New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gregory Bunn v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Attorneys: For Claimant(s): Thomas R. Grady Esq. - Naples, FL Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 11/19/2001 First Scheduled: 04/26/2002 Decided: yyyuy Case Summary: Claimant alleges that Merrill L

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Buzatu, Sanda v. T.D. Waterhouse Attomeys: For Claimant(s): Sanda Buzatu - Bucuresti, Romania, For Respondent(s): Jan Campanella Esq. - Ft. Lauderdale, FL Date Filed: 12/12/2001 First Scheduled: 03/01/2002 Decided: 07/26/2002 Case Summary: Claimant, a public customer, alleges RespnindenL a member firm, improperiy charged trade fees for executing orders by

ew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Karen Zimmerman and Stewart Dauman v Credit Suisse First Boston Corp. Attorneys: For Claimant(s): David Wechsler Esq. - New Yort(, NY For Respondent(s): James R. WarnoL Jr. Esq. - New York, NY Date Filed: 12/04/2001 First Scheduled: O6/05/2002 Decided: 02/21/2003 Case Summary: Claimants, former employees, have alleged that respondents breached their agreement re

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ellen Fitch v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/29/2001 First Scheduled: 07/19/2002 Decided: 7/19/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity requirem

|-:^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Alan Feldman v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 12/12/2000 First Scheduled: 07/19/2002 Decided: 7/22/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jerome and Joan Canby v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/29/2001 First Scheduled: 07/19/2002 Decided: 7/19/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with div

y 1 New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Don Cosper v. Merrill Lynch Pinrce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/29/2001 First Scheduled: 07/19/2002 Decided: 7/19/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with di

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frederick and Louise Crouter v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch and Company Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables. FL For Respondent(s): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 11/29/2001 First Scheduled: 07/19/2002 Decided: 7/19/2002 Case Summary: Customer claimant alleges breach of contracL failure to comply with

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rebecca Hittner (Claimant) v. Ralph Maresca and Glenn Michael Financial, Inc., (Respondents) Case Number 01-03855 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Rebecca Hittner ("Hittner") hereinafter referred to as "Claimant**: George J. Lewis, Esq, The Law Office of George J. Lewis, Brooklyn, NY. Respondents Ralph Maresca ("Maresca") and Glenn Michael Financia

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jack Giddings v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Decided: 7/19/2002 Date Filed: 11/29/2001 First Scheduled: 07/19/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity r