i WYSE Ne^York Stock Exchange In the Matter of Arbitration Between C^Bvilliam B. Savino, Christopher D. Chung and Kevin P. Brunnock vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. DoSet Number: 2003-014887 Attorneys: ForQainiaDt(s): David B. Wechsler - New York, Ni' For Respondent(s): Kevin T. Rover - New York, NY Date Ffled: 12/19/2003 First Scheduled: Dedded: 07/19/2004 12/2/05 Case Summary: Registered Representative Cl

iW" NYSE 'York Stock Exchange In the Matter of Arbitration Between Case: Thelma D. Masterson and Dean R. Masterson v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Gregory DeVoursney Docket Number: 2003-014883 Attomeys: For Gaimant(s): A. Daniel Woska - Oklahoma City, OK For Respondent(s): David E. Bamberger - New York, NY DateFiled: 12/19/2003 First Scheduled: 10/25/2005 Dedded: Case Summary: Customer Claimants allege failure

INYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joyce Kirkpatrick v. Merrill LxTich, Pierce, Fenner & Smith, Inc. and John Gascoyne Docket Number: 2003-014879 Attomeys: For Gaimant(s): Celeste M. Chiaramonte - Kingwood, TX For Respondent(s): Joseph L. Hood, Jr. - El Paso, TX Date Filed: 12/18/2003 First Scheduled: 10/18/2005 Dedded: 12/5/2005 Case Summary: Customer Claimant alleges breach of fiduciary duty, breac

Arbitration Case U2003-014868 Page 1 of 2 A ^ NYSE ^|ew York Stock Exchange In the Matter of Arbitration Between Case: Mark E. Haemig and Janice G. Haemig v. UBS PaineWebber, Inc. and Terry Zickerman Docket 2003-014868 Attorneys: For Claimant(s): Charles C. Hunter - Kingwood, TX For Respondent(s): Barbara K. Polich - Salt Lake City, UT DateFiled: 12/17/2003 First Scheduled: 05/02/2005 Dedded: 12/20/2005 Case Summary: Customer Claimants alleg

NYSE New York Stock Exchange In the Matter of Arbitration Between ^mZase: Robert Pfannenstiel v. Merrill Lynch Pierce Fenner 8c Smith, Mike Nelson, Ed Schrandt Docket:2003-014834 Attomeys: For Claimant(s): Robert PFannenstiel - Littleton, CO For Respondent(s): Bill Powell Guest - Oklahoma City, OK DateFiled: 12/1/2003 First Scheduled: 12/19/2005 Dedded: 1/3/2006 Case Summary: Customer Claimant alleges wrongfiil transfer and mismanagement of account

i NYSE .Mew York Stock Exchange n the Matter of Arbitration Between Z^^ Gary D. Cunningham v. ABN AMRO Securities, LLC Docket: 2003-014582 Attorneys: For Claimant(s): David Marek - New York, NY For Respondent(s): Katherine B flarrison - New York, NY DateFiled: 9/15/2003 First Scheduled: 09/13/2004 Decided: 1/18/2006 'ase Summary: Claimant, a registered representative, alleges Respondent, member firm, failed to grant Claimant "Good eaver

i NYSE New York Stock Exchange I the Matter of Arbitration Between Case: James R. Krustallos v. Merrill Lynch and Robert Arnold Ames Docket Number 2003-014459 Attorneys: For Claimant(s): James Krustallos - Hallandale Beach, FL For Respondent(s): Elena C. Parent - Atlanta, GA DateFiled: 8/26/2003 First Scheduled: 11/02/2005 Dedded: //^/a ^£ase ^^ccot Stunmary: Customer claimant alleges unsuitable investment recommendat

I NYSE New York Stock Exchange In the Matter of Arbitration Between uase: CSSe: Susan Brenner vs. A. lames lacoby. Tradition Asiel Securities, Inc., Asiel & Co., Inc., Asiel & Co., LLC, Tradition (Government Securities), Inc., Tradition (North America), Inc. and Compagnie Financierc Tradition vs. Susan Brenner and Mark Zatz Docket Number: 2003-012080 Attomeys: For Claiinant(s): Louis F. Burke - New York, NY For Respondent(s): Richard G.

i NYSE New York Stock Exchange In the Matier of Arbitration Between Case: Wachovia Securities, LLC v Loop Corp., Nola LLC, David Ncuhauser, Andrew Jahelka, Richard Nichols, Leon Greenblatt 111 Docket Number: 2003-011927 Attomeys: For Gaimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): James W. Naisbitt - Chicago, IL Date Filed: 5/20/2003 First Scheduled: 09/20/2004 Decided: 11/14/C£ Case Summar)': Member firm against c

'NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Robin Roberts & Jeffrey Tahler, as personal Representatives of the Estate of Irwin Tahler, deceased v Garban Corporates f/k/a Garban Corporation, GP Docket 2003-011852 Attomeys: For Gaimant(s): Patrick Dwyer - Princeton, NJ For Respondent(s): Judith Lockhart - New York, NY Date Filed: 5/30/2003 First Scheduled: 10/12/2005 Dedded: January 31, 2006 Case Summary: Registered re