i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Timothy Sylvester as Custodian for Ashley Sylvester and Cory Sylvester v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015736 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/28/2004 First Scheduled: 11/30/2004 Decided: 12/3/2004 Case Summary: Customer claimant a

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Herbert Lawson v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2004-015735 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Alfo - New York, NY Date Filed: 9/28/2004 First Scheduled: 11/29/2004 Decided: 12/1/2004 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Henry French v. Merrill Lynch, Pierce, Fenner & Smith Inc. Docket Number: 2004-015734 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/28/2004 First Scheduled: 11/11/2004 Decided: 11/16/2004 Case Summary: Customer claimant alleges breach of contract, failure to comply with diversity

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Ludovit Sevcik, As Trustee for the Ludovit Secik MD, P.C. Pension Plan v. Merrill Lynch, Pierce, Fenner & Smith Docket Number: 2004-015733 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY DateFiled: 9/28/2004 First Scheduled: 11/30/2004 Decided: 12/3/2004 Case Summary: Customer claimant alleges brea

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: H. Ronald Levin, as Trustee for, the D.D.S P.A Profit Sharing Plan and Trust v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015725 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bormie Altro - New York, NY Date Filed: 9/27/2004 First Scheduled: 12/01/2004 Decided: 12/6/2004 Case

• NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Jeffrey Sica & Brian McCafferty and A.G. Edwards vs. Rica M. Bacchi Docket Number: 2004-015720 Respondent Attorney Neil Sussman - New York, NY Claimants attorney Joel Davidson - Northvale, NJ Date Filed: 9/23/2004 First Scheduled: 10/15/2004 Decided: \\\y{ < ^S Case Summary: Two registered representatives and member firm seek expungement ofall references to NYSE No.

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Dennis J. Armstrong Docket Number: 2004-015699 Attomeys: For Claimant(s): James C. Creel, HI - Philadelphia, PA For Respondent(s): Dennis J. Armstrong - Uniondale, NY Date Filed: 9/9/2004 First Scheduled: 01/25/2005 Decided: 01/25/2005 Case Summary: Member Firm v. Registered Rep (former employee) seeking to recover amounts alleged

I, ; • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Smith Bamey/Citigroup Global Markets, Inc. and Laurie S. Cockrell v Thomas G. Donaghy and Wachovia Securities, LLC Docket Number: 2004-015693 Attomeys: For Claimant(s): Scott A.W. Johnson - Seattle, WA For Respondent(s): Michael A. Nesteroff - Seattle, WA Date Filed: 9/1/2004 First Scheduled: 11/16/2004 Decided: 12/6/2004 Case Summary: Member Firm

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert A. Fabiano and Karen B. Fabiano and 01-03641 Phoenix, Arizona Name of Respondents WestAmerica Investment Group Leiand A. Dykes Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Robert A. Fabiano and Karen B. Fabiano (collectively, "Claimants") were represented by Alan Baskin, Esq. Bade & Baskin PLC

•NYSE ew York Stock Exchange In the Matter of Arbitration Between Case: Prudential Equity Group, LLC, David Rowe and Steven Samuels v. Janice Borts Thaler and Joel Thaler Docket Number: 2004-015656 Attorneys: For Claimant(s): Alan S. Brodherson - New York, NY For Respondent(s): Janice and Joel Thaler - Bayside, NY Date Filed: 7/30/2004 First Scheduled: 11/11/2004 Decided: 11/11/2004 Case Summary: Claimants, member firm and registered