i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Peter Levitch v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015636 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 7/26/2004 First Scheduled: 12/17/2004 Decided: 12/17/2004 Case Summary: Customer Claimant alleges breach of contract,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David Klein and Citigroup Global Markets, Inc. v. Elijah and Fanta Belton Docket Number: 2004-015635 Attomeys: For Claimant(s): Karl Marquardt - Florham Park, NJ For Respondent(s): Debra Brewer Hayes - Houston, TX Date Filed: 8/5/2004 First Scheduled: 08/06/2004 Decided: '';/^/c< / Case Summary: Claimants asserted the following causes of action: unsuitable t

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wladyslaw and Rozalia, Rejkowic, as trastees for. The David Jason Hunter Trast, The Talia Marie Hunter Trast and The Stephen L. Hunter Trast v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015633 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 7/26/2

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Darielle Mason, Gabriell Mason and Gilbert Mason v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015630 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 7/29/2004 First Scheduled: Decided: Case Summary: Customer Claimant alleges breach

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Bharat Kapoor, as power of attomey for, Poonan Motilal Bhasin v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015629 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Boimie Altro - New York, NY Date Filed: 8/26/2004 First Scheduled: 12/20/2004 Decided: 12/20/2004 Case Summary: C

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Janney Montgomery Scott LLC v. Neil O. Glassmoyer Docket Number: 2004-015628 Attomeys: For Claimant(s): Carrie L. Chelko - Philadelphia, PA For Respondent(s): Neil O. Glassmoyer - Scottsdale, AZ Date Filed: 8/3/2004 First Scheduled: 01/12/2005 Decided: 01/12/2005 Case Summary: Member Firm v. Registered Rep (former employee) alleging breach of setdement .

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Austin and Laura Schilling v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015552 Attorneys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 6/4/2004 First Scheduled: 8/19/2004 Decided: 09/03/2004 Case Summary: Customers v. Member Firm allege breach

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Arthur Sands, Sr. v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., hic. Docket Number: 2004-015551 Attomeys: For Claimant(s): Kevin B. Love - Cora Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 6/23/2004 First Scheduled: 8/6/2004 Decided: 10/18/2004 Case Summary: Customer v. Member Firm alleges breach of contrac

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Henry Sadek, as Trastee for the Henry Sadek Medical Association Inc. Pension Plan v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015550 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 6/4/2004 First Scheduled: 10/08/2004 Decided: 10/08/2004

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03639 Betty Tang Thomas Cy Wong Names of the Respondents Hearing Site: St. Louis, Missouri First Security Investments, Inc. Anthony W. Chen REPRESENTATION OF PARTIES Claimants Betty Tang ("Tang") and Thomas Cy Wong ("Wong"), hereinafter collectively referred to as "Claimants": Steven W. Koslovsky, Esquire, of Blumenfeld, Kaplan & Sa