New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Madeline Goldenberg v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Clalmant(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: 7/24/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply with

/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William Grenawalt 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: 7/29/2002 Case Summary: customer claimant alleges breach of contract, failure to comply with d

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leon Felman v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch and Company Inc. 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: 09/20/2002 Decided: 10/0 2/'2 00 2 Case Summary: Customer claimant alleges breach of contract, failure to comply with diver

New York Stock Exchange n the Matter of Arbitration Between NYSE Case: Robert and Alexandria Deskins, Eugene Deskins and Michelle llcisko v. First Union Securities, Inc. and Joseph D. Crisp, Sr. Attorneys: For Claimant(s): Douglas Kutsko Esq. - Rocky River, OH For Respondent(s): Joseph S. Simms Esq. - Cleveland, OH Michael Ungar Esq. - Cleveland, OH Date Filed: 11/27/2001 First Scheduled: 09/I6/2002 Decided: 2-10-03 Case Summary

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Hamilton 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/ig/2002 Decided: 7/ig/02 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity re

Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v Tatiana Roh and Tatianna Productions, Inc. Attorneys: For Claimant(s): Kenneth O'Connor Esq. - Cranford, NJ For Respondent(s): Jennifer Freeman Esq. - New York, NY Tatiana Roh - New York, NY Date Filed: 11/28/2001 First Scheduled: 06/28/2002 Decided: 09/26/2002 Case Summary: Claimant, a customer, has alleged that respondent failed to

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bruce and Mary Feay v. Menill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Attomeys: For ClaimantCs): Thomas R. Grady Esq. - Naples, FL Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances S. Chlapowski Esq. - New Yori< , NY Date Filed: 11/29/2001 First Scheduled: 09/17/2002 Decided: 10-28-02 Case Summary: Claimant alleges tha

New York Stock Exchange a tlie Matter of Arbitration Between NYSE Case: Emest Hamilton 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 S. Chlapowski Esq. - New York, NY Date Filed: 11/29/2001 First Scheduled: 09/17/2002 Decided: 2-28-2003 Case Summary: Claimant alleges that M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Haboush, (Claimant) vs. Russo Securities, Inc., Richard A. Russo, Ferdinand Russo, Kimberiy Kent, William G. Brown, and Dan Lipis, (Respondents) Case Number: 01-03854 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Howard Haboush, hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. Respondents, Russo Securities,

.^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Abraham Gafni v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances S. Chlapowski Esq. - New Yori< , NY Date Filed: 11/29/2001 First Scheduled: 03/07/2002 Decided: 4-1-02 Case Summary: Claimant alleges that Merrill Lynch Pierce Fenner & Smith, Inc.