i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Veronica Jarvis v. Merrill Lynch and Bob Moore Docket Number: 2002-010918 Attomeys: For Claimant(s): Anthony J. Hom - New York, NY Debra G. Speyer - Philadelphia, PA For Respondent(s): John C. Kelly - Newark, NJ Date Filed: 10/25/2002 First Scheduled: 06/15/2004 Decided: /////c^y Case Summary: Public customer alleges negligence, unsuitability, b

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Levy Markovich v. Pmdential Financial and Robert Mattlin Docket Number: 2002-010799 Attomeys: For Claimant(s): Joshua R. Cohen - Cleveland, OH For Respondent(s): Douglas R. Jennings - Columbus, OH Date Filed: 9/18/2002 First Scheduled: 05/05/2004 Decided: 11/11/2004 Case Summary: Claimant alleges that the member firm and registered representative recommende

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harry Graves, as Tmstee for the American Coolair Profit Sharing Tmst v. Merrill Lynch Pierce Fenner Smith Inc. and Merrill Lynch & Company Inc. Docket Number: 2002-010679 Attomeys: For Clainiant(s): Kevin B. Love - Coral Gables, FL For Respondent(s): Bonnie Altro - New York, NY Date Filed: 9/3/2002 First Scheduled: 11/15/04 Decided: ii/i8/04 Case Summar

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Howard D. Altschul v Salomon Smith Bamey, Inc. and Citigroup Global Corporate & Investment Bank Docket Number: 2002-010612 Attomeys: For Claimant(s): James A. Batson - New York, NY For Respondent(s): Robert S. Whitman - New York, NY Date Filed: 8/6/2002 First Scheduled: 01/27/2004 Decided: ii/03/2004 Case Summary: Registered representative against m

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dominick Mancini v. Gmntal & Co., LLC and Michael John McGinley Docket Number: 2002-010520 Attomeys: For C]aimant(s): John E. Lawlor - Mineola, NY For Respondent(s): Matthew B. Tuohy - Hauppauge, NY Date Filed: 7/19/2002 First Scheduled: 06/04/2003 Decided: 11/09/2004 Case Summary: Public customer alleges unsuitable investment recommendations, unauthorized

i NYSE New York Stock Exchange In the Matter of Arbitration Bet>veen Case: Robert Wincowski vs. First Union Securities and Scot Winter Docket Number: 2002-010488 Attorneys: For Claimant(s): Jef&ey L. Liddle - New York, NY For Respondent(s): Christopher J. Barber - Chicago, IL Thomas B. Lewis - Lawrenceville, NJ Date Filed: 7/18/2002 First Scheduled: 05/13/2003 Decided: 11/15/2004 Claim Data: Claim: Punitive: Atty Fees:

A ——. /^vWcir NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03564 Elmo Ted Melancon, Jr. IRA Names of the Respondents Hearing Site: New Orleans, LA Milkie/Ferguson Investments, Inc. Maurice Goldstein REPRESENTATION OF PARTIES For Elmo Ted Melancon, Jr. IRA ("Melancon"), hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., Baton Rouge, LA. For Milkie/Ferguson Investments, Inc. ("MFI") and M

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Marie Jacoby and Bob Jacoby v. Merrill Lynch and James McLaughlin Docket Number: 2002-010333 Attomeys: For Claimant(s): Marie and Robert Jacoby - Philadelphia, PA For Respondent(s): Stuart Rebish - New York, NY DateFiled: 5/21/2002 First Scheduled: 10/19/2004 Decided: / ^ / j ? ^ / ^ / Case Summary: Claimants allege t

• NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Timothy Baldwin Docket Number: 2002-010268 Attomeys: For Clainiant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Michael S. Taaffe - Sarasota, FL Date Filed: 5/17/2002 First Scheduled: 04/08/2003 Decided: /C/Z,< e/< ^f Case Summary: Pmdential Securities alleges that former registered representative Timothy Ba

i mi M^IM New York Stock Exchange In the Matter of Arbitration Between Case: Pmdential Securities Incorporated v. Dylan T. Spadt Docket Number: 2002-010267 Attomeys: For Claimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Dylan Spadt - Bethlehem, PA Date Filed: 5/14/2002 First Scheduled: 10/19/2004 Decided: ///F/^r Case Summary: The statement of claim alleges that the respondent failed to repay the balance due