Stipulated Award NASD Dispute Resolution in tne Matter ot tiie Arbitration between: Name of the Claimant The Louis Gormezano Revo. Living Trust Case Number: 01-03680 Names of the Respondents Preferred Securities Group, Inc. Jeffrey Malken Theodore K. Malkasian Gerald J. Voss Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Louis Gormezano Revo. Living Trust ("Gormezano"), hereinafter referred to as "Claimant"

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i New York Stock Exchange In the Matter of Arbitration Between Case: Shirley E. Mortell v. Sam E. Austin and Pradential Securities Docket Number: 2004-015511 Attomeys: For Claimant(s): Shiriey Mortell - Lake Worth, FL For Respondent(s): Francis X. Manning - Cherry Hill, NJ Date Filed: 5/25/2004 First Scheduled: 01/11/2005 Decided: 4/12/05 Case Summary: Customer Claimant alleges losses of $95,000 caused by negligence and failure t

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arthur Virshup and Michael Schweitz, as trastees for The Virshup and Schweitz M.D. P.A. Profit Sharing Plan and Trast v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch & Co., Inc., Docket Number: 2004-015866 Attorneys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 11/30/2004 First Schedul

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Fred Sherman v. Pradential Securities Docket Number: 2003-011657 Attomeys: For Claimant(s): Fred Sherman - Villanova, PA For Respondent(s): Howard R. Elisofon - New York, NY Date Filed: 3/27/2003 First Scheduled: 03/16/2005 Decided: 03/17/2005 Case Summary: Customer claimant alleges Respondent sold an unnecessary amount of securities to meet a margi

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rosemary McCullom, Pasquale Castaldo, Don Guamierie as trastees for The Rosemary McCullom Trast v. Merrill Lynch, Pierce, Fermer & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015634 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 7/26/2004 First Scheduled: 04/14/2005 D

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George and Renta Rainer as trastees for, The Karle L. Stein Trast v. Merrill Lynch, Pierce, Feimer & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015626 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 7/29/2004 First Scheduled: 04/15/2005 Decided: 04/15/2005 Case Sum

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i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Milton Wood v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015359 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: 04/01/2005 Decided: 3/21/2005 Case Summary: Claimant, a public customer, alleges brea

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