New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Joseph A. Batdorf v. Salomon Smith Bamey and Darek W. Hunt Attorneys: For Claimant(s): Joseph A. Batdorf - Levittown, PA For Respondent(s): Ann Pany Esq. - New Yoric, NY Date Filed: 11/05A2001 First Scheduled: 03/13/2002 Decided: 4/19/2002 Case Summary: The Statement of Claim alleges that the registered representative made unauthorized trades in the account and that

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Merrill Lynch & Co.,lnc. v. Jay G. Bernhardt and JGB Enterprises, Inc. Attorneys: For Claimant(s): Sharon P. Stiller Esq. - Rochester, NY For Respondent(s): Terry KInwan Esq. - Liverpool, NY Date Filed: 10/24/2001 First Scheduled: 06/06/2002 Decided: Case Summary: Menill Lynch & Co. alleges that two customers miled to pay a debit balance in their accounts,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: /\shley Kaye Individually and as trustee of the Ashley Kaye Revocable Trust v. UBS PaineWebber Inc. and Isadore Friedman Attorneys: For Claimant(s): Jeffrey S. Grubman Esq. - Boca Raton, FL For Respondent(s): John E. Jenkins Esq. - Weehawken, NJ Date Filed: 11/05/2001 First Scheduled: 09/10/2002 Decided: 11/11/2002 Case Summary: Customer claimant alleges unsuitable t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salvatore K. Crisafi and C. Baudanza-Crisali JTWROS v. Salomon Smith Barney, Inc., William F. [)odge and Paul Jay Abrams Attorneys: For Claimant(s): Charies M. O'Rourite Esq. - Woodbury, NY For Respondent(s): Victor A. Machinski Esq. - New York, NY Date Filed: 10/25/2001 First Scheduled: 10/O8/2002 Decided: 11-7-02 Case Summary: The Statement of Claim alleges tha

ew York Stock Exchange in the Matter of Arbitration Between NYSE Case: Sonnle Newfield v Todd Cowie v Dain Rauscher Attorneys: For Claiinant(s): Brian J. Neville Esq. - New Yori(, NY For Respondent(s): Joan M. Mari< ey Esq. - New Yori< , NY For 3rd Party: James M. Bergen Esq. - New Yorit, NY A|7[03 Date Filed: 11/05/2001 First Scheduled: 05/O6/2002 Decided: Case Summary: Customer against member firm and registered representativ

i^ew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sannnn BrrfBi Banwy, Inc. v Jason DavM Evans Attorneys: Par Cbdmanifi): David SchnM Esq. - CrenlM, NJ For RnpondBnlfi): Juan 0. Evans - RKiondo Baach, CA q^lB Fned: iQ/soffiOOi First Scheduled: 04/Qa20QZ Decided: 5/1/2002 Case Sunmnary: Meniber linn againit fbnnar ragMercd representailvB fbr 1^ ' Product IVICIII^OW ClabnData Claim: $654^378^10 Pu

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Incorporated v Michael Tuman Attorneys: For Claimant(s): Kennetti O'Connor Esq. - Cranford, NJ For Respondent(s): Michael Tuman - West Orange, NJ Date Filed: 11/07/2001 First Scheduled: 04/19/2002 Case Summary: Member firm against former registered representetive for balance due on a Product: Decided: 07/15/2002 promissory note of $52,42

•y New York Stock Exchange ^n the Matter of Arbitration Between NYSE Case: Jana Roddick, Louis Sanica, Kennetti O'Connell, Rebecca Buckley and Donald Toomer v. Prudential Securities Inc. Attorneys: For Claimant(s): Andrew R. Bronsnick Esq. - Livingston, NJ For Respondetit(s): Thomas Kavaler Esq. - New York, NY Date Filed: 11/07/2001 First Scheduled: 06/0472002 Case Summary: Registered representetive against member firm for eamed income

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-03838 Marge Mroz, individually and on behalf of her IRA Name of the Respondents Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith, Inc. and Bernard Ringer REPRESENTATION OF PARTIES Claimants Marge Mroz, individually and on behalf of her IRA, ("Mroz") was represented by Kirk G. Smith, Esq. of the firm Shepherd Smit

"Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Anne Cane v. Merrill Lynch Pierce Fenner & Smitti, Inc. and Merrill Lynch & Co.,Inc. Attorneys: For Claimant(s): Kevin Love Esq. - Coral Gables, FL For Re5pondent(s): Frances Chlapowski Esq. - New Yori< , NY -7/77/ ^> Date Filed: 11/02/2001 First Scheduied: 02/25/2003 Decided: Case Summary: Claimant alleges that Menill Lynch Pierce Fenner & Smith, Inc. and Merril