REPRESENTATION OF PARTIES Elizabeth French ("Claimant") was represented by Sandra Mcllveen, Esq. and Stephen M. Sohmer, Esq. The Sohmer Law Firm, Fairfield