.^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward Beren v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company lnc.\ Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/19/2001 First Scheduled: 05/31/2002 Decided: 5/31/2002 Case Summary: Customer claimant alleges breach of conbact, teilure to comply witti diversity

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dlllard J. Burreil, Jr. v. Merrill Lynch Pierce Fenner Smitti 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: 11/19/2001 First Scheduled: 05/31/2002 Decided: 6/12/02 Case Summary: Customer claimant alleges breach of conbact, failure to comply witti di

iew York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Dlllard J. Burreil, Sr. v. Merrill Lynch Pierce Fenner Smitti Smitti and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New Yori(, NY Date Filed: 11/19/2001 First Scheduled: 05/31/2002 Decided: 5/31/2002 Case Summary: Customer claimant alleges breach of conbact, failure to

y Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Frank Cable, for the benefit of. Cable Land & Cattle Company v. Menill Lynch Pierce Fenner Smitti 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 Fiied: 11/19/2001 First Scheduled: 05/31/2002 Decided: 5/31/2002 Case Summary: Customer daimant alleges br

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03852 Ben Grinley, Claimant vs. Prudential Securities Inc. and Ernest McFadden, Respondent. ATTORNEYS: Claimant appeared pro se, Minneapolis, MN. For Respondents appeared Marcia L. Williams, Esq., in-house counsel, New York, NY. DATE FILED: July 20, 2001 CASE SUMMARY: Claimant alleged that respondent recommended unsuitable investments for his objectives creating a loss in his accou

f 9 New York Slock Exchange NYSE In the Matier of Arbitration Between Case: Morton Candee 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: 11/19/2001 First Scheduled: 05/31/2002 Decided: 7/10/2002 Case Summary: Customer claimant alleges breach of contract, tailure to comply witti diversity

«Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gregory Comstock v. Merrill Lynch Pierce Fenner Smith and Menill Lynch & Company Inc. -Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/19/2001 First Scheduled: 05/31/2002 Decided: 6/10/2002 Case Summary: Customer claimant alleges breach of contract, failure to comply witti divers

Sew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Elliott, for the benefit of, the Estete of Marianne Bonner v. Merrill Lynch Pierce Fenner Smitti and Merrill Lynch and Company Inc. Attorneys: "" For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/19/2001 First Scheduled: 05/31/2002 Decided: 5/31/2002 Case Summary: Customer claimant alle

New York Stock Exchange n the Matter of Arbitration Between y NYSE Case: Pmdential Securities Incorporated v. Ronald D. Moms Attorneys: For Claimant(s): David W. Schmidt Esq. - Cranford, NJ For Respondent(s): Ronald D. Morris - Poughkeepsle, NY Date Filed: 11/12/2001 First Scheduled: O6/19/2002 Decided: 12/23/2002 Case Summary: The Stetement of Claim alleges ttiat Mr. Morris failed to repay the balance due on a promissory note wh

ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lloyd Erickson 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 Yori< , NY Date Filed: 11/19/2001 First Scheduled: 07/19/2002 Decided: 9/20/O2 Case Summary: Customer daimant alleges breach of contract, teilure to comply with diversity req