^msE New York Stock Exchange In the Matter of Arbitration Between Case: Richard LoRicco and Lucille LoRicco, Richard LoRicco, Jr., Ronald LoRicco, Vincent LoRicco and Maria LoRicco v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015738 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/28/2004 First Scheduled: 04/03/2005 Decided: 04/03/2005 Case

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joanne C. Kuklinski and A. John Keller, Trustees of the Joanne C. Kuklinski Trust UTD 10/29/93; Angus Mackenzie; Marlene Mackenzie; and, Catherine Vancho Names of the Respondents Anchor Management Group, Inc., a Florida corporation, Louis J. Spaccio, Jr., Rocco L. Spaccio, David Stevens and David Crawford Case Number: 01-03677 Heari

i New York Stock Exchange In the Matter of Arbitration Between Case: Richard Stoyell and Sue Stoyell v. Salomon Smith Bamey, Inc. Docket Number: 2004-015117 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Joseph L. Calabrese - New York, NY Date Filed: 2/9/2004 First Scheduled: 04/26/2005 Decided: S ^ < * / ^.^ Case Summary: Claimants, customers, allege breach of fiduciary of dut

i New York Stock Exchange In the Matter of Arbitration Between Case: H&R Block Financial Advisors, Inc. and Mark Andrews v. Michael Schaeffer and Lori P. Schaeffer Docket Number: 2004-015893 Attomeys: For Claimant(s): Victor A. Machcinski - New York, NY For Respondent(s): Lori Schaeffer - Philadelphia, PA Miachel Schaeffer - Philadelphia, PA Date Filed: 12/1/2004 First Scheduled: 05/10/2005 Decided: _ r / y y

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: HE Capital, S.A. v. Southwest Securities, Inc. Docket Number: 2004-015046 Attomeys: For CIaimant(s): Thomas R. Bromberg - Denver, CO For Respondent(s): Steve Dollar - Dallas, TX Date Filed: 2/6/2004 First Scheduled: Decided: Case Sununary: Customer Claimant alleges failure to execute instructions to exchange securities of Sanluis Corporation, S.A. d

i New York Stock Exchange In tbe Matter of Arbitration Between Case: Mary Ellen Kay, Douglas Culver and Prudential Securities v. David Mason and Barham Productions Docket Number: 2004-015730 Attomeys: For Claimant(s): Andrew Sidman - New York, NY Karl Marquardt - New York, NY For Respondent(s): Rena Spiewak - Jericho, NV Date Filed: 9/28/2004 First Scheduled: 10/28/2004 Decided: 01/04/2005 Case Summary: In David Mason and Bar

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Tracey Gluck and Bear Steams & Co. Inc. v. Ronald Frumkin Docket Number: 2004-015718 Attomeys: For Claimant(s): Michael Gless - Long Beach, CA For Respondent(s): Steve Buchwalter - Encino. CA Date Filed: 9/23/2004 First Scheduled: 11/11/2004 Decided: • . ^'3 / /o / Case Summary: In Ronald Frumkin v. Bear Steams & Co., Inc. and Tracey Gluck, 2001-009471, claiman

^rSE y^ « < ;«v York Stock Exchange the Matter of Arbitration Between Case: Merrill Lynch, Pierce, Fenner & Smith Incorporated, John M. Cooney, Paul J. Gerard, and Philip O. Penaloza v. Bennett Wasserstrum Docket Number: 2004-015655 Attomeys: For Claimant(s): Lawrence D. Ross - New York, NY For Respondent(s): Martin J. Siegel - New York, NY Date Filed: 8/2/2004 First Scheduled: 03/15/2005 Decided: 3/15/2005 Case Sununary: Clai

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Earl and Carol Maclean, as trustees for, the Maclean Family Trust v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015631 Attomeys: For ClaimantCs): Kevin Love - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 7/29/2004 First Scheduled: 03/25/2005 Decided: 03/25/2005 Case Summary:

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Patrick M. Pacillo, Mitchell P. Slater and Jeffrey D. Peifly v. Mary Jane Saltan Docket Number: 2004-015560 Attomeys: For Claimant(s): Matthew C. Plant - New York, NY For Respondent(s): Robert D. O'Brien - Fairfield, NJ Date Filed: 6/28/2004 First Scheduled: 03/21/2005 Decided: 3/21/2005 Case Summary: Registered Reps v. Customer seeking to have the predecessor