NYSE '*''>w York Stock Exchange /ihe Matter of Arbitration Between Case: Helen P. Buty vs. A.G. Edwards & Sons. Jnc. Docket Number: 2002-010875 Attorneys: ForClaimant(s): Jason J. Curliano - Oakland, CA ForRcspondent(s): Amy M. Kott - San Francisco,, CA Date Filed: 10/15/2002 First Scheduled: 07/21 /2004 Decided: 09/09/2004 Case Summary: Claimant, a customer, has alleged that respondent churned the account and misrepresented financial re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-03592 Robert W. Baird & Co., Inc. Name of the Respondent Hearing Site: Tampa, Florida Michael D. Keller REPRESENTATION OF PARTIES For Robert W. Baird & Co., Inc. ("Baird"), hereinafter referred to as "Claimant": Brian D. Trexell, Associate General Counsel, Baird, Milwaukee, Wisconsin. For Michael D. Keller ("Keller"), hereinafter ref

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. William P. Bollander Docket Number: 2002-010869 Attorneys: For Claimant(s): Patrizia Salvaggio - Ft. Lauderdale, FL For Respondent(s): Ronald Lantz - West Palm Beach, FL DateFiled: 10/8/2002 First Scheduled: 7/13/2004 Decided: 7/13/2004 Case Summary: Member firm claimant alleges breach of Employment Agreement and no

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Vivian Antin v. Salomon Smith Bamey, Inc. and Allen Mauer Docket Number: 2002-010853 Attomeys: For Claimant(s): Edward Glenn - New York, NY For Respondent(s): Deimise Mulvihill - Morristown, NJ Date Filed: 10/10/2002 Rrst Scheduled: 7/15/2003 Decided: 7/7/04 Caise Summaiy: Customer v. Member Firm and Registered Rqn'esentaive alleges unsuitable investmen

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: CEBC World Markets Corp., v. James C. Bruce Docket Number: 2002-010846 Attorneys: For Claimant(s): Joseph Sullivan, III - New York, NY For Respondent(s): James Bruce - The Colony, TX Date Filed: 10/9/2002 First Scheduled: 7/14/2004 Decided: August 3, 2004 Case Summary: Member firm alleges registered representative breached the contract with respect to a

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Carlos Morea v. Bear Steams & Co., Inc. Docket Number: 2002-010817 Attomeys: For Claimant(s): Paul D. Feinstein New York, NY For Respondent(s): Izabel P. McDonald - New York, NY Kevin LeBlang - New York, NY Date Filed: 10/3/2002 First Scheduled; 10/07/2003 Decided: 09/27/2004 Case Summary: Claimant, a registered representative, alleges unlawful

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Wajne Campbell, William Smith and Philip Benton, as Tmstees of the Campbell, Smith & Benton, M.D., P.A., Employee Profit Shaing Plan v Merrill Lynch Pierce Feimer Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-010706 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed; 9/3/2002 Firs

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Christine M. Cargo, as successor Trustee for the David Cargo and Carolyn Cargo Trust, v Merrill Lynch Pierce Fenner Smith & Company and Merrill Lynch & Company Docket Number: 2002-010704 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 6/15/2004 Decided: ./^g/Q^ Ca

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Clarice Davis, as Trustee for the Clarice Davis Trust v Merrill Lynch Pierce Fenner & Smith Inc. and Merrill Lynch & Company Docket Number: 2002-010701 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 6/14/2004 Decided: '/// Case Summary: Customer claimant a

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gerda Hunt, as Executor for the Estate of Eugene Hunt, v Merrill Lynch Pierce Fermer Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-010692 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 6/15/2004 Decided: 6/29/04 Case Summary: Customer claimant al