Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: Andrew Klein and Gloria Klein v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company 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 Scheduled: 05/26/2003 Decided: 06/23/2003 Case Summary: Customer claimant alleges breach of contract, failure to comply

» NYSE ly^ New York Sinck lL\rh;nijj« Jn iht' .Miiner ol .Arhiiiinion biMAMin Case: .loseph Love and Mary PhwiT Love v. Mtrrri]] L>nich Pierre l-enner Smith Inc. and Merrill L>'nch & Company hu. Aiiorneys: For C]aimant(s): Kevin Love - Coral Gables. Fl. For Respondent(s): Fran Chlapowski - New '^"ork. \>' For 3rd I'ariv: iJatf l-iifd:2]5/:(i(' r-irsi .^c'-itfiiiii-ri: '.'.^ rtvO' Deciried: y^t JdO:- (. :^.sc .^llmmar^••

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Wayne Humes v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Attomeys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - New Yorl< , NY Date Filed: 02/15/2002 First Scheduled: 05/07/2003 Decided: 07/22/2003 Case Summary: Customer claimant alleges breach of contracL failure to comply with diversit

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cynthia Moloney and Sharon Luther v. Merrill Lynch Pierce Fenenr Smith Inc. and Merrill Lynch & Company Inc. Attorneys: For Ciaimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Fran Chlapowski - New York, NY Date Filed: 2/15/2002 First Scheduled: 9/12/2003 Decided: /ilsc-.h ^ Case Summary: Customer claimant alleges breach of contract, failure to co

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ronald Whitcomb SSB IRA Rollover Custodian v Solomon Smith Bamey, Inc., Peter Keller & Jill .Johnson Attomeys: For Claiinant(s): Erwin Cohn Esq. - Chicago, IL For Respondeiit(s): Etta M. Gumbs Esq. - New Yoric, NY Date Filed: 02/09/2002 First Scheduled: 07/30/2002 Decided: ^J;L^/C3 Case Summary: Claimant alleges his 3rd account had unsuitable investments and suff

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Optibase, Ltd. v Merrill Lynch, Merrill Lynch Investment Mangers and Merrill Lynch & Co., Inc. Docket Number: 2002-009922 Attorneys: For Ciaimant(s): Stephen Younger - New York, NY For Respondent(s): Larry Fenster - Morristown, NJ Date Filed: 2/5/2002 First Scheduled: 2/19/2002 Dedded: 12/15/2003 Case Summary: Claimant, a customer, has alleged that resp

\ < ew York Stock Exchange In the Matter of Arbitration Between cy NYSE Case: John Gagliardi and Josephine Gagliardi v. Merrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Fran Chlapowski Esq. - Now York, NY Date Filed: 02/06/2002 First Scheduled: 02/28/2003 Decided: 5/29/2003 Case Summary: Customer claimant alleges breach of contra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Inc., (Claimant) vs. Lucius G. Briggs, (Respondent) Case Number: 01-03736 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Jean P. Hanna, Esq., Rubin & Associates, P.C., Paoli, PA. Respondent, Lucius G. Briggs, hereinafter referred to as "Respo

New York Stock Exchange NYSE 111 the IMatter of Arbitration Between Case: Lee Repsssy and Meredith Repassy v. r\/lerrill Lynch Pierce Fenner Smith and Merrill Lynch & Company Inc. Attorneys: For Claimant(s): Keven B. Love Esq. - Coral Gables, FL For Respondent(s): Iran oriiapuwtiM esq. - i>icw Voii\, iVi' Date Filed: 02/06/2002 First Scheduled: 04/23/200S Decided: 6/25/03 Case Summary: Customer claimant alleges breach of contract, failure to comply

\ y ^ New York Stock Exchange NYSE in the Matter of Arbitration Between Case: The Estate of Paul Lichtman by Lynn Lichtman Executrix and Lynne Lichtman v Merrill Lynch, Norman Einhorn & John Doe (Branch Manager) Attorneys: For Claimant(s): David A. Gehn Esq. - New York, NY For Respondent(s): Dominick F. Evangelista Esq. - New York, NY Date Filed: 02/07/2002 First Scheduled: 10/02/2002 Decided: 7 / 9 / \ Case Summa