New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Doris Appleby v. Merrill 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: 02/25/2002 Decided: 3-7-2002 Case Summary: Claimant alleges ttiat Men

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sara Ahrens v. Merrill Lynch, Pierce, Fenner & Smitti, Inc. and Memll Lynch & Co., Inc. Attomeys: 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 Fiied: 11/19/2001 First Scheduled: 05/30/2002 Decided: =2lMl a'>- Case Summary: Claimant alleges ttiat Mem

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gilbert Jean-Jacques v Salomon Smitii Bamey Attorneys: For Claimant(s): Gilbert Jean-Jacques - Brooklyn, NY For Respondent(s): Ann Parry Esq. - New Yori< , NY Date Filed: 11/20/2001 First Scheduled: 05/23/2002 Decided: 05/23/2002 Case Summary: Claimant, a customer, has alleged ttiat respondent made unauttiorized purchases of securities. No specific securities are list

^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Edward Becker v. Merrill Lynch Pierce Fenner Smith Inc. 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: 11/13/2001 First Scheduled: 03/28/2002 Decided: 3/28/02 Case Summary: Customer claimant alleges breach of conb-act, failure to comply with diversit

iew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Roland Bond, as custodian for Karen Bond, Rachelle Bond, Reagen Bond, Renee Bond and Mary Bond v. Merrill Lynch Pierce Fenner Smith Inc. 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: 11/13/2001 First Scheduled: 03/28/2002 Decided: 3/28/02 Case S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Lernihan, (Claimant) vs. Carmine Trinchetta, Paragon Capital Markets, Inc., William Scott & Company, LLC, Charles Dilluvio, Ulderico Conte, Alexander Wescott & Company, Inc., Carl R. Walston, and Reed D. Weiser, (Respondents) Case Number: 01-03845 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nancy Lernihan, hereinafter referred to as "Claimant": Martin

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Sherman Briggs v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(5): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances Chlapowski Esq. - New York, NY Date Filed: 11/13/2001 First Scheduled: 03/28/2002 Decided: 4/3/02 Case Summary: Customer claimant alleges breach of contract, failure to comply with div

jN'ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wllliam Burnham v. Merrill Lynch Pierce Fenner Smith Inc. 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: 11/13/2001 First Scheduled: 03/28/2002 Decided: 4/3/02 Case Summary: Customer claimant alleges breach of contract, failure to comply with div

New York Stock Exchange )n the Matter of Arbitration Between NYSE Case: Grady Cooksey, as president of COOKSEY CORPORATION, v. Merrill Lynch Pierce Fenner Smitti Inc. 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: 11/13/2001 First Scheduled: 03/28/2002 Decided: 4/30/2002 Case Summary: Customer claimant alleges breach of

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert Edgett v. Merrill Lynch Pierce Fenner Smith Inc. 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: 11/13/2001 First Scheduled: 03/28/2002 Decided: 4/1/02 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity