New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salvatore Giuliano and George Giullano v. Morgan Stenley Dean Witter & Co., Michael Kazacos and Ira Miller Attorneys: For Claimant(s): Steve E. Cole Esq. - Rochester, NY For Respondent(s): Scott T. Tross - Newark, NJ James D. Yellen Esq. - New Yort«, NY Date Filed: 01/22/2002 First Scheduled: 08/07/2002 Decided: 10/25/2002 Case Summary: The Stetement of Claim

i .ow York Stock Exchange In the Matter of Arbitration Between NYSE Case: Marvin Joersz and Lucille Joersz 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(s): Fran Chlapowski Esq. - New York, NY Date Filed: 01/25/2002 First Scheduled: 12/15/2002 Decided; Case Summary: Customer claimant alleges breach of contract, failure to comply

APR, 13.2005 11:10AM NASD REGULATIONS NO. 655 P. 2/14 Stipulated NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Name of Claimant: Frank Toth, Claimant Names of Respondent!: Case Number: 01-03863 InterSecurities, Inc., Respondent Robert Tiller, Respondent Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Frank Toth, hereinafter referred to as "Claimant": Nicholas J. Taldone. Esq., Law Offices of Nicholas

. .ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerry Kindman and Gloria Kindman v. Merrill Lynch Pierce Fenner Smith 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: 01/25/2002 First Scheduled: 12/15/2002 Decided: 12/16/2002 Case Summary: Customer claimant alleges breach of contract, failure to c

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Francis Edward Wolfe v. Merrill Lynch Pierce Fenner & Smitti, Inc and Joel Cessna Attorneys: For Claimant(s): Edward H. Glenn Esq. - New Yori^, NY For Respondent(s): Stephen M. Bales Esq. - Cleveland, OH Dominick Evangeliste Esq. - Florham Park, NJ Date Filed: 01/O8/2002 First Scheduled: 10/15/2003 Decided: 1/13/2003 Case Summary: The Stetement of Claim allege

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Craig Levy and Charlotte Levy v. Merrill Lynch Pierce Fenner Smitti 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: 01/25/2002 First Scheduled: 12/15/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply connection wit

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leo Morandin and Rosaline Morandin v. Merrill Lynch Pierce Fenner Smitti and Menill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yoric, NY Date Filed: 01/25/2002 First Scheduled: 12/15/2002 Decided: 12/19/02 Case Summary: Customer daimant alleges breach of contract, teilure to com

. .ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bernard Nolen and Barbara Noien v. Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New York, NY Decided: 1/3/20U3 Date Filed: 01/25/2002 First Scheduled: 12/15/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity requlremen

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Neumann and Gail Neumann v. Merrill Lynch Pierce Fenner Smith 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: 01/25/2002 First Scheduled: 12/15/2002 Decided: 03/06/03 Case Summary: Customer claimant alleges breach of contract, failure to comply

New York Stock Exchange "n the Matter of Arbitration Between NYSE Case: Phyllis Lukowski v Morgan Stenley Dean Witter and Robert J. Mitchell Attomeys: For Claimant(s): Debra G. Speyer Esq. - Philadelphia, PA For Respondent(s): Howard M. Sendrovitz Esq. - New Yort< , NY Date Filed: 01/17/2002 First Scheduled: 02/04/2003 Decided: 2-18-03 Case Summary: The Stetement of Claim alleges unsuitebillty, negligence, unauthorized trading, breach