i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Rao D. Nandety as trustee for the benefit of, The Rao D. Nandety MD PA Defined Benefit Plan v. Merrill Lynch, Pierce, Fenner & Smith, Inc. & Merrill Lynch & Co., Inc. Docket Number 2004-015581 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 7/14/2004 First Scheduled: 5/21/2005 Decided: 5/21

luiirauon tJase #2004-015533 • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Clark F. Apgar, IndividuaUy and Mary G. Apgar, as trustee of a Trust dated December 3,1999 v. Merrill Lynch, Pierce, Fenner & Smith Docket Numben 2004-015533 Attorneys: For GaimantCs): Glenn S. Gitomer - Radnor, PA For Respondent(s): WiUiam E. Mahoney - Philadelphia, PA Date Filed: 6/17/2004 First Scheduled: 04/26/2005 Dedded: C

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Betty Morgan v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Numben 2004-015528 Attomeys: For Gaimant(s): Celeste M. Chiaramonte - Kingwood, TX For Respondent(s): Craig H. Clendenin - Houston, TX Date Ffled: 6/4/2004 First Scheduled: 05/17/2005 Dedded: 7/7/2005 Case Summary: Customer Claimant alleges mismanagement, negligence, failure to transfer account

NYSE Arbitration Case #2004-015445 Page 1 of 2 •NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John W. Vargo, ACF for J. Austin Vargo v. Salomon Smith Barney Docket Number: 2004-015445 Attomeys: For Gaimant(s): Kevin D. Mehling - Kingwood, TX Mflton Fried - Kingwood, TX For Respondent(s): Ndl B. Solomon - West Palm Beach, FL Date Ffled: 5/17/2004 First Scheduled: 07/19/2005 Dedded: 8/11/2005 Case Summary

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marshall Rushing and Patti Rushing vs. MerriU Lynch Pierce Fenner and Smith, Inc. Docket Number: 2004-015401 Attomeys: For Claimant(s): Mflton Fried - Kingwood, TX For Respondent(s): Peter S Fruin - Montgomery, AL Date Ffled: 4/19/2004 First Scheduled: 04/19/2005 Dedded: 5/12/2005 Case Summary: Customer Claimants allege unsuitability, overconcentration, fai

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Henry Eugene Conant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Numben 2004-015377 Attomeys: For Gaimant(s): Bruce Cain - Kingwood, TX For Respondent(s): Stuart T. Rebish - New York, NY Date Ffled: 5/7/2004 First Scheduled: 7/29/2005 Dedded: 8/4/2005 Case Summary: Claimant customer alleges misrepresentation, breach of contract, breach of fiduciary

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Debbie Isola and Charles Isola, (Claimants) vs. Raymond James Financial Services, Inc., Evan Kralstein, and Evan Thomas Associates, (Respondents) Case Number: 01-03776 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Debbie Isola ("D. Isola") and Charles Isola ("C. Isola"), hereinafter collectively referred to as "Claimants": Brian H. Reis, Esq., Brian Reis & As

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Guy and Joyce Weddle v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015360 Attomeys: For Claimant(s): Kevin E. Love - Coral Gables, FL For Respondent(s): Bonnie L. Altro - New York, NY Date Filed: 4/29/2004 First Scheduled: 3/30/2005 Decided: 3/31/2005 Case Summary: Customer claimant alleges breach

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ismael C. Valenzuela v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015340 Attomeys: For Claimant(s): Milton Fried - Kingwood, TX For Respondent(s): Bradley M. Gordon - Dallas, TX Date Filed: 4/23/2004 First Scheduled: 05/10/2005 Dedded: 05/31/2005 Case Summary: Customer alleges that Respondent recommended unsuitable investments of t

l^IYSE Arbilration Case #2004-015262 Page 1 of2 i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harold Mike Goodspeed v. Salomon Smith Barney, Inc., Docket Numben 2004-015262 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Raul Sanchez - New York, NY Date Ffled: 4/8/2004 First Scheduled: 07/21/2005 Dedded: 7/27/2005 Case Summary. Customer Claimant alleges breach of