i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: William Holman v. Merrill Lynch, Pierce, Feimer & Smith Inc., and Merrill Lynch & Co., Inc. Docket Number: 2002-009869 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(B): Bonnie Altro - New York, NY Date Filed: 1/25/2002 First Scheduled: n j l ^ l O ^ Decided: ^ ^ 2 - - ? ^ ^

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Jerry Boyle and Barbara Boyle v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc. • Docket Number: 2002-009859 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 1/25/2002 First Scheduled: 7/13/2004 Decided: 7/13/2004 Case Suimnary: Claimant alleges that Merri

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Rigby Leighton and Jeri Leighton v. Merrill Lynch, Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc., Docket Number: 2002-009857 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 1/25/2002 First Sclieduled: 9/17/2002 Decided: 9/r/^r Case Summary: Claimant alleges that Merrill

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Beverly Saffa Stapleton v. Merrill Lynch Pierce Fenner & Smith, Inc. and Diane H. Denham Attorneys: For Clalmant(s): Daniel Woska Esq. - Oklahoma City, OK For Respondent(s): Rodney J. Heggy Esq. - Oklahoma City, OK Date Filed: 01/04/2002 First Scheduled: 11/05/2002 Decided: C^ j "}- '•-'? Jc S Case Summary: Claimant alleged that Respondents failed to follow her instructions

• NYSE ew York Stock Exchange in the Matter of Arbitration Between Case: Stephen R. Finfrock v Merrill Lynch & Leonard P. Tallerico Docket Number: 2001-009476 Attomeys: For Claiiiiant(s): James V. Weixel, Jr. - Corte Madera, CA For Respondent(s): Eric J. Glassman - Sacramento, CA Date Filed: 10/23/2001 First Scheduled: 02/03/2004 Decided: 10/18/2004 Case Summary: Claimant, customer, has alleged that respondents engaged in unsuitable

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John T^rtaglia and Janice Tartaglia, (Claimants) vs. Glenn Michael Financial, Inc., Salvatore G. Viola, Glenn M. Lanaia, and Francine A. Lanaia, (Respondents) Case Number: 01-03569 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John Tartaglia and Janice Tartaglia, hereinafter collectively referred to as "Claimants": Steven B. Caruso, Esq., Maddox Koeller Harge

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Lillian and Virginia Pope Case No. 98-02969 Names of Respondents Kennedi Leroy Mount Richard Paul Granieri Schneider Securities, Inc. REPRESENTATION OF PARTIES For Claimants Lillian and Virginia Pope, hereinafter referred to as "Claimants": Michael J. Rovell, Esq., Chicago, Illinois. Respondents Kenneth Leroy Moimt ("Mount") and Richard Paul Grani

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS James Patton Juanita Patton 94-05434 ^HP^y yf ]f^^ -t, undent Smith Bamey Shearson Inc. Christf^her L. Foley REPRESENTATION Claimants James Patton and Juanita Patton ("Claimants") appeared pro se. For Respondent Smith Bamey Shearson Inc. ("Smith Bamey") and Christopher L. Foley ("Foley") appeared Ann Parry, Vice Piesident aiui Associate General Counsel of Smith Bamey Inc. CASE

i 'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: CIBC World Markets Corp. v. Jeffrey Brian Davidson Docket Number: 2002-010847 Attomeys: For Claimant(s): Joseph J. Sullivan, III - New York, NY For Respondent(s): Jef&ey B. Davidson - Atlanta, GA DateFiled: 10/9/2002 First Scheduled: 06/25/2003 Decided: 10/28/2004 Case Summary: Claimant, a member firm, alleges breach of contract against Respondent, a f

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Lehman Brothers, Inc. v. Daniel Levin Docket Number: 2002-010823 Attomeys: For Claimant(s): Victor Machinski - New York, NY For Respondent(s): Thomas J. Momjian - Bala Cynwyd, PA Date Filed: 9/2/2002 First Scheduled: 11/08/2004 Decided: 11/12/2004 Case Summary: Member firm alleges that registered representative failed to repay the balance on a p