New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Davkl A. Durham and Madonna F. Durtiam v. Merrill Lynch Pierce Fenner & Smitti and Merril Lynch & Company Inc. Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yorit, NY Decided: 10/8/2002 Date Filed: 01/1472002 First Scheduled: 09/20/2002 Case Summary: Customer daimant alleges breach of oonbacL failure to

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Daniel L. Flink and Debra K. Flink v. Menill Lynch Pierce Fenner Smitti Inc. and Memll Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yotk, NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 10/22/2002 Case Summary: Customer claimant alleges breach of conta^ct, failure t

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Hargaden, Rory L., v. BNY Clearing Services, LLC Attorneys: For Ciaimant(s): Rory L. Hargaden - Lakewood, CA For Respondent(s): Doreen Petrovic - Milwaukee, Wl Date Filed: 01/11/2002 First Scheduled: 06/14/2002 Decided: 08/08/2002 Case Summary: Claimant, a public customer, alleges negligence and breach of fiduciary duty witti respect to the purchase of shar

// New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lawrence E. Brown and Joanne Brown v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill Lynch & Co.Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 03/13/2002 Decided: 3-14-2002 Case Summary: Claimant alleges ttiat Merrill Lynch Pierce

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dain Rauscher Incorporated, Claimant v. Andrew N. Hennen, Respondent Case Number: 01-03859 Hearing Site: Not Applicable REPRESENTATION OF PARTIES For Claimant: Scott M. Stearns, Esq. Dorsey & Whitney LLP Minneapolis, Minnesota Jonathan Harris, Esq. Lindquist & Vennum P.L.L.P. Minneapolis, Minnesota For Respondent: Andrew N. Hennen Portland, Oregon CASE

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Paul Brown and Catherine Brown v. Merrill Lynch Pierce Fenner & Smitti.Inc. and Merrill Lynch & Co.,Inc. Attomeys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondeiit(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/14/2002 First Scheduled: 09/17/2002 Decided: 11-6-02 Case Summary: Claimant alleges ttiat Merrill Lynch Pierce Fenner & Smit

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Seymour Epstein and Zelda Epstein v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Menili Lynch & Co.,lnc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori«, NY Date Filed: 01/14/2002 First Scheduled: 09/17/2002 Decided: iniL D Case Summary: Claimant alleges that Merrill Lynch Pierce F

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Charies H. Debrovner and Pafa-icia A. Debrovner v. Merrill Lynch Pierce Fenner & Smith, Inc. and Menill Lynch & Co.,Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/14/2002 First Scheduled: 08/05/2002 Decided: 1/14/03 Case Summary: Claimant alleges that Merrill Lynch Pierce Fe

New York Stock Exchange in the Matter of Arbitration Between y NYSE Case: James Breaux and Laura Breaux v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co.,lnc. Attorneys: For Claiinant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori(, NY Date Filed: 01/14/2002 First Scheduled: 09/17/2002 Decided: 11-4-02 Case Summary: Claimant alleges ttiat Menill Lynch Pierce Fenner

ew York Stock Exchange In the Matter of Arbitration Between U^' NYSE Case: Dan Armstong and Norma Armstrong v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill Lynch & Co. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 01/14/2002 First Scheduled: 09/17/2002 Decided: 2-3-03 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & S