New York Stock Exchange .1 the Matter of Arbitration Between y NYSE Case: Dale Dlttenber and Gertrude Dittenber v. I^rrill Lynch Pierce Fenner & Smitti, Inc. & Menili Lynch & (^.,lnc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY -• /^/«2f/^: Date Filed: 01/14/2002 First Scheduled: 09/17/2002 Decided Case Summary: Claimant alleges that Menill Lynch Pierce

New York Stock Exchange .n the Matter of Arbitration Between NYSE Case: Brent Brooksteln and M. Linda Brookstein 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 Yori< , NY Date Filed: 01/14/2002 First Scheduled: 03/13/2002 Decided: -7//-^/^ €> < ? Case Summary: Claimant alleges ttiat Merrill Lynch Pier

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Robert Brewer and Cynthia Brewer v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill 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: 11-20-02 Case Summary: Claimant alleges ttiat Merrill Lynch Pierce Fenner & S

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard Stoltz and Maureen Hunt, v. Pmdential Securities, Inc. and Allan GotUieb Attorneys: For Claimant(s): Susan J. Samuels Esq. - Marietta, GA For Respondent(s): Jordan D. Becker Esq. - New York, NY Date Filed: 01/22/2002 First Scheduled: 10/29/2002 Decided: 11/06/2002 Case Summary: Claimants, public customers, allege breach of fiduciary duty, common law fi-aud an

1-^ .ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Harvey A. Sheppard and Joyce Sheppard v. Merrill Lynch and John M. Desenberg Attomeys: For Claimant(s): Dean Z. Pamphilis Esq. - Houston, TX For Re5pondent(s): Jack D. Ballard Esq. - Houston, TX Date Filed: 01/14/2002 First Scheduled: 12/I6/2002 Decided:oi/29/2003 Case Summary: Claimants, public customers, allege violations of NYSE Rule 405 and the Texas Dece

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas F. Fitzgerald, Jr., Eugene Behlmaier and his wife Mary Behlmaier, Eleanor Bird, Gerald A. Bryk, Paul D. Jabrucki and his wife Sandra G. Jabrucki, Minnie Kaiser, Marian P. Kujawa, Norbert J. Kreuzer, Brian Martin and his wife Penny Martin, and John R. Olivate and his wife Sandra A. Olivate, (Claimants) vs. National Planning Corporation (f/k/a Jackson National Financial Services, I

New York Stock Exchange In the Matter of Arbitration Between Attorneys: For Ciaimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY y NYSE Case: Jack Gross and Peari Gross v. Memll Lynch Pierce Fenner & Smitti,inc. and Merrill Lynch & Co. Date Filed: 01/14/2002 First Scheduled: 03/13/2002 Decided: 3/5/2002 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smitti,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David Gelsky and Helen Gelsky 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): Francis S. Chlapowski Esq. - New Yori< , NY Date Filed: 01/14/2002 First Scheduled: 09/20/2002 Decided: 10/1/2002 Case Summary: Customer claimant alleges breach of conta-acL failure to

.ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rinaldo Gallucci and Lorraine Gallucci v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Ciaimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New York, NY Date Filed: 01/14/2002 First Scheduled: 12/15/2002 Decided: 12/15/2002 Case Summary: Customer claimant alleges breach of contract, failure

./ New York Stock Exchange ^n the Matter of Arbitration Between NYSE v>ase: Kenneth Sheinberg v SG Cowen Securities Corp. Attorneys: For Claimant(s): David B. Wechsler Esq. - New Yori< , NY For Respondent(s): Lloyd S. Clareman Esq. - New York, NY Date Filed: 12/28/2001 Case Summary: or severance pay. First Scheduled: 06/18/2002 Decided: 12/06/2002 : ClaimanL a former employee, has alleged that respondent wrongfully tenninated