• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerald J. Bonner Sr, Alice A. Bonner, Gerald J. Bonner, IRA, and Alice A. Bonner, IRA V. Merrill Lynch and Charles W. Koehl, III Docket Number: 2002-010026 Attomeys: For Clainiant(s): Debra G. Speyer - Philadelphia, PA For Respondent(s): EUzabeth Hoop Fay - Philadelphia, PA Date Filed: 3/8/2002 First Scheduled: 10/13/2004 Decided: 5/18/2005 Case Summary

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Evan Lovett vs. LL Partners, Inc. Attorneys: For Claimant(s): Davkl L. Becker Esq. - Northvale, NJ Joel E. Davidson Esq. - Northvale, NJ For Respondent(s): /^drew J. Goodman Esq. - New York, NY Date Filed: 03/01/2002 First Sctieduled: 11/12/2002 Decided: 07/23/2003 Case Summary: ClaimanL a former employee, alleges wrongful termination and failure to pay co

New York Stock Exchange In the Matter of Arbitration Between V--- NYSE Case: Advest, Inc. v Steven 1 omiinsori Attorneys: For Claimant(s): Michael Kalmus Esq. - New York, NY For Respondent(s): Steven Tomlinson - Painted Post, NY Date Filed: 03/04/2002 First Scheduled: 02/12/2003 Case Summary: Respondent signed promissory note while employed by claimant for left firm and must pay up the balance of 598,571.43. Product: seven (7

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Samantha Wong and Kwun Tang v. Memll Lynch & Co. and Peter Lau, Jr. Attorneys: For Ciaimant(s): Jenice L Malecki - New York, NY For Respondent(s): Michael P. Manning Esq. - New York, NY Date Filed: 03/04/2002 First Scheduled: 03/28/2003 Decided: 07/09/2003 Case Summary: ClaimanL a customer, alleges that respondents breached their contract by providing inaccurate reports regardin

Jew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Helene T. Nahas v. Janney Montgomery Scott and Peter Costanzo Attorneys: * For Claimant(s): Anthony J. Hom - New York, NY For Respondent(s): Joseph J. Dougherfy Esq. - Chadds Ford, PA Date Filed: 03/04/2002 First Scheduled: 11/12/2002 Decided: ^ / ^ / ^ ^ Case Summary: The statement of Claim alleges unsuitable investments were recommended for

New York Stock Exchange En the Matter of Arbitration Between NYSE Case: Vuni Barmash and Ruth Barmash v. Morgan Stanley Dean Witter Attorneys: For Clalmant(s): /\dam S. Doner Esq. - Palm Beach Gardens, FL For Respondent(s): Tucker H. Byrd Esq. - Orlanda, FL Decided: "^^m/^^ Date Filed: 03/05/2002 First Scheduled: 05/15/2003 Case Summary: Customer claimants allege unsuitable trading, failure to supervise, breach of fiduciary duty, fraud,

jSew York Slock Exchange In the Matter of Arbitration Between NYSE Case: Joan Sunden v. UBS PaineWebber, Inc. Attorneys: For Claimant(s): Lawrence B. Goldberg - New York. NY For Respondent(s): Jonothan L. Hochman Esq. - New York, NY Date Filed: 02/11/2002 First Scheduled: 05/06/2003 Decided: 06/19/2003 Case Summary: Claimant, a customer, alleges that respondent engaged in unsuitable trading and failure to properly supervise the account.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. ' CASE: 01-03740 Robert D. Rodel, Claimant vs. Scottsdale Securities n/k/a Scottrade, Inc, Respondent. ATTORNEYS: Claimant, Robert D. Rodei, appeared pro se, Marble Falls, TX. For Respondent, Scottrade, Inc., appeared Christopher Meitz of Scottrade, Inc., St. Louise, MO. DATE FILED: July 16, 2001 CASE SUMMARY: Claimant alleged that respondent executed a market order at a higher price in

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Quinn, Dennis & KalWeen, v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Matthew Bryan Wilson Attorneys: For Clahnantts): Stuart Meissner Esq. - New Yori(, NY For RespondenKs): DavM Campbell Esq. • Flortiam ParK, NJ Date Filed: 02/1WOO2 First Scheduled: 04/i5«003 °®*^"^®^'07/28/2003 Case Summary: Claimanis, public cuslomerB, aDege fraud, mlsrepiesentation, unsuitability, vioi

Vew York Stock Exchange In the Matter of Arbitration Between I/' NYSE Case: Charles Debrovner and Patricia Debrovner and Charles Debrovner, as Trustee for the Charles Debrovner M.D. PC 401K Retirement and Savings Plan v. Merrill Lynch & Company and Merrill Lynch Pierce Fenner Smith Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New York, NY Date Filed: 02/15/2002 First Sch