i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. David Faline Docket Number: 2002-010684 Attomeys: For Claimant(s): Patrizia Salvaggio - Ft. Lauderdale, FL For Respondent(s): Mark Blumstein - Hollywood, FL Date Filed: 9/5/2002 First Scheduled: 7/14/2004 Decided: 7/14/2004 Case Summary: Member firm claimant alleges breach of Employment Agreement and non-payment of

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rajiv Dhingra and Ratna Dhingra as Trustees for the Rajiv and Ratna Dhingra MDS, P.A. Money Purchase Pension Plan v Merrill Lynch Pierce Fermer Smith and Merrill Lynch & Company Inc. Docket Number: 2002-010675 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 7/9/2004

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03584 Josh J. Jambon Josh J. Jambon d/b/a Bill's Shady Lawn Josh's Daddy's Money, Inc. Names of the Respondents Hearing Site: New Orleans, LA First Investors Corporation Ann Marie Cheramie REPRESENTATION OF PARTIES For Josh J. Jambon, Josh J. Jambon d/b/a Bill's Shady Lawn, and Josh's Daddy's Money, Inc., hereinafter collectively referred to as "C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between National Planning Corporation Case No. 00-00130 Milwaukee, Wisconsin Name Bradley Jay Goodrich RFPPFSFNTATTOTV OF Claimant National Planning Corporation ("NPC") was represented by Phillip C. Korovesis, Esq., of the firm of Butzel Long, P.C., located in Detroit, Michigan. Respondent Bradley Jay Goodrich ("Goodrich") was represented by William W. Bloch, Esq., of the

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Larry Givan and Joann Givan as Trustees for the Givan Family Trust v Merrill Lynch Pierce Fermer Smith and Merrill Lynch & Company Inc. Docket Number: 2002-010674 Attomeys: For Claimant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 06/30/2004 Decided: 9/28/04 Case Summary: C

i NYSE New York Stock Exchange in the Matter of Arbitration Between Case: David Gilson, As Executor For The Estate Of Florence Gilson v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2002-010663 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 01/09/2003 Decided: cf/^i/^r Case Sununary

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Calbert Hoyt, As Trustee For The Calbert Hoyt And Alona Hoyt Trust v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2002-010662 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 08/19/2004 Decided: 10/19/04 Case Summary: Cl

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Sunasir Sen v Merrill Lynch, Pierce, Fenner & Smith, Inc., and Daniel Jacques Docket Number: 2002-010583 Attomeys: For Claimant(s): Thomas Mullaney - New York, NY For Respondent(s): Thomas Weisenbeck - New York, NY Date Filed: 7/30/2002 First Scheduled: 7/27/2004 Decided: g/^/^^ Case Summary: Public customer claimant alleges research conflict, fraud, ne

•NYSE New York Stock Exchange In the IMatter of Arbitration Between Case: William C. Simmers, individually, and on behalf of the William C. Simmers IRA v. Merrill, Lynch, Pierce, Fenner &. Smith Incorporated and Robert Anthony Lario Docket Number: 2002-010562 Attomeys: For ClaimaDt(s): Glenn S. Gitomer - Radnor, PA For Respondent(s): Thomas L. Weisenbeck - New York, NY Date Filed: 7/30/2002 First Scheduled: 06/24/2003 Decided: 09/23/2004

) •NYSE New York Stock Exchange In the Matter of Arbitration Between Case: John D. Hill and Carolyn J. Hill vs. Merrill Lynch, Janet Wilson, and Ken Anderson Docket Number: 2002-010543 Attomeys: For Claimant(s): Sidney Jackson III - Mobile, AL For Respondent(s): Carl Burkhalter - Montgomery, AL Date Filed: 7/23/2002 First Scheduled: 6/22/2004 Decided: 6/30/2004 Case Summary: Claimants, customers, have alleged that respondents