ew York Stock Exchange In the Matter of Arbitration Between V NYSE Case: Christian Foremke and Marjorie Foremke v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/25/2002 First Scheduled: 09/17/2002 Decided: 1-11-03 Case Summary: Claimant alleges that Memll Lynch Pierce

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James C. Goodwin Case No. 01-03864 Names of Respondents Fletcher and Faraday, Inc. Donte Jarvis Kirk J. Graham Alex Zonis Yury Sapir Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For James C. Goodwin ("Goodwin"), hereinafter referred to as "Claimant": Robert H. Putnam, Jr., Esq., Atlanta, Georgia. Respondents Fletcher

New York Stock Exchange fn the Matter of Arbitration Between y NYSE Case: Henry Freund and Claudia Freund v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/25/2002 First Scheduled: 09/17/2002 Decided: 11-5-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenn

New York Stock Exchange in the Matter of Arbitration Between i / NYSE Case: Richard Moses and Linda Moses v. Menill 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: 01/25/2002 First Scheduled: Decided: ST^i^V Case Summary: Claimant alleges that l^nill Lynch Pierce Fenner & Smith

New York Stock Exchange ^n the Matter of Arbitration Between v.- NYSE Case: John Diehl and Krystel Diehl 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: 01/25A2002 First Scheduled: 09/17/2002 Decided: 2-10-03 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenne

New York Stock Exchange 1 the Matter of Arbitration Between NYSE Case: Newton King and Mary King v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 01/25/2002 First Scheduled: 09/17/2002 Decided: November 17, 2002 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & S

New York Stock Exchange .1 the Matter of Arbitration Between NYSE Case: Frank Molinari and Nancy Molinari v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: Foi r.lcimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 01/25/2002 First Scheduled: 09/17/2002 Decided: n-^Q-n? Case Summary: Claimant alleges that Men-ill Lynch Pierce Fenner

New York Stock Exchange A the Matter of Arbitration Between NYSE Case: Michael Joyce and Dolores Joyce v. Merrill Lynch, Pierce, Fenner & Smith inc., and Merrill Lynch & Co., Inc. Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gabies, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/25/2002 First Scheduled: 09/17/2002 Decided: 12-12-2002 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner &

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: William Jann and Ctera Jann v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gables, FL For Re5pondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/25/2002 First Scheduled: 04/12/2002 Decided: . ^ ^ / ^ ^ Case Summary: Claimant alleges that Memll

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Ultano KIndelan Evwelt and Maibol Oleyza de Nndelan vs. CWooip Investment Services, Fiseiv Securities and Ciligoki Attorneys: FOr Clalniant(s): UDano K. Everett-, For Responderrtfs): David Gorfinkel Esq. - Long Island Qty, NY Angela Saccomandl Esq. - Phladelphia, PA Date Filed: 0^1/2002 Rrst Scheduled: 06/28/2002 Decided: 08/28/2002 Case Summary: Customers vs. Member Fbm and