i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Cynthia McCormack v Merrill Lynch and Louis Kryznoski Docket Number: 2003-014814 Attomeys: For Claimant(s): Ralph A. Ferro - Ridgewood, NJ For Respondent(s): Richard C. Szuch - Morristown, NJ DateFiled: 11/26/2003 First Scheduled: 02/01/2005 Dedded: 02/02/2005 Case Summary: Customer claimant alleges respondents made unsuitable transactions in her accoun

"•NYSE New York Stock Exchange In the Matter of Arbilration Between Case: Abraham Holtzman vs Bernard Herold & Co., Inc., Fred Solomon and Lawrence Herold Docket Number: 2003-014756 Attomeys: For C]aimant(s): Howard S. Meyers - New York, NY For Respondent(s): Milton R. Gleit - White Plains. NY Date Filed: 11/6/2003 First Sclieduled: 04/07/2004 Decided: 01/31/2005 Case Summary: Registered Representative v Member Firm and Registered Repres

Page 1 of4 Finra FINRA DR In the Matter of Arbitration Between Case: The Estate of Stephen Marcus, by Louis J. Domiano as Personal Representative, Julie Marcus Paul and The Marcus Family Foundation v. Morgan Stanley DW, Inc., and Mark Fendrick v. The Estate of Stephen Marcus Docket 2003-014735 Attorneys: For Qaimant(s): For Respondent(s): Rita Durant - Philadelphia, PA Scott T. Tross - Newark, NJ DateFiled: 11/7/2003 First Schedu

w NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: U.S. Bancorp Piper Jaffray, Inc. vs. John D. Wilt Docket Number: 2003-014697 Attomeys: For Claimant(s): Meghan Elliott - Minneapolis, MN For Respondent(s): John D. Wilt - Cave Creek, AZ Date Filed: 10/28/2003 First Scheduled: 3/17/2004 Decided: 02/02/2005 Case Summary: Member Firm v. Registered Representative (former employee) seeking to recover amounts all

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Nicholas S. Walgren and Deena Walgren Hecker v. A.G. Edwards & Sons, Inc. Docket Number: 2003-014593 Attomeys: For Claimant(s): Mack A. Bethea - Gullport, MS For Respondent(s): Michael Naccarato - St. Louis, MO Date Filed: 10/7/2003 First Scheduled: 08/24/2004 Decided: February 2,2005 Case Summary: Claimants, customers, have alleged that respondent enga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony D'Archi and Ann Marie D'Archi (Claimants) vs. Frank Vanore and Summit Equities, Inc. (Respondents) Case Number: 01-03629 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Anthony D' Archi and Ann Marie D' Archi, hereinafter referred to as "Claimants": Bruce E. Baldinger, Esq., Baldinger & Levine, LLC., Somerville, NJ. Respondents Frank Vanore and Summi

i New York Stock Exchange In tbe Matter of Arbitration Between Case: Carmen Menendez v Merrill Lynch Pierce Fenner & Smith, Inc. and Merill Lynch & Co., Inc. Docket Number: 2003-014581 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): bonnie Altro - New York, NY DateFiled: 8/13/2003 First Scheduled: 08/16/2004 Decided: 01/07/2005 Case Summary: Customer claimant alleges breach of contract, failure

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elizabeth Dowling as Executrix of the Estate of Ruth G. Meredith v. Bear Steams and Michael H. Radetsky Docket Number: 2003-014467 Attomeys: For Claimant(s): Sandra L. Malkin - Atlanta, GA For Respondent(s): Drew D. Dropkin - Atlanta, GA Terry Weiss - Atlanta, GA DateFiled: 9/11/2003 First Scheduled: 01/18/2005 Decided: 02/02/2005 Case Summary:

i NYSE New York Stock Exchange ]n the Matter of Arbitration Between Case: Rosemary P. Sparks v Raymond James & Associates, Inc. and Jon J. Watson, Jr. Docket Number: 2003-012173 Attomeys: For Claimant(s): Kenneth S Gaines - Woodland Hills, CA For Respondent(s): Mitch Albert - Torrance, CA Date Filed: 7/8/2003 First Scheduled: 11/15/2004 Decided: i/ii/05 Case Summary: Customer claimant alleges unsuitability, breach of fiduciar

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John Petty v Salomon Smith Bamey, Inc., Jack Grubman & Daryl Torlay Docket Number: 2003-011956 Attomeys: For Claimant(s): Stuart Gold - West Orange, NJ For Respondent(s): Matthew Plant - New York, NY Date Filed: 6/16/2003 First Scheduled: 03/18/2005 Decided: ©3/24/2005 Case Summary: Customer claimant alleges breach of contract, fi-aud and breach of fidu