I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Douglas and Jill Richardson v. Menill Lynch, Pierce, Fenner & Snudi, Inc. and Menill Lynch & Co., hic. Docket Number: 2004-015549 Attomeys: For C]ainiant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date FUed: 6/4/2004 First Scheduled: 7/6/2004 Decided: 7/26/2004 Case Summary: Customers v. Member Finn allege breach

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Scott Pennison and Victoria Johnson v. Menill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015548 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: 11/22/2004 Decided: 12/22/2004 Case Summary: Customers v. Member Firm alleg

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David and Mary Rendleman v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2004-015547 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, m' Date Filed: 6/4/2004 First Scheduled: 01/26/2005 Decided: 02/11/2005 Case Summary: Customers v. Member Firm allege brea

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert Pennington v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Merrill Lynch & Co., Inc. Docket Number: 2004-015546 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: 8/2/2004 Decided: 8/23/2004 Case Summary: Customer v. Member Firm alleges breach of contract fa

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: David Trautenberg v Salomon Smith Bamey and Terry Fried Docket Number: 2004-015523 Attomeys: For CIaimant(s): David Wechsler - New York, NY Scott Meyers - Chicago, IL For Respondent(s): David Libowsky - Florham Park, NJ Terry Fried - Urbandale, IA Date Filed: 6/3/2004 First Scheduled: 06/10/2004 Decided: 06/10/2004 Case Summary: Claimant, David

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John R. McElhone and Mary McElhone v. Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2004-015512 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Keimeth C. Mennemeier - Sacramento, CA Date Filed: 5/27/2004 First Scheduled: 8/9/2004 Decided: 10/15/2004 Case Summary: Claimants allege negligence, misrepresentation

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Teresa Fernandez v. Morgan Stanly Dean Witter, Inc. Docket Number: 2004-015507 Attomeys: For Claimant(s): Debra Brewer Hayes - Kingwood, TX For Respondent(s): Keith Guilfoyle - New York, NY Date Filed: 6/7/2004 First Scheduled: 11/10/2004 Decided: ii/ii/04 Case Summary: Claimant claims Respondent negligently invested her in risky proprietary mutual funds an

^msE New York Stock Exchange [n the Matter of Arbitration Between Case: Emma Slayton v. McDonald Investments, kc. Docket Number: 2004-015501 Attomeys: For Claimant(s): Duane E. Tobias - Kingwood, TX For Respondent(s): Steven R. Malynn - Cleveland, OH Market: Other $130,000.00 UNSPECIFIED UNSPECIFIED $750.00 Award Data; Award: Punitive: Atty Fees: Costs: Date Filed: 5/25/2004 First Scheduled: 12/06/2004

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: George Shirley v. Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2004-015404 Attomeys: For Claimant(s): Celeste Chiaramonte - Kingwood, TX For Respondent(s): Andrea Morgan Greene - Birmingham, AL DateFiled: 5/12/2004 First Scheduled: 12/30/04 Decided: 1/22/05 Case Summary: Customer Claimant alleges unsuitability, negligence, misrepresentation,

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robert A. Petrocine v Caroline Goff-lvaliotis Docket Number: 2004-015299 Attomeys: For Clainiant(s): Stuart Brooks - New York, NY For Respondent(s): Caroline Goff-lvaliotis - North Salem, NY Date Filed: 3/31/2004 First Scheduled: 8/18/2004 Decided: 8/18/04 Case Summary: Claimant registered representative had claims brought against him by public customer