• NYSE New York Stock Exchange In the Matier of Arbilration Benveen Case: Mario Leoneiii and Mary Leoneiii, individually and as tmstees of the Lion Trading, Inc Deferred Benefit Pension Plan v Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Borsellino Docket Number: 2003-012079 Attomeys: For Claimant(s): Paul J. Vincenti, Jr. - New York, NY For Respoadent(s): Bryan Reyhani - New York, N^' Date Filed: 7/11/2003 First Scheduled: 09/27

i New York Stock Exchange In the Matter of Arbitration Between Case: Intemational Diamond Importers, Inc., Sibelle Nazarian v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Mahmoud Malakafazali Docket Number: 2003-011955 Attomeys: For Claimant(s): Steve Buchwalter - Encino, CA For Respondent(s): Robert B. Ericson - Los Angeles, CA Date Filed: 6/16/2003 First Scheduled: ^ JS/O^- Decided: Case Sunmiary: Claimants, Customers, all

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael A. Malcolm v. Credit Suisse First Boston Corporation, Credit Suisse First Boston Inc. Aaron Mendelson, Julius Simonini and Donaldson, Lufkin & Jenrette Securities Corporation N/K/A Pershing LLC Docket Number: 2003-011916 Attorneys: For Claimant(s): James W. Kinnear - San Francisco, CA Matthew J. Smith - Denver, CO For Respondent(s): Connie Norton - San Fran

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dorothy Franklin Individually and as a tmstee of the Wesley A. Franklin Family Tmst V. Morgan Stanley DW Docket Number: 2003-011823 Attomeys: For Claimant(s): Celeste M. Chiaramonte - Kingwood, TX Stephen M. Hansen - TAcoma, WA For Respondent(s): Thomas V. Dulcich - Portland, OR Date Filed: 5/9/2003 First Scheduled: 03/15/2005 Decided: 04/11/2005 Ca

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cantone Research, Inc., (Claimant) vs. Bonnie A. Walling, (Respondent) Case Number: 01-03667 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantone Research, Inc., hereinafter referred to as "Claimant": Anthony Cantone, President, Cantone Research, Inc., Tinton Falls, NJ. Previously represented by: Marc D. Powers, Esq., Parker Duryee Rosoff & Haft, New Yo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hazel F. Padgett, Claimant v. Anchor Management Group, Inc. and Warren E. Jacobs, Respondents Case Number: 00-1238 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: For Respondent Anchor Management Group, Inc. ("Anchor"): For Respondent Warren E. Jacobs ("Jacobs"): Maureen Mathison, Esq. Reinman Matheson Kostro & Vaughan, P.A.

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William Gallagher v. Merrill Lynch Pierce, Fenner & Smith, Inc., Michael A. Paolone, Henry Blodget Docket Number: 2003-011567 Attomeys: For Claimant(s): Anthony J. Hom - New York, NY For Respondent(s): Diana Campbell - New York, NY Joseph Edmondson - Washington, DC Date Filed: 3/13/2003 First Scheduled: 02/25/2004 Decided: 2/4/2005 Case Summary:

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anne Obolensky; Anne Obolensky as the Personal Representative of the Estate of Alexis Obolensky, Deceased and Ann Obolensky as Distributee and Sole Beneficiary of the Estate of Alexis Obolensky, Deceased vs. Merrill Lynch and Daryn Pingleton Docket Number: 2003-011566 Attomeys: For Claimant(s): Brace S. Schaeffer - New York, NY For Respondent(s): Lawrence Ross - New York,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dorman F. Griesinger, IRA, Betty R. Griesinger, IRA and Griesinger Family Trast dtd 6/28/93 vs. Morgan Stanley & Co., Inc. and Brace Morley Docket Number: 2003-011523 Attorneys: For Claimant(s): Ronald A. Marron - Imperial Beach, CA For Respondent(s): Catherine L. Dellecker - Los Angeles, CA Date Filed: 3/4/2003 First Scheduled: 06/14/2004 Decided: 03/11/2005 C

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carmen and Helena Granato v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015950 Attorneys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 04/28/2005 First Scheduled: Decided: 5/26/05 Case Summary: Customer v. Member Firm a