iVew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ronald Albert 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 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 comply with diversity r

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Katherine Abel 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 Yori< , NY Date Filed: 11/19/2001 First Scheduled: 05/31/2002 Decided: 08/14/2002 Case Summary: Customer claimant alleges breach of conbact, failure to comply witti

lew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v. Rul Leite Attorneys: For Claimant(s): Kenneth O'Connor, Esq, For Respondent(s): Rul Leite - Lowell, MA - Cranford, N.J. Date Filed: 11/21/2001 First Scheduied: 10/15/2002 Decided: 10/15/2002 Case Summary: Member firm daimant breach of Command Account Margin Agreement and non-payment of debit t>alance fbllowing margin call.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Portefdio De Inversiones, S.A. v. Morgan Stenley Dean Witter Inc. Attomeys: For Claimant(s): Michael R. Koblenz Esq. - New Yoric. NY For Respondent(s): James D. Yellen - New Yoric. NY Date Filed: 12A)7/2001 First Scheduled: 08/07/2002 Decided: 12/4/02 Case Summary: Non-member daimant alleges failure to make required accounting regarding transactions of non-United Ste

.ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Birgitte Dill v. Memll Lynch, Pierce, Fenner & Smitti, 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(5): Frances Chlapowski Esq. - New Yori< , NY Date Filed: 11/19/2001 First Scheduled: 04/05/2002 Decided • y7/7A^ Case Summary: Claimant alleges that Merrill

New York Stock Exchange NYSE ^n the Matter of Arbitration Between Case: David Dryden v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Menill 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 York, NY Date Filed: 11/19/2001 First Scheduled: 09/17/2002 Decided: 12/26/2002 Case Summary: Claimant alleges that Merrill Lynch Pier

1 New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Peter Bernholtz, as president for 306 Corporation 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 York, NY Date Filed: 11/19/2001 First Scheduled: 02/25/2002 Decided: 3-19-2002

New York Stock Exchange In the Matter of Arbitration Between \y NYSE Case: Maurita Baja v. Merrill Lynch, Pierce, Fenner & Smitti, Inc. and Memll Lynch & Co., Inc. Attorneys: For Claimant(s): Thomas R. Grady Eqs. - Naples, FL Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY ^/z^/cX Date Filed: 11/19/2001 First Scheduled: 04/12/2002 Decided: Case Summary: Claimant alleges ttiat Me

\ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clinton Alley v. Men-ill Lynch, Pierce, Fenner & Smitti, 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 York, NY Date Filed: 11/19/2001 First Scheduied: 03/13/2002 Decided: 3/30/02 Case Summary: Claimant alleges ti-iat Merrill

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Paul Berger 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 York, NY Date Filed: 11/19/2001 First Scheduled: 02/25/2002 Decided: 2-19-2002 Case Summary: Claimant alleges that M