I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gary Gardner and Deborah Gardner v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015949 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 04/04/2005 Decided: 5/3/05 Case Summary: Customer v. Member Firm alle

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donna Breck v William L. Stevens and Edward Jones Docket Number: 2005-015938 Attomeys: For Claimant(s): M. Lynn Dunlap - Twin Falls, ID For Respondent(s): Kimberly Anderson - St. Louis, MO DateFiled: 1/4/2005 First Scheduled: 04/22/2005 Decided: 05/16/2005 Case Summary: Customer Claimant alleges negligence and failure to supervise relating to the wrongf

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Raymond and Marjorie Vliek v. Merrill Lynch, Pierce, Feimer & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015946 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 04/18/2005 Decided: 4/21/05 Case Summary: Customer v. Member Firm alleges br

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Brenda Rushing, as personal representative for the estate of Louis and Beatrice Dean v Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2005-015945 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 12/29/2004 First Scheduled: 04/28/2005 Decided: 4/18/05

I New York Stock Exchange In the Matter of Arbitration Between Case: Gordon Burich v Morgan Stanley DW, Inc. Docket Number: 2002-011166 Attomeys: For Claimant(s): Richard A. Lewins - Dallas, TX For Respondent(s): Bmce Lewitas - Chicago, IL Date Filed: 12/16/2002 First Scheduled: 3//^'0*4-" Decided: L^\ j 05 Case Summary: Customer alleges unsuitable investments, breach of fiduciary duty, negligence, breach of contract and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter Respondent D.E. Frey & Company, Inc. V. 01-03663 Denver, Colorado Respondents / Counter Claimants UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Correspondent Services Corporation REPRESENTATION OF PARTIES D.E. Frey & Company, Inc. ("Claimant") was represented by Steve A. Miller, Esq., of the Law Offices of Steve A. Miller, P.C., Denve

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anthony V. Zehenni individually and as Tmstee of the Anthony V Zehenni Family Trast v JP Morgan H&Q, JP Morgan Chase Securities, Inc.; JP Morgan Chase & Co.; Shirley Quackenbush, an individual; and Does 1-20 et. al. Docket Number: 2002-011053 Attomeys: For Claimant(s): Robert Rosen - Los Angeles, CA For Respondent(s): Susan L. Hoffinan - Los Angeles, CA Date Filed

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ronald Brown vs. ABN AMRO Inc. Docket Number: 2002-010793 Attomeys: For Claimant(s): Christine A. Palmieri - New York, NY For Respondent(s): Anthony Paduano - New York, NY Katherine B. Harrison - New York, NY Date Filed: 9/19/2002 First Scheduled: 03/14/2005 Decided: 03/18/2005 Case Summary: Claimant, a former employee, has alleged that respondent h

p NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v William Buckingham Docket Number: 2002-010626 Attomeys: For Claimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): William Buckingham - New York, NY Date Filed: 8/19/2002 First Scheduled: 05/10/2005 Decided: 05/10/2005 Case Summary: Claimant member firm alleges that former employee registered represantative

I IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Carbone, Frederick Kirske, Linda Lipson, Richard H. Bien, Marvin and Hilda Shlain, Susan Goldstick, Leonard Shlain, Tiffany Shlain, John Carlisle, Wayne Chirdon, Carol Lewis Jaffe, as trustee of the Leonard Shlain Child's Trust, and James and Maureen Moriarty v. Bear, Steams & Co., Inc. Docket Number: 2002-010369 Attomeys: For Claimant(s): George S. Trevor - Cort