•NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Kenneth Kessel and Sachiko Kessel, as Trustees for the Kessel Family Trust v. Merrill Lynch Pierce Fermer & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011126 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Frances Chlapowski - New York, NY Date Filed: 11/29/2002 First Scheduled: 1/30/2004 Decided: 2/26/04 Ca

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: James Kapuscinski and Colleen Kapuscinski v. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011125 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Frances Chlapowski - New York, NY Date Filed: 11/29/2002 First Scheduled: 2/3/2004 Decided: 2/27/04 Case Summary: Claimant alleges

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard Jameson and Cheryl L. Jameson, as trustees for the Sherry L. Jameson Trust V. Merrill Lynch Pierce, Fenner & Smith Inc., and Merrill Lynch & Co., Inc., Docket Number: 2002-011124 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Frances Chlapowski - New York, NY Date Filed: 11/29/2002 First Scheduled: 2/25/2004 Decided: 2/2

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Calvin Gross and Marilyn Gross, as trustees for The Calvin and Marilyn Gross Intervivos Trust v. Merrill Lynch Pierce Fenner & Smith Docket Number: 2002-011123 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Frances Chlapowski - New York, NY Date Filed: 11/29/2002 First Scheduled: 2/4/2004 Decided: 2/27/04 Case Summary: C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sands Brothers & Co., Ltd., (Claimant) vs. William Ryan Chisholm, (Respondent) Case Number: 01-03444 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sands Brothers & Co., Ltd., hereinafter referred to as "Claimant": Stanley F. Meyerson, Esq., Sands Brothers & Co., Ltd., New York, NY. Previously represented by: Richard A. Roth, Esq., Litman Krooks & Roth P.

i NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Bernard Gittleman, as trustee for The Dix Hills Medical Association Retirement Employees Plan v Merrill Lynch Pierce Fenner and Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011122 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 11/29/2002 First Scheduled: Decided: 4/15/

i NYSE New York Stock Exchange In the .\1atter of Arbitration Between Case: Jon Carthay v. Merrill Lynch &. Co., Inc. and Merrill Lynch Pierce Fenner & Smith, Inc. Docket Number: 2002-011121 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 11/29/2002 First Scheduled: Decided: .- ?. < y • ( . Case Summary: Customer claimant alleges breach of

I NYSE New York Stock Exchange In tbe Matter of Arbitration Between Case: Donald Jobe v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011120 Attomeys: For Clainiant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 11/29/2002 First Scheduled: 4/20/2004 Decided: 5/6/04 Case Summary: Customer claimant alleges breach of contract, failure

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Avis Klase v Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. Docket Number: 2002-011119 Attomeys: For Claimant(s): Kevin Love - Coral Gables, FL For Respondent(s): Randi Pincus - New York, NY Date Filed: 11/29/2002 First Scheduled :^^^ A'V^ Decided: '^^/i>4- Case Summary: Customer claimant alleges breach of contract, failure

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Prudential Securities Incorporated v. Juan Nairn Docket Number: 2002-011114 Attomeys: For Claimant(s): Marc Dobin - Jupiter, FL For Respondent(s): Arthur Koski - Boca Raton, FL Date Filed: 12/3/2002 First Scheduled: 9/9/2003 Decided: 1/29/04 Case Summary: Member firm claimant alleges breach of employment agreement and non-payment of promissory note.