____________________________________________________________________________________ National Association of Securities Dealers 9509 Key West Avenue Rockville, MD 20850 (800) 289-9999 October 17, 2005 NASD BROKERCHECK RESPONSE TO REQUEST FOR INFORMATION The Board of Governors of the National Association of Securities Dealers, Inc. (NASD) has adopted a public disclosure policy which permits certain types of disciplinary information on NASD member firms and their associated persons to be available to the general public. Section 15A(i) of the Securities Exchange Act of 1934, as amended, requires registered securities associations to respond to inquiries regarding disciplinary actions involving its members and their associated persons. NASD believes that the general public should have access to information which will help them in their determination whether to conduct or continue to conduct business with an NASD member or any of the member's associated persons. In that regard, enclosed please find the information that you have requested. A list of the terms and conditions of NASD BrokerCheck is as follows: NASD BrokerCheck Terms and Conditions 1. NASD collects, compiles, organizes, indexes, digitally converts and maintains regulatory information from registered persons, member firms, government agencies and other sources and maintains information in the proprietary Central Registration Depository ("CRD(r)") database and system. NASD releases such information through NASD BrokerCheck, which provides information from CRD system to the investing public. Your access to NASD BrokerCheck information provided through NASD's CRD database and system does not transfer any rights in CRD, NASD BrokerCheck or related technologies to you. 2. Your use of NASD BrokerCheck information is conditioned upon your acceptance, without modification, of all terms and conditions of this Agreement. Any information accessed, requested or provided through NASD BrokerCheck must be accessed, requested and used in accordance with the terms and conditions specified in this Agreement. NASD reserves any rights not expressly granted under these terms and conditions. Additionally, NASD reserves the right, at its sole discretion, to modify the terms and conditions for use of NASD BrokerCheck information at any time by changing this Agreement, and any changes are effective immediately. Such changes will be posted on the NASD BrokerCheck web site. 3. CRD and NASD BrokerCheck are proprietary databases and employ proprietary software, but NASD makes no exclusive proprietary claim to the information in the NASD BrokerCheck system that is not created by NASD. You are neither restricted nor prohibited by NASD from obtaining a copy of any original filing or information from a non-NASD source. 4. The information provided through NASD BrokerCheck shall be used ONLY for your own personal or professional use, and in accordance with all other terms and conditions of this Agreement: a. to assist you, your clients or your organization in determining whether to conduct or continue to conduct securities or commodities business with NASD member firms or their associated persons; b. to assist you, your clients or your organization in judicial proceedings or arbitration proceedings relating to securities or commodities transactions; or c. for non-commercial purposes consistent with the promotion of just and equitable principles of trade and the protection of investors and the public interest. 5. The information provided to you through NASD BrokerCheck is provided to you ONLY for your own personal or professional use. All other uses are prohibited. You agree that you will not duplicate, download, publish, publicly display, modify or otherwise distribute the information retrieved from NASD BrokerCheck for any purpose other than as expressly permitted by this Agreement. In no event may you offer to others any information retrieved from NASD BrokerCheck for commercial purposes, or as part of a subscription service or similar arrangement. You agree that you will not use the information retrieved from NASD BrokerCheck to develop or create a database of information to be sold, licensed or made otherwise commercially available. You agree that you will not use any process to monitor or copy NASD BrokerCheck information in bulk, or to make voluminous, excessive or repetitive requests for information. You further agree that you will not use any device, software or routine to bypass any software or hardware that prohibits volume requests for information, you will not interfere with or attempt to interfere with the proper working of NASD BrokerCheck, and you will not take any action that imposes an unreasonable or disproportionately large load on NASD BrokerCheck or NASD. 6. All requests for permission to access or use NASD BrokerCheck for uses other than those described in Paragraphs 4 or 5 of this Agreement must be made in writing to NASD clearly stating the purpose and manner in which NASD BrokerCheck is proposed to be used. Requests may be submitted to NASD, NASD BrokerCheck, 9509 Key West Avenue, Rockville, Maryland, 20850. NASD, in its sole discretion, may approve or reject any request that is inconsistent with the terms and conditions of use of NASD BrokerCheck. 7. Provision of information by NASD pursuant to NASD BrokerCheck does not constitute a waiver of any of NASD's rights, privileges, or immunities with respect to the furnishing of disciplinary or registration information. 8. NASD does not charge for this service, which is offered pursuant to NASD's responsibilities as a self-regulatory organization, and, in particular, pursuant to Section 15A(i) of the Securities Exchange Act of 1934. In the provision of this service, NASD makes no warranties of any kind, and disclaims liability to any person for any actions taken or omitted in good faith with respect to this NASD BrokerCheck. NASD is not responsible for and cannot verify information from sources other than NASD, and does not warrant or guarantee the accuracy or completeness of the information requested. Neither NASD nor any affiliate or supplier shall be liable for any cause of action in contract, tort, or otherwise, for more than the incremental telecommunications cost incurred to connect to the service. Notwithstanding the above, neither NASD nor any affiliate or supplier shall be liable for any loss of income, trading loss, or consequential, incidental, or indirect damages, regardless of whether NASD has been informed of the possibility of such damages. 9. Member firms, registered persons, government agencies, and other sources file disclosure information with NASD. Consistent with its responsibilities as a self-regulatory organization, NASD performs a regulatory review of the disclosure information filed before it makes the information available through NASD BrokerCheck. Most disclosure information is available through NASD BrokerCheck within two business days of being filed. In certain limited circumstances, disclosure information may not be available through NASD BrokerCheck within the usual timeframe, but will be made available as soon as practicable. 10. Consistent with policies and procedures approved by the Securities and Exchange Commission (SEC), NASD will disclose information on individuals and brokerage firms, through NASD BrokerCheck, for two years after the termination of the individual's or brokerage firm's NASD registration. Disclosure information reported to NASD after an individual or brokerage firm has terminated may not have been reviewed by the brokerage firm or individual; in addition, brokerage firms and individuals who are no longer registered are not required to independently report such information. 11. NASD BrokerCheck includes only information provided to CRD. In substantially all cases, the information provided through NASD BrokerCheck represents the verbatim record as it was reported to NASD. However, in certain limited circumstances, NASD combined information about a single event that was reported by different sources (e.g., a record reporting information on an event that was submitted by a brokerage firm may contain information reported on the same event that was submitted by a regulator). This condition occurred when the data in the Legacy CRD system was converted (i.e., reformatted and transferred) to Web CRD, the Internet-based Central Registration Depository. This condition affects a small percentage of records reported to NASD prior to August 1999. These converted records contain information that was reported to NASD in accordance with appropriate reporting protocols applicable to the source filers (e.g., brokerage firms and regulators); however, because of the combination of information from different reporting sources, a record disclosed through NASD BrokerCheck may not reflect the actual filing submitted to NASD. 12. The "Individual Broker comments," "Brokerage Firm comments" and "Regulator comments" appear verbatim as they were provided to CRD via Forms U-4, U-5, and U-6. These comments were not written by NASD and have not been edited by NASD in any way. NASD reserves the right to redact customer names, confidential customer information, or offensive or potentially defamatory language from an NASD BrokerCheck Report consistent with policies and procedures approved by the SEC. TC 02.1 General Information About this Report This report has been generated because you have requested information about an NASD Member Firm through NASD BrokerCheck. The information contained within this report has been provided by NASD brokerage firm and securities regulators as part of the securities industry's registration and licensing process. An NASD BrokerCheck report for a Brokerage Firm consists of: 1) a Report Summary; 2) General Administrative Information, which includes the Types of Business the Brokerage Firm is engaged in, the Brokerage Firm's Legal Status, and the Brokerage Firm's Approved Registrations. The report also includes the Brokerage Firm's Disclosure Event information, if any. NASD BrokerCheck discloses the following information on brokerage firms: * the brokerage firm's name, CRD number, SEC identification number, "applicant name" or legal name, NASD district office which oversees the brokerage firm, and the brokerage firm's main and mailing addresses * the types of business in which the brokerage firm is currently engaged * details of the brokerage firm's legal status (i.e, corporation, partnership, etc.), state or country and date of formation, and its fiscal year end * all approved registrations * disclosure matters involving certain criminal charges and convictions, regulatory actions, civil judicial actions, and certain financial actions (e.g., bankruptcies, unsatisfied judgment/liens.) When evaluating this report, please keep in mind that a number of items may involve pending actions or allegations that may be contested and have not been resolved or proven. The items may, in the end, be withdrawn or dismissed, or resolved in favor of the brokerage firm, or concluded through a negotiated settlement with no admission or conclusion of wrongdoing. Also remember that the information in this report is not the only resource you should consult. It is recommended that you learn as much as possible about the brokerage firm from other sources. Ask for references. Ask family members or friends who already have established investment business relationships. Get in touch with local consumer and investors groups. Should you have any questions concerning information contained within this report, call (800) 289-9999 - a toll-free NASD BrokerCheck hot-line operated by NASD - or visit NASD Web Site at www.nasd.com. When calling or visiting the NASD Web Site, the information you will need includes the brokerage firm's name or CRD number. For definition of terms contained within this report or answers to Frequently Asked Questions, visit the Glossary or FAQs sections of NASD BrokerCheck at www.nasd.com. NASD BrokerCheck Report Printing Instructions The report contained below can be printed as is. However, unless the following steps are taken, the report may not print with the headers aligned or the text may run off the page. For the following report to be printed correctly, the following formatting steps must be completed: 1) Copy the text of the report into a text editor. 2) Delete these instructions down to and including the first dashed line. 3) Set the Font for the entire report to Courier, 8 point. 4) Set the left and right margins to 0. 5) Set the top and bottom margins to 0. Because every printer allows a different number of lines per page, the margins may have to be adjusted differently to get the headers to line up at the top of each page. The document is formatted to print 90 lines per page at the specified font. 6) Print the report. -------------------------------------------------------------------------------- NASD BrokerCheck October 17, 2005 Page 1 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 ******************************************************************************** REPORT SUMMARY ******************************************************************************** ************************************************************ Administrative Information: ************************************************************ Admin Information: Information that is required to be reported to NASD by brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). The administrative information contained in this report includes: (a) types of business the brokerage firm is engaged in; (b) legal status (e.g., corporation, partnership, sole proprietorship, limited liability company, etc.), state/country of formation unless legal status is sole proprietorship, date of formation, and month in which the brokerage firm's fiscal year ends; and (c) all approved registrations with the SEC, NASD and state securities commissions. Types of Business: 18 Legal Status: 1 Registrations: 64 ************************************************************ Disclosure Events: Yes ************************************************************ Disclosure Event: Information that is required to be reported to NASD by individual brokers via Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and brokerage firms via Form BD (Uniform Application for Broker-Dealer Registration). Some disclosure events may have multiple reporting sources. For example, some information required to be reported by an individual broker via Form U-4 may also be reported on the individual broker's record by a brokerage firm via Form U-5 (Uniform Termination Notice for Securities Industry Registration) and/or by a regulator via Form U-6 (Uniform Disciplinary Action Reporting Form). If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the individual broker's NASD BrokerCheck report. Similarly, some information required to be reported by a brokerage firm via Form BD may also be reported on the brokerage firm's record via Form U-6. If a disclosure event is reported by multiple sources, all versions of the reported event will be disclosed on the brokerage firm's NASD BrokerCheck report. Criminal Actions: 0 Regulatory Actions: 229 Civil Judicial Actions: 3 Arbitrations: 1602 Bonds: 0 Bankruptcies: 0 Judgment/Liens: 0 NASD BrokerCheck October 17, 2005 Page 2 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 ******************************************************************************** ADDRESS/GENERAL INFORMATION ******************************************************************************** This section provides the brokerage firm's name, CRD number, SEC number, Applicant Name on Form BD, NASD District where the brokerage firm is located, and the brokerage firm's main and mailing addresses. Applicant Name on Form BD: MERRILL LYNCH PIERCE FENNER & SMITH SEC Number: 8-007221 Business Phone Number: 904-218-7922 Main Office Address Located in NASD District: 10-New York 4 WORLD FINANCIAL CENTER NEW YORK, NY 10281 Mailing Address GLOBAL REGISTRATION & INSURANCE LICENSING 4804 DEER LAKE DRIVE EAST, 4TH FLOOR JACKSONVILLE, FL 32246 ******************************************************************************** TYPES OF BUSINESS ******************************************************************************** This section lists the type(s) of business that the brokerage firm is currently engaged in as reported on the Form BD. Broker or dealer selling corporate debt securities Broker or dealer retailing corporate equity securities over-the-counter Exchange member engaged in exchange commission business other than floor activities Exchange member engaged in floor activities Government securities dealer Investment advisory services Broker or dealer making inter-dealer markets in corporate securities over-the-counter Mutual fund retailer Broker or dealer selling interests in mortgages or other receivables Municipal securities dealer Broker or dealer selling securities of non-profit organizations (e.g., churches, hospitals) Put and call broker or dealer or option writer Private placements of securities Trading securities for own account Underwriter or selling group participant (corporate securities other than mutual funds) Broker or dealer selling variable life insurance or annuities ADVISES ON MERGERS AND ACQUISITIONS/OTHER CORPORATE FINANCES. Effects transactions in commodity futures, commodities, commodity options as broker for others or dealer for own account ******************************************************************************** LEGAL STATUS ******************************************************************************** This section details the brokerage firm's legal status (i.e, corporation, limited partnership, etc.), state or country where formed, date of formation, and the month the brokerage firm's fiscal year ends. Legal Status: CORPORATION State/Country of Formation: DE, UNITED STATES Date of Formation: 11/10/1958 Fiscal Year End: DEC ******************************************************************************** REGISTRATIONS ******************************************************************************** This section provides the jurisdictions in which the brokerage firm is registered or licensed to do business, the category of each registration, and the date on which the registration was granted. Jurisdiction/SRO Category Status As Of Date AK Broker Dealer Approved 03/24/1960 AL Broker Dealer Approved 10/24/1981 AMEX Broker Dealer Approved 02/25/1988 AR Broker Dealer Approved 08/12/1941 AZ Broker Dealer Approved 06/16/1962 BSE Broker Dealer Approved 07/31/1981 CA Broker Dealer Approved 02/22/1984 CBOE Broker Dealer Approved 06/17/1981 NASD BrokerCheck October 17, 2005 Page 3 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGISTRATIONS(cont.) Jurisdiction/SRO Category Status As Of Date CHX Broker Dealer Approved 01/12/1959 CO Broker Dealer Approved 02/01/1983 CT Broker Dealer Approved 03/11/1940 DC Broker Dealer Approved 02/26/1965 DE Broker Dealer Approved 10/06/1981 FL Broker Dealer Approved 04/27/1983 GA Broker Dealer Approved 09/21/1981 HI Broker Dealer Approved 01/12/1959 IA Broker Dealer Approved 07/14/1983 ID Broker Dealer Approved 01/01/1967 IL Broker Dealer Approved 01/12/1959 IN Broker Dealer Approved 10/20/1981 ISE Broker Dealer Approved 05/01/2000 KS Broker Dealer Approved 01/17/1974 KY Broker Dealer Approved 07/16/1982 LA Broker Dealer Approved 04/20/1983 MA Broker Dealer Approved 07/31/1981 MD Broker Dealer Approved 10/03/1981 ME Broker Dealer Approved 02/13/1984 MI Broker Dealer Approved 02/02/1983 MN Broker Dealer Approved 07/15/1982 MO Broker Dealer Approved 07/18/1983 MS Broker Dealer Approved 10/14/1981 MT Broker Dealer Approved 04/20/1983 NASD Broker Dealer Approved 01/26/1937 NC Broker Dealer Approved 07/15/1982 ND Broker Dealer Approved 10/21/1981 NE Broker Dealer Approved 10/08/1981 NH Broker Dealer Approved 02/02/1983 NJ Broker Dealer Approved 07/13/1983 NM Broker Dealer Approved 10/07/1981 NSX Broker Dealer Approved 02/24/1993 NV Broker Dealer Approved 07/18/1983 NY Broker Dealer Approved 01/02/1985 NYSE Broker Dealer Approved 11/17/1982 NqLX Broker Dealer Approved 11/08/2002 OH Broker Dealer Approved 07/16/1982 OK Broker Dealer Approved 07/17/1982 OR Broker Dealer Approved 10/24/1981 PA Broker Dealer Approved 01/12/1959 PCX Broker Dealer Approved 10/27/1958 PHLX Broker Dealer Approved 03/12/1959 PR Broker Dealer Approved 09/01/1984 RI Broker Dealer Approved 02/01/1983 SC Broker Dealer Approved 10/28/1981 SD Broker Dealer Approved 07/15/1982 SEC Broker Dealer Approved 03/12/1959 TN Broker Dealer Approved 08/17/1981 TX Broker Dealer Approved 06/28/1983 UT Broker Dealer Approved 04/21/1983 VA Broker Dealer Approved 09/22/1981 VT Broker Dealer Approved 02/13/1984 WA Broker Dealer Approved 04/20/1983 WI Broker Dealer Approved 05/27/1920 WV Broker Dealer Approved 09/30/1981 WY Broker Dealer Approved 07/18/1983 NASD BrokerCheck October 17, 2005 Page 4 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 ******************************************************************************** REGULATORY ACTIONS ******************************************************************************** DISCLOSURE INFORMATION This section lists regulatory actions that were reported to CRD and are disclosable through NASD BrokerCheck. Disclosable regulatory actions include formal proceedings initiated by a regulatory authority (i.e., a state securities agency, NASD, New York Stock Exchange, foreign regulatory body, etc.) for a violation of investment-related rules or regulations. In addition, revocations or suspensions of an individual broker's authority to act as an attorney, accountant or federal contractor will appear here. Some of the fields in this section of the report may be blank if the information was not provided to CRD. ** OCCURRENCE COUNTS ** 229 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Reporting Source: The form through which details of the regulatory action was reported to CRD. * Date Reported: The date the regulatory action was reported to CRD. * Initiated By: The name of the securities regulator that initiated the regulatory action (e.g., regulator, foreign financial regulatory authority, self-regulatory organization, federal agency such as SEC, state, etc.). * Date Initiated: Date the regulatory action was initiated. * Docket/Case Number: Docket or case number of the regulatory action. * Employing Brokerage Firm: Brokerage Firm where individual broker was employed when activity occurred that led to the regulatory action. * Allegations: Allegations made against the individual broker leading to the regulatory action. * Current Status: The current status of the regulatory action (i.e., pending, on appeal or final). * Resolution: The resolution of the regulatory action (e.g., acceptance, waiver and consent; decision; decision and order of offer of settlement; order; settled; etc.). * Resolution Date: The date the regulatory action was resolved. * Sanction Details: Additional details regarding any sanctions ordered. * Summary: A summary of the details related to the regulatory action. ******************************************************************************** ******* REGULATORY ACTION (1 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 10/11/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 09/28/2005 Docket/ Case Number: Allegations: **9/28/05**STIPULATION AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING CONSENTED TO FINDINGS: 1.VIOLATED EXCHANGE RULE 410A BY FAILING TO SUBMIT ACCURATE TRADING INFORMATION THROUGH THE SUBMISSION OF ELECTRONIC BLUE SHEETS IN RESPONSE TO ONE OR MORE REQUESTS FOR SUCH INFORMATION BY THE EXCHANGE;2.VIOLATED EXCHANGE RULE 401 BY FAILING TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICE IN THE CONDUCT OF THEIR BUSINESS AFFAIRS IN THAT IT SUBMITTED INACCURATE TRADING INFORMATION ON ELECTRONIC BLUE SHEETS IN RESPONSE TO ONE OR MORE REQUESTS FOR SUCH INFORMATION BY THE EXCHANGE; AND 3.VIOLATED EXCHANGE RULES 342 BY FAILING TO NASD BrokerCheck October 17, 2005 Page 5 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ESTABLISH AND MAINTAIN APPROPRIATE SYSTEMS AND PROCEDURES FOR THE SUPERVISION AND CONTROL OF AREAS RESPONSIBLE FOR COMPLYING WITH ELECTRONIC BLUE SHEET REPORTING REQUIREMENTS, AND FAILED TO ESTABLISH A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW TO REASONABLY ENSURE COMPLIANCE WITH EXCHANGE RULES RELATING TO THE PREPARATION AND SUBMISSION OF ELECTRONIC BLUE SHEETS. STIPULATED SANCTION: THE IMPOSITION BY THE EXCHANGE OF A CENSURE, A $500,000 FINE AND A REQUIREMENT THAT RESPONDENT WILL CONDUCT A VALIDATION OF ALL REQUIRED BLUE SHEET DATA ELEMENTS IN ACCORDANCE WITH ISG REGULATORY MEMORANDUM, ISG 2005-01. Current Status: Pending Summary: CPNTACT:EVELYN KRIEGEL 212-56-6444 ******* REGULATORY ACTION (2 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 08/08/2005 Initiated By: NASD Date initiated: 07/29/2005 Docket/ Case Number: EAF0300610002 Allegations: NASD CONDUCT RULES 3010, 2210(D)(1)(A), 2210(D)(1)(B) - MERRILL LYNCH, PIERCE, FENNER & SMITH INC. FAILED TO COMPLY WITH THE REQUIREMENT OF CONDUCT RULE 2210(D)(1)(A) THAT ADVERTISING MATERIALS CONTAIN A FAIR AND BALANCED PRESENTATION OF THE RISKS AS WELL AS THE BENEFITS OF THE PARTICULAR SERVICES OFFERED AND PROVIDE A SOUND BASIS FOR EVALUATING THE FACTS IN REGARD TO ANY PARTICULAR SERVICE, AND FAILED TO COMPLY WITH CONDUCT RULE 2210(D)(1)(B), WHICH PROHIBITS MISLEADING OR EXAGGERATED STATEMENTS OR CLAIMS. THE FIRM HAD NO SUPERVISORY PROCEDURES IN PLACE RELATING TO THE ACTIVITIES OF THE FIR'S REGISTERED REPRESENTATIVES IN CONNECTION WITH A MORTGAGE PROGRAM (THE" PROGRAM"). THE FIRM FAILED TO ESTABLISH ANY GUIDELINES OR PROCEDURES FOR MONITORING OR OVERSEEING THE ACTIVITIES OF THE FIRM'S REGISTERED REPRESENTATIVES IN CONNECTION WITH THE RECOMMENDATIONS THE CUSTOMERS PARTICIPATE IN THE PROGRAM. IN ADDITION, THE FIRM DID NOT UTILIZE ANY PROCEDURES, EXCEPTION REPORTS OR OTHER DOCUMENTS THAT MIGHT ASSIST MANAGERS, COMPLIANCE PERSONNEL OR OTHER STAFF IN REVIEWING ACCOUNTS THAT UTILIZED THE PROGRAM. AS A RESULT, THE FIRM FAILED TO ESTABLISH AND MAINTAIN PROCEDURES, INCLUDING WRITTEN SUPERVISORY PROCEDURES, OR A SUPERVISORY SYSTEM, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE IN CONNECTION WITH THE FIRM'S ACTIVITIES RELATING TO THE PROGRAM. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/29/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE THE FIRM IS CENSURED AND FINED $50,000. IN ADDITION, WITHIN 90 DAYS AFTER ISSUANCE OF THE AWC, AN OFFICER OF THE FIRM SHALL CERTIFY TO NASD THAT IT HAS REVIEWED PROCEDURES REGARDING THE PROGRAM AND THAT THE FIRM HAS ESTABLISHED SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE LAWS, REGULATIONS AND RULES RELATING TO THAT PROGRAM. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/24/2005 Initiated By: NASD NASD BrokerCheck October 17, 2005 Page 6 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 07/29/2005 Docket/ Case Number: EAF0300610002 Allegations: IT IS ALLEGED THAT MERRILL LYNCH, PIERCE, FENNER & SMITH FAILED TO PROVIDE ADVERTISING MATERIALS CONTAINING A FAIR AND BALANCED PRESENTATION OF THE RISKS AS WELL AS THE BENEFITS OF A MORTGAGE PROGRAM AND PROVIDE A SOUND BASIS FOR EVALUATING THE FACTS IN REGARD TO A MORTGAGE PROGRAM; AND THAT THEY HAD NO SUPERVISORY PROCEDURES IN PLACE RELATING TO THE ACTIVITIES OF THE FIRM'S REGISTERED REPRESENTATIVES IN CONNECTION WITH A MORTGAGE PROGRAM ("THE PROGRAM"). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/29/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $50,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $50,000. IN ADDITION, WITHIN 90 DAYS AFTER ISSUANCE OF THE AWC, AN OFFICER OF THE FIRM SHALL CERTIFY TO THE NASD THAT IT HAS REVIEWED PROCEDURES REGARDING THE PROGRAM AND THAT THE FIRM HAS ESTABLISHED SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE LAWS, REGULATIONS AND RULES RELATING TO THAT PROGRAM. Summary: FINE OF 50,000.00 TO BE PAID IMMEDIATELY AND WITHIN 90 DAYS THE FIRM WILL COMPLY WITH THE APPLICABLE LAWS, REGULATIONS AND RULES RELATING TO THE PROGRAM. ******* REGULATORY ACTION (3 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 09/30/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 07/08/2005 Docket/ Case Number: HPD#: 05-087 Allegations: **7/8/05**STIPULATION OF FACTS AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING.CONSENTED TO FINDINGS THAT IT:1.VIOLATED EXCHANGE RULES 401 AND 476(A)(6) IN THAT IT FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICE AND ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY FAILING TO DELIVER PROSPECTUSES IN CONNECTION WITH CERTAIN SALES OF REGISTERED SECURITIES IN VIOLATION OF SECTION 5(B)(2) OF THE SECURITIES ACT.2.VIOLATED EXCHANGE RULE 1100(B) IN THAT IT FAILED TO DELIVER PRODUCT DESCRIPTIONS IN CONNECTION WITH CERTAIN SALES OF EXCHANGE TRADED FUNDS.3.VIOLATED EXCHANGE RULE 345 IN THAT THE FIRM:A.PERMITTED CERTAIN EMPLOYEES WHO WERE NOT PROPERLY REGISTERED WITH THE EXCHANGE TO PERFORM REGULARLY DUTIES WHICH REQUIRED SUCH REGISTRATION; B.FAILED TO FILE AND/OR FILE PROMPTLY CERTAIN FORMS U-4 WITH THE EXCHANGE; AND C.FAILED TO UPDATE CERTAIN CHANGES OF ADDRESS ON FORMS U-4.4.ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT THE FIRM FAILED TO FULLY COMPLY WITH AN UNDERTAKING IN CONNECTION WITH AN EARLIER EXCHANGE HEARING PANEL DECISION. 5.VIOLATED EXCHANGE RULE 440, SECTION 17(A) OF THE SEA AND RULE 17A-4 THEREUNDER IN THAT THE FIRM FAILED TO PRESERVE CERTAIN ELECTRONIC MAIL.6.VIOLATED EXCHANGE RULE 401 IN THAT IT FAILED TO TIMELY REGISTER AS A USER OF THE EFP/PI AS SET FORTH IN INFORMATION MEMORANDUM 03-55 AND TO RESPOND TO NUMEROUS EFP/PI REQUESTS.7.VIOLATED EXCHANGE RULE 351(A) IN THAT THE FIRM FAILED TO REPORT AND/OR PROMPTLY REPORT CERTAIN REPORTABLE MATTERS TO THE EXCHANGE.8.VIOLATED EXCHANGE RULE 351(D) IN THAT THE FIRM FAILED TO REPORT, FAILED TO TIMELY REPORT AND/OR FAILED TO ACCURATELY REPORT TO THE EXCHANGE, STATISTICAL INFORMATION REGARDING CUSTOMER COMPLAINTS.9.VIOLATED EXCHANGE RULE 345A BY ALLOWING CERTAIN NASD BrokerCheck October 17, 2005 Page 7 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) INDIVIDUALS TO PERFORM DUTIES AS REGISTERED PERSONS AFTER FAILING TO COMPLY WITH CONTINUING EDUCATION REQUIREMENTS.**CONTINUED AT 13C** Current Status: Final Resolution: Decision Resolution Date: 09/01/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000,000.00 Resolution Details: **7/27/05**HEARING PANEL DECISION ISSUED (HPD 05-87) 1.VIOLATED EXCHANGE RULES 401 AND 476(A)(6) IN THAT IT FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICE AND ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY FAILING TO DELIVER PROSPECTUSES IN CONNECTION WITH CERTAIN SALES OF REGISTERED SECURITIES IN VIOLATION OF SECTION 5(B)(2) OF THE SECURITIES ACT.2.VIOLATED EXCHANGE RULE 1100(B) IN THAT IT FAILED TO DELIVER PRODUCT DESCRIPTIONS IN CONNECTION WITH CERTAIN SALES OF EXCHANGE TRADED FUNDS.3.VIOLATED EXCHANGE RULE 345 IN THAT THE FIRM:A.PERMITTED CERTAIN EMPLOYEES WHO WERE NOT PROPERLY REGISTERED WITH THE EXCHANGE TO PERFORM REGULARLY DUTIES WHICH REQUIRED SUCH REGISTRATION; B.FAILED TO FILE AND/OR FILE PROMPTLY CERTAIN FORMS U-4 WITH THE EXCHANGE; AND C.FAILED TO UPDATE CERTAIN CHANGES OF ADDRESS ON FORMS U-4.4.ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN THAT THE FIRM FAILED TO FULLY COMPLY WITH AN UNDERTAKING IN CONNECTION WITH AN EARLIER EXCHANGE HEARING PANEL DECISION.5.VIOLATED EXCHANGE RULE 440, SECTION 17(A) OF THE SEA AND RULE 17A-4 THEREUNDER IN THAT THE FIRM FAILED TO PRESERVE CERTAIN ELECTRONIC MAIL.6.VIOLATED EXCHANGE RULE 401 IN THAT IT FAILED TO TIMELY REGISTER AS A USER OF THE EFP/PI AS SET FORTH IN INFORMATION MEMORANDUM 03-55 AND TO RESPOND TO NUMEROUS EFP/PI REQUESTS.**CONTINUED AT #14** Summary: **CONTINUED FROM #7**/7.VIOLATED EXCHANGE RULE 351(A) IN THAT THE FIRM FAILED TO REPORT AND/OR PROMPTLY REPORT CERTAIN REPORTABLE MATTERS TO THE EXCHANGE.8.VIOLATED EXCHANGE RULE 351(D) IN THAT THE FIRM FAILED TO REPORT, FAILED TO TIMELY REPORT AND/OR FAILED TO ACCURATELY REPORT TO THE EXCHANGE, STATISTICAL INFORMATION REGARDING CUSTOMER COMPLAINTS.9.VIOLATED EXCHANGE RULE 345A BY ALLOWING CERTAIN INDIVIDUALS TO PERFORM DUTIES AS REGISTERED PERSONS AFTER FAILING TO COMPLY WITH CONTINUING EDUCATION REQUIREMENTS.10.VIOLATED EXCHANGE RULE 401 IN THAT IT FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICE BY FAILING TO PROVIDE CERTAIN CLIENTS WITH THE OPPORTUNITY TO DECLINE THE USE OF MARGIN.11.VIOLATED EXCHANGE RULE 342 (A) AND (B) IN THAT THE FIRM FAILED TO REASONABLY DISCHARGE ITS DUTIES AND OBLIGATIONS IN CONNECTION WITH SUPERVISION AND CONTROL INCLUDING MAINTAINING A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO EACH OF THE ITEMS ENUMERATED ABOVE.CONSENTED TO A CENSURE, $10,000,000 FINE AND UNDERTAKING. **9/1/05**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT:EVELYN KRIEGEL 212-656-6444 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/15/2005 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 07/08/2005 Docket/ Case Number: HPD 05-87 Allegations: IT IS ALLEGED THAT: MERRILL LYNCH FAILED TO DELIVER PROSPECTUSES IN CONNECTION WITH CERTAIN SALES OF REGISTERED SECURITIES; FAILED TO DELIVER PRODUCT DESCRIPTIONS IN CONNECTION WITH CERTAIN SALES OF EXCHANGE TRADED FUNDS; VIOLATED EXCHANGE RULE 345 IN THAT THE FIRM PERMITTED CERTAIN EMPLOYEES WHO WERE NOT PROPERLY REGISTERED WITH THE EXCHANGE TO PERFORM DUTIES WHICH REQUIRED SUCH REGISTRATION; FAILED TO FILE AND/OR FILE PROMPTLY CERTAIN FORMS U4 WITH THE EXCHANGE AND FAILED TO UPDATE CERTAIN CHANGES OF ADDRESS ON FORMS U4; FAILED TO FULLY COMPLY WITH AN UNDERTAKING IN CONNECTION WITH AN EARLIER EXCHANGE HEARING PANEL DECISION; FAILED TO PRESERVE CERTAIN ELECTRONIC MAIL AND FAILED TO TIMELY REGISTER AS A USER OF THE EFP/PI AS SET FORTH IN INFORMATION MEMORANDUM, AND TO RESPOND TO NUMEROUS EFP/PI REQUESTS, CAUSING THE FIRM'S NASD BrokerCheck October 17, 2005 Page 8 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) FAILURE TO REPORT AND/OR PROMPTLY REPORT CERTAIN REPORTABLE MATTERS TO THE EXCHANGE; FAILED TO TIMELY REPORT AND/OR ACURATELY REPORT TO THE EXCHANGE, STATISTICAL INFORMATION REGARDING CUSTOMER COMPLAINTS; ALLOWED CERTAIN INDIVIDUALS TO PERFORM DUTIES AS REGISTERED PERSONS AFTER FAILING TO COMPLY WITH CONTINUING EDUCATION REQUIREMENTS; FAILED TO PROVIDE CERTAIN CLIENTS WITH THE OPPORTUNITY TO DECLINE THE USE OF MARGIN; AND FAILED TO REASONABLY DISCHARGE ITS DUTIES AND OBLIGATIONS IN CONNECTION WITH SUPERVISION AND CONTROL INCLUDING MAINTAINING A SEPARATE SYSTEM OF FOLLOWUP AND REVIEW WITH RESPECT TO EACH OF THE ITEMS ENUMERATED ABOVE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/21/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000,000.00 Other Sanctions: UNDERTAKING Resolution Details: SEE ITEM 13 Summary: CENSURE, FINE OF $10,000,000 AND AN UNDERTAKING TO REVIEW CURRENT POLICIES, PROCEDURES AND SUPERVISORY SYSTEMS RELEVANT TO THE MATTERS ADDRESSED HEREIN. ******* REGULATORY ACTION (4 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 06/15/2005 Initiated By: NEW JERSEY Date initiated: 06/03/2005 Docket/ Case Number: Allegations: UNREGISTERED AGENT ACTIVITY DUE TO AN INADVERTENT FORM U-5 FILING FOR GERALD BROWNE (CRD# 1245258). CONTINUED COMMISSIONS WERE PAID AFTER MERRILL DISCOVERED THE ERRONEOUS TERMINATION. Current Status: Final Resolution: Consent Resolution Date: 06/03/2005 Sanctions Ordered: Monetary/Fine Monetary Amount: $53,000.00 Resolution Details: THE BUREAU HAS DETERMINED THAT BROWNE WAS EMPLOYED BY MERRILL AS AN AGENT FROM 12/15/2003 TO 9/23/2004 DURING WHICH PERIOD BROWNE WAS NOT REGISTERED WITH THE BUREAU IN VIOLATION OF NJSA 49:3-56(A) AND NJSA 49:3-56(H). Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/27/2005 Initiated By: STATE OF NEW JERSEY BUREAU OF SECURITIES Date initiated: 05/31/2005 Docket/ Case Number: 2004-036 Allegations: IT WAS ALLEGED THAT MERRILL LYNCH VIOLATED NEW JERSEY STATUTES WHEN IT TERMINATED THE IAR REGISTRATION OF A FINANCIAL ADVISOR IN ERROR. THIS ERROR CAUSED THE FINANCIAL ADVISOR TO ENGAGE IN BUSINESS WITHIN THE STATE WITHOUT THE PROPER REGISTRATION. NASD BrokerCheck October 17, 2005 Page 9 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 06/03/2005 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $53,000.00 Resolution Details: MERRILL LYNCH CONSENTED TO CEASE AND DESIST FROM FURTHER VIOLATIONS OF THE NEW JERSEY UNIFORM SECURITIES ACT AND TO PAY A CIVIL MONETARY PENALTY TO THE BUREAU IN THE AMOUNT OF 53,000.00 WHICH WAS PAID JUNE 3, 2005. Summary: IT WAS ALLEGED THAT MERRILL LYNCH VIOLATED NEW JERSEY STATUTES WHEN IT TERMINATED THE IAR REGISTRATION OF A FINANCIAL ADVISOR IN ERROR. THIS ERROR CAUSED THE FINANCIAL ADVISOR TO ENGAGE IN BUSINESS WITHIN THE STATE WITHOUT THE PROPER REGISTRATION. ******* REGULATORY ACTION (5 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 06/14/2005 Initiated By: NASD Date initiated: 06/01/2005 Docket/ Case Number: CLG050067 Allegations: SEC RULE 11AC1-4; MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRMS BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/01/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT FIRM CONSENTED TO TEH DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED AND FINED $10,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 Initiated By: NASD Date initiated: 04/22/2005 Docket/ Case Number: CLG050067 Allegations: DURING THE PERIOD OF APRIL 1, 2002 - JUNE 28, 2002, THE FIRM FAILED TO DISPLAY IMMEDIATELY 77 CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE NASD BrokerCheck October 17, 2005 Page 10 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/01/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: SEE ITEM 13 Summary: MLPF&S CENSURED AND FINE PAID OF $10,000.00 ******* REGULATORY ACTION (6 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 06/13/2005 Initiated By: NASD Date initiated: 06/03/2005 Docket/ Case Number: CLG050079 Allegations: NASD CONDUCT RULE 2110 AND MARKETPLACE RULE 6955(A); RESPONDENT MEMBER SUBMITTED TO OATS REPORTS THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY NASD AND WERE REPAIRABLE. THE FIRM DID NOT CORRECT OR REPLACE THE SUBJECT REPORTS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/03/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Other Sanctions: UNDERTAINING TO REVISE FIRM'S WRITTEN SUPERVISORY PROCEDURES FOR COMPLIANCE WITH THE RULES APPLICABLE TO OATS. Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED AND FINED $7,500. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 Initiated By: NASD Date initiated: 04/21/2005 Docket/ Case Number: CLG050079 Allegations: THE FIRM DID NOT CORRECT OR REPLACE 94.9% OF THE REJECTED REPORTS SUBMITTED TO OATS DURING THE PERIOD JANUARY 1, 2003 THROUGH MARCH 31, 2003. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/03/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 NASD BrokerCheck October 17, 2005 Page 11 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Other Sanctions: UNDERTAKING TO REVISE MLPF&S' SUPERVISORY PROCEDURES FOR COMPLIANCE WITH THE RULES APPLICABLE TO OATS. Resolution Details: SEE ITEM 13 Summary: MLPF&S CONSENTS TO THE IMPOSITION AT A MAXIMUM OF A CENSURE, A $7,500.00 FINE AND AN UNDERTAKING TO REVISE MLPF&S' WRITTEN SUPERVISORY PROCEDURES FOR COMPLIANCE WITH THE RULES APPLICABLE TO OATS. ******* REGULATORY ACTION (7 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 06/13/2005 Initiated By: NASD Date initiated: 05/19/2005 Docket/ Case Number: CLG050058 Allegations: NASD RULES 2110, 6955(A) - RESPONDENT MEMBER SUBMITTED TO OATS REPORTS WITH RESPECT TO EQUITY SECURITIES TRADED ON THE NASDAQ STOCK MARKET THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY NASD AND WERE REPAIRABLE, THE SUBJECT REPORTS WERE REJECTED BY THE OATS SYSTEM AND NOTICE OF SUCH REJECTION WAS MADE AVAILABLE TO THE FIRM ON THE OATS WEBSITE, THE FIRM DID NOT CORRECT OR REPLACE 87.1% OF THE SUBJECT REPORTS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/19/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $12,500. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/10/2005 Initiated By: NASD Date initiated: 05/19/2005 Docket/ Case Number: CLG050058 Allegations: IT IS ALLEGED THAT BETWEEN OCTOBER 1 AND DECEMBER 31, 2003 MLPF&S SUBMITTED REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY THE NASD AND THAT WERE REPAIRABLE. THE SUBJECT REPORTS WERE REJECTED BY THE OATS SYSTEM AND NOTICE OF SUCH REJECTION WAS MADE AVAILABLE TO THE FIRM ON THE OATS WEBSITE. IT IS FURTHER ALLEGED THAT THE FIRM DID NOT CORRECT OR REPLACE 87.1% OF THE SUBJECT REPORTS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/19/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 NASD BrokerCheck October 17, 2005 Page 12 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: SEE ITEM 13 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MLPF&S CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $12,500.00 TO BE PAID ON 5/19/2005 ******* REGULATORY ACTION (8 of 229) ******* Reporting Source: Regulator (Form U-6) Date Reported: 05/12/2005 Initiated By: WISCONSIN Date initiated: 04/29/2005 Docket/ Case Number: S-04280 Allegations: FAILURE TO SUPPLY, IN A TIMELY FASHION, INFORMATION REQUESTED BY STAFF AND FAILURE TO UPDATE AGENT'S CRD RECORD. Current Status: Final Resolution: Consent Resolution Date: 04/29/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,000.00 Resolution Details: SUM OF $7,000 SHALL BE PAID AS AN ADMINISTRATIVE ASSESSMENT. Summary: AN ORDER OF CENSURE AND ASSESSMENT WAS ISSUED AGAINST MERRILL LYNCH PIERCE FENNER & SMITH, INC. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/11/2005 Initiated By: STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS, DIVISION OF SECURITIES Date initiated: 04/22/2005 Docket/ Case Number: FILE NO. S-04280 (LX) Allegations: MERRILL LYNCH FAILED TO PROVIDE AN EXPLANATION REQUESTED BY THE STAFF REGARDING AN ITEM ON AN AGENT'S INSURANCE LICENSE IN A TIMELY MANNER. THEY ALSO FAILED TO UPDATE THE AGENT'S RECORD TO REFLECT HIS CURRENT ADDRESS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/29/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,000.00 Resolution Details: SEE SECTION 13 Summary: MERRILL LYNCH WAS ASKED TO PROVIDE AN EXPLANATION OF A "YES" ANSWER REGARDING A CONVICTION ON AN AGENT'S INSURANCE APPLICATION. MERRILL LYNCH FAILED TO PROVIDE THIS INFORMATION IN A TIMELY MANNER. MERRILL LYNCH ALSO FAILED TO UPDATE THE AGENT'S RECORD TO REFLECT HIS CURRENT ADDRESS. AS A RESULT, MERRILL LYNCH WAS CENSURED AND ORDERED TO PAY A FINE OF $7,000 PAID 4/29/2005. ******* REGULATORY ACTION (9 of 229) ******* NASD BrokerCheck October 17, 2005 Page 13 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/21/2005 Initiated By: STATE OF NEW JERSEY OFFICE OF THE ATTORNEY GENERAL DEPARTMENT OF LAW AND PUBLIC SAFETY Date initiated: 10/03/2003 Docket/ Case Number: Allegations: IT IS ALLEGED THAT UPON LEARNING OF SHORT TERM TRADING OF MUTUAL FUNDS BY THREE OF ITS FINANCIAL ADVOSORS, THE FIRM FAILED TO TAKE EFFECTIVE ACTION TO HALT TRADING, ENHANCE SUPERVISION, OR ISSUE SUFFICIENT FOLLOW-UP INSTRUCTIONS TO ENSURE ADHERENCE TO FIRM POLICIES AND PROCEDURES, AS WELL AS SECURITIES LAWS AND REGULATIONS. Current Status: Final Resolution: Consent Resolution Date: 03/03/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000,000.00 Other Sanctions: WITHIN 30 DAYS MERRILL LYNCH SHALL (A) SEND A GLOBAL COMPLIANCE ALERT COMMUNICATION DETAILING THE FIRM'S POLICIES AND PROCEDURES WITH RESPECT TO REVIEW AND RETENTION OF INCOMING AND OUTGOING CORRESPONDENCE AND FAX TRANSMISSIONS AS SET FORTH IN THE COMPLIANCE OUTLINE AND BRANCH OFFICE POLICY MANUAL; (B) IMPLEMENT AND ENFORCE A POLICY AND PROCEDURE ADDRESSING HOW FINANCIAL ADVISORS SHOULD DEAL WITH INSTRUCITONS FROM MERRILL LYNCH CLIENTS TO TRADE MUTUAL FUND POSITIONS IN ACCOUNTS HELD OUTSIDE OF MERRILL LYNCH; AND (C) A COPY OF ALL GLOBAL COMPLIANCE ALERTS, INSTRUCTIONS, POLICIES, PROCEDURES OR NOTICES SET FORTH IN THIS PARAGRAPH 3 SHALL BE SENT TO THE CHIEF OF ENFORCEMENT OF THE BUREAU WITHIN 10 DAYS FOLLOWING THEIR PROMULGATION. Resolution Details: ON MARCH 3, 2005 $10,000,000.00 SHALL BE PAYALBE TO THE STATE OF NEW JERSEY BUREAU OF SECURITIES AND SHALL BE DEPOSITED INTO THE SECURITIES ENFORCEMENT FUND PURSUANT TO NJSA 49:3-66.1. Summary: MERRILL LYNCH NEITHER ADMITS NOR DENIES THE ALLEGATIONS, AND SOLELY FOR THE PURPOSES OF THIS PROCEEDING, PRIOR TO A HEARING AND WITHOUT ADJUDICATION OF ANY ISSUE OF LAW OR FACT, CONSENTS TO THE ENTRY OF THIS CONSENT ORDER AND VOLUNTARILY WAIVES THE RIGHT TO A HEARING AND JUDICIAL REVIEW. ****** REGULATORY ACTION (10 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/22/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 03/03/2005 Docket/ Case Number: HPD# 05-27 Allegations: **3/3/05**STIPULATION AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING.CONSENTED TO FINDINGS: 1.VIOLATED EXCHANGE RULE 342 BY FAILING TO REASONABLY SUPERVISE CERTAIN BUSINESS ACTIVITIES, AND TO ESTABLISH AND MAINTAIN AND MAINTAIN AND MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL WITH RESPECT TO CERTAIN BUSINESS ACTIVITIES INVOLVING THE TRADING OF MUTUAL FUNDS. 2 VIOLATED EXCHANGE RULE 342.16 IN THAT IT FAILED TO REVIEW AND MAINTAIN CERTAIN INCOMING AND OUTGOING COMMUNICATIONS WITH THE PUBLIC.3.VIOLATED SECTION 17(A) OF THE SECURITIES AND EXCHANGE ACT OF 1934, SEC RULES 17A-3 AND 17A-4 AND EXCHANGE RULE 440 IN THAT IT FAILED TO MAKE/OR PRESERVE ACCURATE BOOKS AND RECORDS REFLECTING AND/OR RELATING TO ORDERS AND/OR CONFIRMATIONS FOR TRANSACTIONS EXECUTED BY FIRM EMPLOYEES IN VARIABLE ANNUITY PRODUCT SUB-ACCOUNTS HELD AWAY FROM THE NASD BrokerCheck October 17, 2005 Page 14 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) FIRM.CONSENTED TO SANCTION:THE IMPOSITION BY THE EXCHANGE OF THE PENALTY OF;A PENALTY OF A CENSURE AND A FINE IN THE AMOUNT $13,500,000. THE AMOUNT PAID TO THE EXCHANGE BY MERRILL LYNCH SHALL BE WAIVED IN CONSIDERATION OF A $10,000,000 FINE PAID TO THE STATE OF NEW JERSEY AND A PAYMENT TOTALING $3,500,000 IN FURTHERANCE OF A SETTLEMENT WITH THE STATE OF CONNECTICUT. THE PAYMENT TO CONNECTICUT WILL BE PAID AS FOLLOWS: $1,000,000 AS MONETARY PENALTY; A COMMITMENT TO SPEND AN ADDITIONAL $2,000,000 OVER THE NEXT FOUR YEARS TO THE FIRM'S "INVESTING PAYS OFF" INVESTOR EDUCATION INITIATIVE, AND A CONTRIBUTION OF $500,000 FOR LAW ENFORCEMENT/ REGULATORY TRAINING RELATED TO FINANCIAL ISSUES. THE FIRM SHALL COMPLETE AN UNDERTAKING TO INFORM TH EXCHANGE IN WRITING THAT IT HAS COMPLIED WITH CERTAIN CONDITIONS. THE CONDITIONS ARE SET FORTH IN THE HEARING PANEL DECISION. Current Status: Final Resolution: Decision Resolution Date: 04/07/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $13,500,000.00 Resolution Details: **3/7/05**HEARING PANEL DECISION 05-27 ISSUED BY NYSE HEARING PANEL DECISION: VIOLATED EXCHANGE RULE 342 BY FAILING TO REASONABLY SUPERVISE CERTAIN BUSINESS ACTIVITIES, AND TO ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES FOR SUPERVISION AND CONTROL WITH RESPECT TO CERTAIN BUSINESS ACTIVITIES INVOLVING THE TRADING OF MUTUAL FUNDS;VIOLATED EXCHANGE RULE 342.16 IN THAT IT FAILED TO REVIEW AND MAINTAIN CERTAIN INCOMING AND OUTGOING COMMUNICATIONS WITH THE PUBLIC; AND VIOLATED SECTION 17(A) OF THE SECURITIES AND EXCHANGE ACT OF 1934, SEC RULES 17A3 AND 17A-4 AND EXCHANGE RULE 440 IN THAT IT FAILED TO MAKE AND/OR PRESERVE ACCURATE BOOKS AND RECORDS REFLECTING AND/OR RELATING TO ORDERS AND/OR CONFIRMATIONS FOR MUTUAL FUND TRANSACTIONS EXECUTED BY FIRM EMPLOYEES IN ANNUITY SUB-ACCOUNTS HELD AWAY FROM THE FIRM---CONSENT TO CENSURE, A FINE OF $13,500,000 AND AN UNDERTAKING. Summary: **4/07/05**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT:MICHELE VAN TASSEL 212-656-5340 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/21/2005 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 10/03/2003 Docket/ Case Number: HPD # 05-27 Allegations: IT IS ALLEGED THAT UPON LEARNING OF SHORT TERM TRADING OF MUTUAL FUNDS BY THREE OF ITS FINANCIAL ADVISORS, THE FIRM FAILED TO TAKE EFFECTIVE ACTION TO HALT TRADING, ENHANCE SUPERVISION, OR ISSUE SUFFICIENT FOLLOW-UP INSTRUCTIONS TO ENSURE ADHERENCE TO FIRM POLICIES AND PRCEDURES, AS WELL AS SECURITIES LAWS AND REGULATIONS. Current Status: Final Resolution: Consent Resolution Date: 03/03/2005 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $13,500,000.00 Resolution Details: HEARING PANEL DECISION OF 05-27 ISSUED BY NYSE HEARING PANEL - VIOLATED EXCHANGE RULE 342 BY FAILING TO REASONABLY SUPERVISE CERTAIN BUSINESS ACTIVITIES AND TO ESTABLISH AND MAINTAIN APPROPRIATE PRCEDURES FOR SUPERVISION AND CONTROL WITH RESPECT TO CERTAIN BUSINESS ACTIVITIES INVOLVING THE TRADING OF MUTUAL FUNDS; VIOLATED EXCHANGE RULE 342.16 IN THAT IT FAILED TO REVIEW AND MAINTAIN CERTAIN INCOMING AND OUTGOING COMMUNICATIONS WITH THE BUPLIC AND VIOLATED SECTION 17(A) OF THE SEC ACT OF 1934, SEC RULES 17(A)3 AND 17(A)4 AND EXCHANGE RULE 440 IN THAT IT FAILED TO MAKE AND/OR PRESERVE ACCURATE NASD BrokerCheck October 17, 2005 Page 15 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) BOOKS AND RECORDS REFLECTING AND/OR RELATING TO ORDERS AND/OR CONFIRMATION FOR MUTUAL FUNDS TRANSACTIONS EXECUTED BY FIRM EMPLOYEES IN ANNUITY SUB-ACCOUNTS HELD AWAY FROM THE FIRM - CONSENT TO CENSURE. AND A FINE IN THE AMOUNT OF $13,500,000.00 - HOWEVER, THIS SHALL BE WAIVED IN CONSIDERATION OF A $10,000,000.00 FINE PAID TO THE STATE OF NEW JERSEY AND A PAYMENT TOTALLING $3,500,000.00 IN FURTHERANCE OF A SETTLEMENT WITH THE STATE OF CONNECTICUT. THE PAYMENT TO CT WILL BE PAID AS FOLLOWS: $1,000,000.00 AS MONETARY PENALTY; A COMMITMENT TO SPEND AN ADDITIONAL $2,000,000.00 OVER THE NEXT FOUR YEARS TO THE FIRM'S "INVESTING PAYS OFF" INVESTOR TRAINING RELATED TO FINANCIAL ISSUES. THE FIRM SHALL COMPLETE AN UNDERTAKING TO INFORM THE EXCHANGE IN WRITING THAT IT HAS COMPLIED WITH CERTAIN CONDITIONS SET FORTH IN THE HEARING PANEL DECISION. Summary: WITHOUT ADMITTING OR DENYING GUILT, MERRILL LYNCH CONSENTED TO A FINDING BY THE HEARING PANEL THAT THE FIRM VIOLATED EXCHANGE RULE 342 BY FAILING TO REASONABLY SUPERVISE CERTAIN BUSINESS ACTIVITIES, VIOLATED EXCHANGE RULE 342.16 IN THAT IT FAILED TO REVIEW AND MAINTAIN CERTAIN INCOMING AND OUTGOING COMMUNICATIONS WITH THE PUBLIC AND THAT IT VIOLATED SECTION 17(A) OF THE SEC ACT OF 1934 IN THAT IT FAILED TO MAKE AND/OR PRESERVE ACCURATE RECORDS RELATING TO ORDERS EXECUTED BY FIRM EMPLOYEES IN VARIABLE ANNUITY PRODUCT SUB-ACCOUNTS HELD AWAY FROM THE FIRM. THE FIRM HAS AGREED TO AN UNDERTAKING TO INFORM THE EXCHANGE IN WRITING THAT IT HAS ISSUED A GLOBAL COMPLIANCE ALERT COMMUNICATION DETAILING THE FIRM'S POLICIES AND PROCEDURES REGARDING INCOMING AND OUTGOING CORRESPONDENCE AS SET FORTH IN THE COMPLIANCE OUTLINE AND BRANCH OFFICE POLICY MANUAL. THE FIRM WILL ALSO IMPLEMENT A POLICY AND PROCEDURE ADDRESSING HOW FINANCIAL ADVISORS SHOULD DEAL WITH INSTRUCTIONS FROM CLIENTS TO TRADE MUTUAL FUNDS POSITIONS IN ACCOUNTS HELD OUTSIDE OF MERRILL LYNCH. THE COMMENCEMENT OF THE DEVELOPMENT OF TECHNOLOGY TO ALLOW THE RECORDING OF CLIENT REALLOCATION REQUESTS REGARDING THE UNDERLYING ACCOUNTS OF NON-PROPRIETARY VARIABLE ANNUITY PRODUCTS WHERE SUCH REQUETS ARE RELAYED FROM A CLIENT TO THE INSURANCE CARRIER THROUGH A MERRILL LYNCH EMPLOYEE. AND, THE IMPLEMENTATION BY FINANCAIL DATA SERVICES ("FDS"), AN AFFILIATE OF MERRILL LYNCH, OF A PROCEDURE REQUIRING FDS TO PROVIDE CLIENT TAX ID NUMBERS TO NSCC WHEN TRANSMITTING ORDERS TO MUTUAL FUND COMPANIES ON BEHALF OF MERRILL LYNCH CLIENTS TO BUY/SELL MUTUAL FUNDS POSITIONS, PROVIDED THE MUTUAL FUND COMPANIES ELECT TO RECEIVE THE TAX ID NUMBER. ****** REGULATORY ACTION (11 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/06/2004 Initiated By: NASD Date initiated: 11/09/2004 Docket/ Case Number: CMS040172 Allegations: NASD RULE 6230(C)(6) - MERRILL LYNCH, PIERCE, FENNER & SMITH FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY IDENTIFIER OF TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/09/2004 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS FINED $5,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/14/2004 NASD BrokerCheck October 17, 2005 Page 16 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NASD Date initiated: 11/09/2004 Docket/ Case Number: CMS040172 Allegations: IT WAS ALLEGED THAT MERRILL LYNCH FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY INDENTIFIER OF TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/09/2004 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE ENTRY OF FINDINGS AND A $5,000 FINE PAID 12-14-2004. Summary: SEE ITEM 12C ****** REGULATORY ACTION (12 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/02/2004 Initiated By: NASD Date initiated: 11/30/2004 Docket/ Case Number: CAF040088 Allegations: ARTICLE V, SECTIONS 2(C) AND 3(B) OF NASD'S BY-LAWS, NASD RULES 2110, 3010 - MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED FILED AT LEAST 1,420 LATE AMENDMENTS TO FORMS U4 AND U5, REPRESENTING APPROXIMATELY 30% OF THE REQUIRED AMENDMENTS RELATING TO REPORTABLE CUSTOMER COMPLAINTS, TERMINATIONS, REGULATORY ACTIONS, AND CRIMINAL DISCLOSURES. IN ADDITION, NASD FOUND THAT THE FIRM FILED 36 INCORRECT DISCLOSUES OF BRANCH OFFICE ADDRESSES ON FORM U4 AND IN 12 INSTANCES, FAILED TO FILE DISCLOSURES ON FORM U4 RELATING TO ARBITRATIONS AND CUSOTMER COMPLAINTS. THE FIRM'S SUPERVISORY SYSTEM AND PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS ARTICLE V REPORTING OBLIGATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/30/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,600,000.00 Other Sanctions: PROHIBITION, UNDERTAKINGS Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $1,600,000 WHICH SHALL BE PAID WITHIN 10 DAYS OF NOTICE OF ACCEPTANCE OF THIS AWC. THE FIRM SHALL BE PROHIBITED FROM REGISTERING ANY ASSOCIATED PERSONS, IN A NON-SUPERVISORY SALES CAPACITY, FOR FIVE CONSECUTIVE BUSINESS DAYS. PROMPTLY FOLLOWING NOTICE OF ACCEPTANCE OF THIS AWC, THE FIRM'S INTERNAL AUDIT DEPT. OR PERSONNEL NOT DIRECTLY RESPONSIBLE FOR THE FIRM'S ARTICLE V REPORTING OBLIGATIONS AND THEIR IMMEDIATE SUPERVISORS SHALL CONDUCT AN AUDIT FOR THE PERIOD JANUARY 1, 2004 THROUGH SEPTEMBER 30, 2004 TO ASSESS THE EFFECTIVENESS OF ITS SYSTEM AND PROCEDURES FOR ENSURING TIMELY FILING OF FORM U4 AND U5 AMENDMENTS AND SHALL PREPARE A WRITTEN REPORT SUMMARIZING FINDINGS AND RECOMMENDATIONS AND SHALL FOR THE NEXT FOUR NASD BrokerCheck October 17, 2005 Page 17 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) CALENDAR QUARTERS BEGINNING FOURTH QUARTER 2004, CONDUCT A SIMILAR AUDIT AND PREPARE A SIMILAR WRITTEN AUDIT REPORT. NO LATER THAN 90 DAYS AFTER NOTICE OF ACCEPTANCE OF THIS AWC, AN OFFICER OF THE FIRM SHALL CERTIFY IN WRITING TO NASD THAT AN AUDIT WAS CONDUCTED AND THE OFFICER HAS REVIEWED THE CURRENT AUDIT REPORT. NO LATER THAN 60 DAYS AFTER THE DATE OF THE REPORT, AN OFFICER SHALL CERTIFY IN WRITING TO NASD THAT THE FIRM HAS IMPLEMENTED, OR HAS BEGUN TO IMPLEMENT, ANY RECOMMENDATIONS WITHIN A SPECIFIED TIME PERIOD. NO LATER THAN 60 DAYS AFTER THE LAST DAY OF THE NEXT FOUR QUARTERS, AN OFFICER SHALL CERTIFY IN WRITING TO NASD THAT AN AUDIT WAS CONDUCTED, THE CURRENT AUDIT REPORT WAS REVIEWED, AND RECOMMENDATIONS IMPLEMENTED, OR BEGUN TO BE IMPLEMENTED. NO LATER THAN SIX MONTHS AFTER NOTICE OF ACCEPTANCE OF THIS AWC, AN OFFICER SHALL CERTIFY IN WRITING TO NASD THAT THE FIRM HAS REVIEWED ITS SYSTEM AND PROCEDURES FOR COMPLYING WITH ITS ARTICLE V REPORTING OBLIGATIONS AND HAS ESTABLISHED A SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REPORTING REQUIREMENTS. Summary: THE FIRM CANNOT REGISTER ANY ASSOCIATED PERSONS, IN A NON-SUPERVISORY SALES CAPACITY EFFECTIVE JANUARY 24, 2005 TO CLOSE OF BUSINESS JANUARY 28, 2005. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/03/2004 Initiated By: NASD Date initiated: 11/30/2004 Docket/ Case Number: CAF040088 Allegations: IT WAS ALLEGED THE MERRILL LYNCH VIOALTED NASD RULES BY FILING LATE AMENDMENTS TO FORMS U4 AND U5. ADDITIONALLY, IT WAS ALLEGED THAT THE FIRM HAD INCORRECT OFFICE ADDRESSES ON FORM U4 AND FAILED TO REPORT DISCLOSURES IN 12 INSTANCES. IT WAS ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEMS AND PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS REPORTING OBLIGATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/30/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,600,000.00 Other Sanctions: PROHIBITIONS, UNDERTAKINGS Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE ENTRY OF FINDINGS AND SANCTIONS. THE FIRM IS CENSURED, FINED (PAID BY DECEMBER 10, 2004), AND PROHIBITED FROM REGISTERING ANY ASSOCIATED PERSONS IN A NON-SUPERVISORY SALES CAPACITY FOR 5 CONSECUTIVE BUSINESS DAYS (JANUARY 24, 2005 - JANUARY 28, 2005). THE FIRM SHALL CONDUCT PERIODIC AUDITS AND REPORT ITS FINDINGS AND RECOMMENDATIONS. ADDITIONALLY, AN OFFICER OF THE FIRM SHALL PERIODICALLY CERTIFY IN WRITING TO THE NASD THAT THE AUDITS WERE DONE AND THAT THE RECOMMENDATIONS HAVE BEEN IMPLEMENTED OR ARE IN THE PROCESS OF BEING IMPLEMENTED. Summary: SEE ITEM 12C. ****** REGULATORY ACTION (13 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/15/2004 Initiated By: NASD Date initiated: 09/20/2004 Docket/ Case Number: CMS040146 NASD BrokerCheck October 17, 2005 Page 18 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULES 6420(A) AND 6620(A) - RESPONDENT MEMBER FAILED WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THROUGH ACT LAST SALE REPORTS OF TRANSACTIONS IN ELIGIBLE SECURITIES; FAILED TO DESIGNATE THROUGH ACT SUCH LAST SALE REPORTS AS LATE; INCORRECTLY DESIGNATED AS LATE TO ACT LAST SALE REPORTS OF TRANSACTIONS IN ELIGIBLE SECURITIES; AND, FAILED WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THROUGH ACT LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIE AND FAILED TO DESIGNATE THROUGH ACT SUCH LAST SALE REPORTS AS LATE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/20/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $27,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED AND FINED $27,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/14/2004 Initiated By: NASD Date initiated: 09/20/2004 Docket/ Case Number: CMS040146 Allegations: IS IS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 AND MARKETPLACE RULES 6420(A) AND 6620(A). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/20/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $27,000.00 Resolution Details: SEE ITEM 13 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE MEMBER FIRM CONSENTED TO THE ENTRY OF FINDINGS AND DESCRIBED SANCTIONS INCLUDING A CENSURE AND FINE OF $27,000 PAID ON 9/20/2004. ****** REGULATORY ACTION (14 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/13/2004 Initiated By: NASD Date initiated: 08/20/2004 Docket/ Case Number: CMS040131 Allegations: NASD CONDUCT RULE 3370 AND NASD MARKETPLACE RULE 6130(D) - MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. EFFECTED 9 SHORT SALE TRANSACTIONS IN CERTAIN SECURITIES AND FAILED TO MAKE AN AFFIRMATIVE DETERMINATION PRIOR TO EFFECTING SUCH TRANSACTION. IN ADDITION, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FAILED TO REPORT TO AUTOMATED CONFIRMATION TRANSACTION SERVICE (?ACT?) THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTION WAS A BUY, SELL, SELL SHORT, SELL SHORT EXEMPT OR CROSS FOR NASD BrokerCheck October 17, 2005 Page 19 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) 202 TRANSACTIONS IN ELIGIBLE SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/20/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $9,000 (COMPOSED OF A $3,000 FINE FOR THE AFFIRMATIVE DETERMINATION VIOLATIONS AND A $6,000 FINE FOR THE ACT REPORTING VIOLATIONS). Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/21/2004 Initiated By: NASD Date initiated: 08/20/2004 Docket/ Case Number: CMS040131 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 3370 AND MARKETPLACE RULE 613(D) IN THAT IT FAILED TO MAKE AN AFFIRMATIVE DETERMINATION PRIOR TO 9 SHORT SALE TRANSACTIONS AND FAILED TO REPORT THE CORRECT SYMBOLS AND TYPE OF TRANSACTION ON 202 TRANSACTIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/20/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: PLEASE REFER TO ITEM 13 BELOW Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH AGREED TO AN AWC, CENSURE AND A FINE OF $9,000 (PAID AS OF 8/20/2004). ****** REGULATORY ACTION (15 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/12/2004 Initiated By: FLORIDA Date initiated: 06/17/2004 Docket/ Case Number: 0133-S-4/04 Allegations: UNREGISTERED BRANCH ACTIVITY. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/17/2004 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $10,000.00 NASD BrokerCheck October 17, 2005 Page 20 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: NA Summary: UNREISTERED BRANCH ACTIVITY. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/27/2004 Initiated By: FLORIDA Date initiated: 06/17/2004 Docket/ Case Number: 0133-S-4/04 Allegations: UNREGISTERED BRANCH ACTIVITY Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/17/2004 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $10,000.00 Resolution Details: SEE ITEM 13 Summary: DUE TO ADMINISTRATIVE ERROR, 2 OFFICES WERE NOT PROPERLY LICENSED WITH THE STATE OF FLORIDA. THEY WERE LICENSED WITH TH ENASD AND NYSE. FIRM AGREED TO THE STIPULATION SET FORTH ABOVE. (FINE PAID AS OF 6/17/2004.) ****** REGULATORY ACTION (16 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/20/2004 Initiated By: NASD Date initiated: 07/19/2004 Docket/ Case Number: CAF040054 Allegations: NASD RULE 2110, IM-10100 - MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED FAILED TO COMPLY WITH DISCOVERY OBLIGATIONS UNDER THE CODE OF ARBITRATION PROCEDURE OR UNDER OTHER APPLICABLE SELF-REGULATORY CODES OF ARBITRATION IN SEVEN ARBITRATION PROCEEDINGS AND FAILED TO PRODUCE DOCUMENTS SOUGHT BY THE CLAIMANT IN EACH CASE. IN MOST OF THE PROCEEDINGS, AFTER DOCUMENTS HAD NOT BEEN PRODUCED, MOTIONS TO COMPEL WERE FILED AND GRANTED BY THE ARBITRATON PANELS, AND ORDERS WERE ISSUED BY THE ARBITRATION PANELS REQUIRING THE FIRM TO PRODUCE DOCUMENTS BY SPECIFIC DATES, AND DESPITE THE ORDERS, THE FIRM FAILED TO PRODUCE DOCUMENTS AS REQUIRED. THE ARBITRATION PANELS SANCTIONED THE FIRM FOR THESE DISCOVERY VIOLATIONS ON AMOUNTS RANGING FROM $1,300 TO $52,000. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/19/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED, FINED $250,000, AND REQUIRED TO, WITHIN 30 DAYS OF ISSUANCE OF THIS AWC, TO NOTIFY NASD BrokerCheck October 17, 2005 Page 21 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ALL COUNSEL HANDLING ARBITRATION PROCEEDINGS FOR THE FIRM OF THE FIRM'S POLICY TO COMPLY WITH DISCOVERY REQUIREMENTS AND TO COMPLY WITH ALL ORDERS OF ARBITRATION PANELS RELATING TO DISCOVERY OBLIGATIONS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY AN ATTORNEY WITH MANAGEMENT RESPONSIBILITIES IN THE LAW DEPT. OF THE FIRM OF ANY ORDER BY AN ARB PANEL GRANTING A MOTION TO COMPEL AND REQUIRING THE FIRM TO PRODUCE DOCUMENTS; ESTABLISH A WRITTEN PROCEDURE FOR REVIEW BY A FIRST VICE PRESIDENT OR SIMILAR OFFICER OF THE FIRM WITH RESPONSIBILITY FOR PRIVATE CLIENT LITIGATION OF ANY INSTANCE WHERE AN ARB PANEL HAS SANCTIONED THE FIRM FOR VIOLATION OF DISCOVERY OBLIGATIONS OR FOR FAILURE TO COMPLY WITH AN ORDER OF THE ARB PANEL REGARDING DISCOVERY MATTERS. THE FIRST VICE PRESIDENT OR SIMILAR OFFICER SHALL REVIEW SUCH INSTANCES TO ENSURE THE APPROPRIATE STEPS ARE TAKEN. AT SIX MONTHS AND ONE YEAR FROM DATE OF THIS AWC, THE FIRM SHALL CONFIRM TO NASD THAT THE FIRM HAS COMPLIED WITH THESE PROCEDURES AND INFORM NASD ON THOSE DATES OF ANY REVIEW BY THE FIRST VICE PRESIDENT OR SIMILAR OFFICER AND ANY ACTIONS TAKEN IN RESPONSE TO SUCH REVIEW. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/20/2004 Initiated By: NASD Date initiated: 07/19/2004 Docket/ Case Number: CAF040054 Allegations: IT IS ALLEGED THAT MERRILL LYNCH FAILED TO COMPLY WITH DISCOVERY OBLIGATIONS IN 7 PROCEEDINGS PURSUANT TO THE APPLICABLE CODE OF ARBITRATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/19/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Other Sanctions: UNDERTAKING Resolution Details: SEE ITEM 13 BELOW Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE AWC. THE FIRM WAS CENSURED, FINED (PAID 7/19/2004) AND REQUIRED TO NOTIFY ALL COUNSEL HANDLING ARBITRATION MATTERS OF THE FIRM'S POLICY OF COMPLYING WITH DISCOVERY OBLIGATIONS AND ORDERS FROM ARBITRATION PANELS RELATING TO DISCOVERY. THE FIRM ALSO WILL ESTABLISH WRITTEN PROCEDURES AS FOLLOWS: (1) REQUIRE AN ATTORNEY IN OGC TO REVIEW ANY ORDER BY AN ARBITRATION PANEL GRANTING A MOTION TO COMPEL; (2) REQUIRE REVIEW BY FVP OR SIMILAR OFFICER OF ANY SANCTIONS BY AN ARB PANEL FOR DISCOVERY VIOLATIONS TO ENSURE PROPER STEPS ARE TAKEN; AND (3) AT 6 MONTHS AND 1 YEAR THE FIRM SHALL CONFIRM TO THE NASD THAT IT HAS COMPLIED WITH THE AWC AND INFORM THE NASD OF ANY FVP REVIEWS AND THE ACTIONS TAKEN PURSUANT TO THE FVP REVIEW. ****** REGULATORY ACTION (17 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/30/2004 Initiated By: NASD Date initiated: 06/28/2004 Docket/ Case Number: C05040045 Allegations: MSRB RULES G-17 AND G-30(A) - RESPONDENT MEMBER MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED RECEIVED REQUESTS FROM NASD BrokerCheck October 17, 2005 Page 22 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) PUBLIC CUSTOMERS TO LIQUIDATE TWELVE DIFFERENT MUNICIPAL SECURITY POSITIONS. RESPONDENT MEMBER CONTACTED A BROKER'S BROKER AND OBTAINED BIDS FOR THE CUSTOMERS' SECURITIES. BASED ON THE BIDS PROVIDED BY THE BROKER'S BROKE, RESPONDENT MEMBER PURCHASED THE SECURITIES FROM THE CUSTOMERS FOR ITS OWN ACCOUNT AND THEN SOLD THE SECURITIES TO THE BROKER'S BROKER AT A NOMINAL GAIN. IN ALL TWELVE INSTANCES, THE PRICES PAID TO THE CUSTOMERS, AND RECEIVED BY RESPONDENT MEMBER, WERE BELOW THE FAIR MARKET VALUE OF EACH SECURITY, IN AMOUNTS RANGING FROM 11.76% TO 115.50%. BY RELYING SOLELY ON THE BIDS PROVIDED BY THE BROKER'S BROKER TO DETERMINE THE FAIR MARKET VALUE OF THE SECURITY, RESPONDENT MEMBER FAILED TO ENSURE THAT THE TRANSACTIONS WERE EXECUTED AT AGGREGATE PRICES THAT WERE FAIR AND REASONABLE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $55,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: CENSURED AND FINED $55,000.00, AND SHALL PAY RESTITUTION TO CUSTOMER IN THE AMOUNT OF $54,527.40, PLUS INTEREST. SATISFACTORY PROOF OF PAYMENT OF RESTITUTION SHALL BE PROVIDED TO NASD NO LATER THAN 90 DAYS AFTER ACCEPTANCE OF THIS AWC. ADDITIONALLY, WITHIN 90 DAYS OF THE ACCEPTANCE OF THIS AWC, THE FIRM SHALL PROVIDE NASD WITH A COPY OF ITS UPDATED WRITTEN SUPERVISORY PROCEDURES AS THEY RELATE TO THE DETERMINATION OF THE FAIR MARKET VALUE OF MUNICIPAL SECURITIES BEING BOUGHT OR SOLD FROM A PUBLIC CUSTOMER. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/29/2005 Initiated By: NASD Date initiated: 06/28/2004 Docket/ Case Number: C05040045 Allegations: IT IS ALLEGED THE THE FIRM BY RELYING ON BIDS FROM ONLY ONE BROKER FAILED TO ENSURE THE 12 TRANSACTIONS IN MUNICIAPLSECURITIES WERE EXECUTED AT AGGREGATE PRICES THAT WERE FAIR IN REASONABLE Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/28/2004 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $55,000.00 Other Sanctions: UNDERTAKING Resolution Details: SEE ITEM 13 Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH CONSENTED TO THE FOLLOWING SANCTIONS: CENSURED AND FINE $55,000 (PAID 6/28/2004); RESTITUTION TO CUSTOMERS OF $54,527.40 PLUS INTEREST; AND THE FIRM SHALL PROVIDE THE NASD WITH A COPY OF ITS WRITTEN SUPERVISORY PROCEDURES REALTING TO DETERMINING THE FMV OF MUNICIPAL SECURITIES BEING BOUGHT AND SOLD FROM A PUBLIC CUSTOMER. ****** REGULATORY ACTION (18 of 229) ****** NASD BrokerCheck October 17, 2005 Page 23 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 05/18/2004 Initiated By: NASD Date initiated: 04/29/2004 Docket/ Case Number: C05040022 Allegations: NASD RULES 2110, 3010(A), 3010(B), 3010(C) - RESPONDENT MEMBER FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE AN ADEQUATE SYSTEM TO SUPERVISE AND MONITOR ACTIVITIES IN CONNECTION WITH THE SALE OF VARIABLE LIFE INSURANCE PRODUCTS. THE FIRM FAILED TO HAVE SUFFICIENT PROCEDURES CONCERNING THE REVIEW AND APPROVAL OF VARIABLE LIFE INSURANCE PURCHASES OTHER THAN REPLACEMENTS AND PRINCIPALS WERE NOT GIVEN ADEQUATE SUITABILITY GUIDELINES TO EVALUATE WHETHER REPLACING AN EXISTING CONTRACT WOULD IMPROVE THE CLIENT?S POSITION CONSIDERING ENHANCEMENTS, COST STRUCTURES, SUB-ACCOUNTS, AND SURRENDER CHARGES; THE FIRM REQUIRED PRINCIPALS TO REVIEW ALL REPLACEMENT SALES AND PROPRIETARY VARIABLE LIFE INSURANCE CONTRACT SALES WHILE NON-PROPRIETARY SALES THAT WERE NOT REPLACEMENTS WERE REVIEWED ONLY AT THE DISCRETION OF THE REVIEWING PRINCIPAL. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/29/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $75,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM IS CENSURED AND FINED $75,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/04/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/29/2004 Docket/ Case Number: C05040022 Allegations: IT WAS ALLEGED THAT BETWEEN APRIL 1996 AND DECEMBER 1999, MERILL LYNCH FAILED TO ESTABLISH, MAINTAIN AND ENFORCE AN ADEQUATE SYSTEM TO SUPERVISE AND MONITOR ACTIVITIES IN CONNECTION WITH THE SALE OF VARIABLE LIFE INSURANCE PRODUCTS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/26/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $75,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO A SETTLEMENT AND AGREED TO A CENSURE AND AN ADMINISTRATIVE FINE OF $75,000 PAID ON 4/29/2004. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO A SETTLEMENT AND AGREED TO A CENSURE AND AN ADMINISTRATIVE FINE OF $75,000 PAID ON 4/29/2004. ****** REGULATORY ACTION (19 of 229) ****** NASD BrokerCheck October 17, 2005 Page 24 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2004 Initiated By: COMMONWEALTH OF VIRGINIA; STATE CORPORATION COMMISSION Date initiated: 01/30/2004 Docket/ Case Number: SEC-2003-00041 Allegations: THE COMMONWELTH OF VIRGINIA LODGED AN INVESTIGATION INTO ALLEGATIONS OF UNSUITABLE TRADING BY FORMER FINANCIAL ADVISORS IN THE ACCOUNTS OF TWO CUSTOMERS. Current Status: Final Resolution: Order Resolution Date: 01/30/2004 Sanctions Ordered: Disgorgement/Restitution Other Sanctions: UNDERTAKING Resolution Details: MERRILL LYNCH AGREED TO MAKE RESTITUTION TO THE CUSTOMERS IN THE AMOUNT OF $73,544.81 AND $268,723.12, RESPECTIVELY. Summary: IN ORDER TO SETTLE THIS MATTER AMICABLY, MERRILL LYNCH AGREED TO OFFER RESTITUTION TO THE CUSTOMERS IN THE TOTAL AMOUNT OF $342,267.93. IN ADDITION, MERRILL LYNCH AGREED TO CERTAIN UNDERTAKINGS AS OUTLINED IN THE SETTLEMENT AGREEMENT. ****** REGULATORY ACTION (20 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/21/2004 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 02/03/2004 Docket/ Case Number: HPD#: 04-30 Allegations: **02/03/2004**STIPULATION AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING CONSENTED TO FINDINGS: WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTS TO:A. A FINDING BY THE HEARING PANEL THAT IT:1. VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO HAVE AND REASONABLY IMPLEMENT APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL TO ENSURE COMPLIANCE BY ITS EMPLOYEES WITH FEDERAL SECURITIES LAWS, EXCHANGE RULES AND FIRM POLICIES AND TO PROVIDE A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO THE DISSEMINATION OF MATERIAL NON-PUBLIC INFORMATION AS IT RELATES TO CHANGES IN PENDING RESEARCH REPORT RATINGS AND/OR EARNINGS ESTIMATES. 2. VIOLATED EXCHANGE RULE 401 IN THAT THE FIRM FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICES IN THAT IT FAILED PREVENT THE PREMATURE DISSEMINATION BY ITS EMPLOYEES OF AN ANALYSTS CHANGES IN RATINGS AND EARNINGS ESTIMATES.B. THE IMPOSITION BY THE EXCHANGE OF THE PENALTY OF A: 1. CENSURE; AND 2. A FINE OF $625,000. Current Status: Final Resolution: Decision Resolution Date: 04/08/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $625,000.00 Resolution Details: **3/8/04**DECISION 04-30 ISSUED BY THE HEARING PANEL VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO HAVE AND REASONABLY IMPLEMENT APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL TO ENSURE COMPLIANCE BY ITS EMPLOYEES WITH FEDERAL SECURITIES LAWS, EXCHANGE RULES AND FIRM POLICIES AND TO PROVIDE A NASD BrokerCheck October 17, 2005 Page 25 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW WITH RESPECT TO THE DISSEMINATION OF MATERIAL NON-PUBLIC INFORMATION AS IT RELATES TO CHANGES IN PENDING RESEARCH REPORT RATINGS AND/OR EARNINGS ESTIMATES, AND VIOLATED EXCHANGE RULE 401 IN THAT THE FIRM FAILED TO ADHERE TO THE PRINCIPLES OF GOOD BUSINESS PRACTICES IN THAT IT FAILED PREVENT THE PREMATURE DISSEMINATION BY ITS EMPLOYEES OF AN ANALYSTS CHANGES IN RATINGS AND EARNINGS ESTIMATES - CONSENT TO CENSURE AND $625,000 FINE. Summary: **04/08/2004**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT: MICHELE VAN TASSEL 212-656-5340 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/04/2004 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 05/12/2004 Docket/ Case Number: HPD# 04-30 Allegations: IT WAS ALLEGED THAT MERILL LYNCH VIOLATED EXCHANGE RULES 342 & 401 IN THAT IT FAILED TO HAVE AND REASONABLY IMPLEMENT APPROPRIATE PROCEDURES TO ENSURE COMPLIANCE BY ITS EMPLOYEES WITH RESPECT TO THE DISSEMINATION OF MATERIAL NON-PUBLIC INFORMATION AS IT RELATED TO CHANGES IN PENDING RESEARCH REPORT RATINGS AND/OR EARNINGS ESTIMATES. THE ALLEGATIONS ARE BASED ON ONE SPECIFIC OCCURRENCE IN JULY 2002. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 05/12/2004 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $625,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND AN ADMINISTRATIVE FINE OF $625,000 PAID ON 5/12/2004. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND AN ADMINISTRATIVE FINE OF $625,000 PAID ON 5/12/2004. ****** REGULATORY ACTION (21 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/15/2004 Initiated By: NASD Date initiated: 12/23/2003 Docket/ Case Number: CMS030296 Allegations: NASD RULE 6130(D) - RESPONDENT MEMBER FAILED TO REPORT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE (ACT) THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTION WAS A BUY, SELL, SELL SHORT, SELL SHORT EXEMPT OR CROSS FOR TRANSACTIONS IN ELIGIBLE SECURITIES; Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $9,000. NASD BrokerCheck October 17, 2005 Page 26 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/04/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/23/2003 Docket/ Case Number: CMS030296 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD MARKETPLACE RULE 6130(D) IN THAT IT FAILED TO REPORT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTION WAS A BUY, SELL, SELL SHORT, SELL SHORT EXEMPT OR CROSS FOR SPECIFIC TRANSACTIONS IN ELIGIBLE SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $9000 FINE. ****** REGULATORY ACTION (22 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/17/2003 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 08/21/2003 Docket/ Case Number: 02-02 Allegations: MERRILL, LYNCH, PIERCE, FENNER AND SMITH, INC. ("MERRILL")VIOLATED EXCHANGE RULE 208 AND ARTICLE V, SECTION 4(H) OF THE EXCHANGE CONSTITUTION IN THAT THE FIRM DID NOT AGGREGATE MULTIPLE ODD-LOT ORDERS ENTERED BY A CUSTOMER THROUGH THE FIRM'S POST EXECUTION REPORTING SYSTEM ("PER") CONNECTION TO THE EXCHANGE FLOOR. MERRILL VIOLATED EXCHANGE RULE 320(B) IN THAT THE FIRM DID NOT HAVE REASONABLE POLICIES OR PROCEDURES IN PLACE DESIGNED TO DETECT OR PREVENT AN ACCOUNT OR RELATED ACCOUNTS FROM ENTERING MULTIPLE ODD-LOT ORDERS, RATHER THAN LARGER ROUND LOT ORDERS, INTO THE FIRM'S PER SYSTEM. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 11/04/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Resolution Details: MERRILL WAS CENSURED AND FINED $30,000. Summary: PLEASE CONTACT THE ENFORCEMENT DEPARTMENT OF THE AMERICAN STOCK EXCHANGE FOR RUTHER DETAILS. *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 27 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 03/04/2004 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 11/14/2003 Docket/ Case Number: 02-02 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED EXCHANGE RULE 208 AND ARTICLE V, SECTION 4(H) OF THE EXCHANGE CONSTITUTION IN THAT THE FIRM DID NOT AGGREGATE MULTIPLE ODD-LOT ORDERS ENTERED BY A CUSTOMER THROUGH THE FIRM'S PER CONNECTION TO THE EXCHANGE FLOOR. IT WAS FURTHER ALLEGED THAT THE FIRM DID NOT HAVE REASONABLE POLICIES OR PROCEDURES IN PLACE TO DETECT OR PREVENT THIS VIOLATION FROM OCCURRING. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 11/14/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND A $30,000 FINE. ****** REGULATORY ACTION (23 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/2003 Initiated By: NASD Date initiated: 10/31/2003 Docket/ Case Number: CMS030251 Allegations: NASD CONDUCT RULES 2110, 2860(B)(5)(A), 2860(B)(3)(A)(V), AND 3010 - RESPONDENT MEMBER ("FIRM') FAILED TO FILE WITH NASD A REPORT WITH RESPECT TO EACH ACCOUNT WHICH HAD ESTABLISHED AN AGGREGATE POSITION OF 200 OR MORE CONVENTIONAL OPTION CONTRACTS (WHETHER LONG OR SHORT) OF THE PUT CLASS AND CALL CLASS ON THE SAME SIDE OF THE MARKET COVERING THE SAME UNDERLYING SECURITY OR INDEX. IN CONNECTION WITH THE FACILITATION OF AN OTC COLLAR TRANSACTION FOR A CUSTOMER, FIRM ESTABLISHED A SHORT STOCK POSITION IN AN EQUITY SECURITY IN COMPLIANCE WITH NASD RULE 2860(B)(3)(A)(V). THEREAFTER, FIRM FAILED TO MAINTAIN THE SIZE OF ITS SHORT STOCK POSITION IN THE SECURITY IN COMPLIANCE WITH NASD RULE 2860(B)(3)(A)(V). IN ADDITION, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING THE REPORTING OF OPTIONS POSITIONS TO NASD. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR: (1) THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE FOR MONITORING WITH RESPECT TO THE APPLICABLE RULES; (2) A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKE BY THE IDENTIFIED PERSON(S); (3) A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND (4) A STATEMENT AS TO HOW THE COMPLETION OF THE STEP(S) INCLUDE IN THE WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 NASD BrokerCheck October 17, 2005 Page 28 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, FIRM IS CENSURED, FINED $12,500, AND REQUIRED TO UNDERTAKE TO REVISE THE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING THE REPORTING OF OPTIONS POSITIONS TO NASD WITHIN 30 DAYS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/04/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/31/2003 Docket/ Case Number: CMS030251 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULES 2110, 2860(B)(5)(A), 2860(B)(A)(V) AND 3010 IN THAT IT FAILED TO FILE A REPORT WITH THE NASD WITH RESPECT TO EACH ACCOUNT WHICH HAD ESTABLISHED AN AGGREGATE POSITION OF 200 OR MORE CONVENTIONAL OPTION CONTRACTS ON THE SAME SIDE OF THE MARKET COVERING THE SAME UNDERLYING SECURITY OR INDEX. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Other Sanctions: UNDERTAKING Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $12,500 FINE. IN ADDITION TO THE MONETARY PENALTY, THE FIRM AGREED TO AN UNDERTAKING IN WHICH IT WOULD REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE LAWS AND REGULATIONS CONCERNING THE REPORTING OF OPTION CONTRACTS TO THE NASD WITHIN 30 DAYS. ****** REGULATORY ACTION (24 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/30/2003 Initiated By: NASD Date initiated: 09/19/2003 Docket/ Case Number: CMS030215 Allegations: NASD CONDUCT RULE 3320, NASD MARKETPLACE RULE 4613(B), AND SEC RULE 11AC1-1 - RESPONDENT MEMBER ("FIRM") WAS A MARKET MAKER IN SECURITIES, AND AN ORDER WAS PRESENTED TO THE FIRM AT THE FIRM'S PUBLISHED BID OR PUBLISHED OFFER IN AN AMOUNT UP TO ITS PUBLISHED QUOTATION SIZE. THE FIRM FAILED TO EXECUTE THE ORDERS UPON PRESENTMENT AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/19/2003 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 17, 2005 Page 29 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $6,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $6,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/04/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/19/2003 Docket/ Case Number: CMS030215 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULES 3320, NASD MARKETPLACE RULE 4613(B) AND SEC RULE 11AC1-1, IN THAT IT FAILED TO HONOR ITS PUBLISHED QUOTATION FOR SPECIFIC TRANSACTIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/13/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $6,000.00 Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $6,000 FINE. ****** REGULATORY ACTION (25 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/03/2003 Initiated By: NASD Date initiated: 08/27/2003 Docket/ Case Number: CMS030195 Allegations: NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULE 6620(A) - RESPONDENT MEMBER ("FIRM") FAILED, WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT THROUGH ACT LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES, AND FAILED TO DESIGNATE THROUGH ACT SUCH LAST SALE REPORTS AS LATE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/27/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $8,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 30 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 10/21/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/27/2003 Docket/ Case Number: CMS030195 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULE 6620 IN THAT IT FAILED TO TIMELY TRANSMIT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") CERTAIN LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES, AND FAILED TO DESIGNATE THROUGHT ACT SUCH LAST SALE REPORTS AS LATE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/27/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $8,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO A AWC AND AGREED TO A CENSURE AND A $8000.00 FINE. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO A AWC AND AGREED TO A CENSURE AND A $8000.00 FINE. ****** REGULATORY ACTION (26 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/14/2003 Initiated By: UTAH DIVISION OF SECURITIES Date initiated: 10/09/2002 Docket/ Case Number: SD-02-0083 Allegations: RESEARCH ANALYSTS CONFLICTS OF INTEREST Current Status: Final Resolution: Order Resolution Date: 10/09/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $500,000.00 Other Sanctions: PLEASE VISIT THE DIVISION'S WEB SITE AT: HTTP://WWW.SECURITIES.STATE.UT.US/ACTIONSEVENTS.ASP?DOCKET+NUMB ER=SD%2D02%2D0083 Resolution Details: PLEASE VISIT THE DIVISION'S WEB SITE AT: HTTP://WWW.SECURITIES.STATE.UT.US/ACTIONSEVENTS.ASP?DOCKET+NUMB ER=SD%2D02%2D0083 Summary: TO VIEW THE CONSENT ORDER IN ITS ENTIRETY,PLEASE VISIT THE DIVISION'S WEB SITE AT: HTTP://WWW.SECURITIES.STATE.UT.US/ACTIONSEVENTS.ASP?DOCKET+NUMB ER=SD%2D02%2D0083 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2004 Initiated By: UTAH DIVISION OF SECURITIES Date initiated: 10/09/2002 NASD BrokerCheck October 17, 2005 Page 31 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: SD-02-0083 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 10/09/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $500,000.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES. Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF UTAH IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF UTAH DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (27 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/30/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/23/2003 Docket/ Case Number: CMS030142 Allegations: NASD CONDUCT RULES 2110, 2320(G), 3010 AND 3110(B)(2), AND SEC RULE 11AC1-4 - RESPONDENT MEMBER ("FIRM"), IN CONNECTION WITH SEVEN TRANSACTIONS IN NON-NASDAQ SECURITIES, FAILED TO CONTACT AND OBTAIN QUOTATIONS FROM DEALERS TO DETERMINE THE BEST INTER-DEALER MARKET FOR EACH SUBJECT SECURITY. IN ADDITION, THE FIRM FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH FIRM?S BID OR OFFER IN EACH SUCH SECURITY. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING OBTAINING AND DOCUMENTING QUOTATIONS IN NON-NASDAQ SECURITIES. SPECIFICALLY, FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR: (1) THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE FOR SUPERVISION WITH RESPECT TO THE APPLICABLE RULES; (2) A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKE BY THE IDENTIFIED PERSON(S); (3) A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND (4) A STATEMENT AS TO HOW THE COMPLETION OF THE STEP(S) INCLUDE IN THE WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Other Sanctions: UNDERTAKING Resolution NASD BrokerCheck October 17, 2005 Page 32 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $12,500, AND REQUIRED TO UNDERTAKE TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING OBTAINING AND DOCUMENTING QUOTATIONS IN NON-NASDAQ SECURITIES WITHIN 30 DAYS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/17/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/23/2003 Docket/ Case Number: CMS030142 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD RULES 2110, 2320(G), 3010 AND 3110(B)(2), AND SEC RULE 11AC1-4 IN THAT IT FAILED TO DETERMINE THE BEST INTER-DEALER MARKET IN CONNECTION WITH SEVEN TRANSACTIONS IN NON-NASDAQ SECURITIES. IT WAS FURTHER ALLEGED THAT THE FIRM FAILED TO IMMEDIATELY DISPLAY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION. FURTHER, THE FIRM'S SUPERVISORY SYSTEM WAS NOT ADEQUATE TO ACHIEVE COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS CONCERNING OBTAINING AND DOCUMENTING QUOTATIONS IN NON-NASDAQ SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $12,500.00 Other Sanctions: UNDERTAKING. Resolution Details: SEE FIELD 13. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $12,500 FINE. IN ADDITION, THE FIRM AGREED TO AN UNDERTAKING TO REVISE ITS SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE LAWS AND REGULATIONS CONCERNING OBTAINING AND DOCUMENTING QUOTATIONS IN NON-NASDAQ SECURITIES WITHIN 30 DAYS. ****** REGULATORY ACTION (28 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/14/2003 Initiated By: CONNECTICUT Date initiated: 09/30/2002 Docket/ Case Number: CO-2002-6590-S Allegations: IN ENTERING THE 9/30/2002 CONSENT ORDER, THE CONNECTICUT BANKING COMMISSIONER ALLEGED THAT THE FIRM HAD ENGAGED IN DISHONEST OR UNETHICAL BUSINESS PRACTICES IN CONJUNCTION WITH ITS SECURITIES RESEARCH ACTIVITIES. Current Status: Final Resolution: Consent Resolution Date: 09/30/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $525,000.00 NASD BrokerCheck October 17, 2005 Page 33 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Other Sanctions: PURSUANT TO THE CONSENT ORDER, THE FIRM AGREED TO PAY $567,346 TO THE DEPARTMENT. OF THAT AMOUNT, $525,000 CONSTITUTED AN ADMINISTRATIVE FINE AND $42,346 REPRESENTED REIMBURSEMENT FOR THE AGENCY'S LEGAL AND INVESTIGATIVE COSTS. THE CONSENT ORDER ALSO DIRECTED THE FIRM TO IMPLEMENT SPECIFIC REMEDIAL MEASURES, INCLUDING ENHANCED DISCLOSURE OF UNDERWRITING COMPENSATION RELATING TO ENTITIES COVERED BY RESEARCH REPORTS; DIVORCING RESEARCH ANALYST EVALUATIONS FROM INVESTMENT BANKING CONSIDERATIONS; ESTABLISHING A RESEARCH RECOMMENDATIONS COMMITTEE TO ENSURE THAT EQUITY RESEARCH RECOMMENDATIONS WERE OBJECTIVE; MONITORING ELECTRONIC COMMUNICATIONS BETWEEN INVESTMENT BANKERS AND EQUITY RESEARCH ANALYSTS; PROHIBITING ANALYSTS FROM IMPLYING THAT THERE WOULD BE A QUID PRO QUO FOR INVESTMENT BANKING TRANSACTIONS AWARDED TO THE FIRM; AND THE DESIGNATION OF AN EMPLOYEE TO ACT AS COMPLIANCE MONITOR TO ENSURE COMPLIANCE WITH THE POLICIES REFLECTED IN THE CONSENT ORDER. Resolution Details: SEE ABOVE. Summary: SEE ABOVE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2004 Initiated By: CONNECTICUT BANKING AUTHORITY Date initiated: 09/30/2002 Docket/ Case Number: CO-2002-6590-S Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 09/30/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $525,000.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES. Resolution Details: PLEASE REFER TO ITEM 13 BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF CONNECTICUT IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF CONNECTICUT DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (29 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/30/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 04/21/2003 Docket/ Case Number: HPD#: 03-67 Allegations: **4/21/2003**STIPULATION AND CONSENT TO PENALTY EXECUTED AND SENT TO HEARING BOARD WITH THE FOLLOWING FINDINGS: THE FIRM:(1)VIOLATED SECTIONS 15(C)(1) AND 15(C)(2) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 15C1-2 THEREUNDER, AND EXCHANGE RULES 476(A)(6), 401 AND 472, BY ISSUING RESEARCH REPORTS ON GOTO AND INFOSPACE THAT WERE MATERIALLY MISLEADING NASD BrokerCheck October 17, 2005 Page 34 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) BECAUSE THEY WERE CONTRARY TO MERRILL LYNCH RESEARCH ANALYSTS; PRIVATELY EXPRESSED NEGATIVE VIEWS, RESULTING IN THE FIRM EFFECTING TRANSACTIONS IN, OR INDUCING THE PURCHASE OR SALE OF, SECURITIES BY MEANS OF ACTS DEEMED TO BE MANIPULATIVE, DECEPTIVE OR OTHERWISE FRAUDULENT DEVICES OR CONTRIVANCES.(2)VIOLATED EXCHANGE RULE 476(A)(6) BY ENGAGING IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY:A.ENGAGING IN ACTS AND PRACTICES THAT CREATED OR MAINTAINED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKING OVER RESEARCH ANALYSTS, THEREFORE IMPOSING CONFLICTS OF INTEREST ON ITS RESEARCH ANALYSTS, AND FAILING TO MANAGE THESE CONFLICTS IN AN ADEQUATE OR APPROPRIATE MANNER; AND B.ISSUING RESEARCH REPORTS ON 24/7 MEDIA, INC., LIFEMINDERS, INC., HOMESTORE.COM,INC., EXCITE@HOME, AND INTERNET CAPITAL GROUP THAT WERE AFFECTED BY THE CONFLICTS OF INTEREST IMPOSED ON ITS RESEARCH ANALYSTS AS DESCRIBED ABOVE. **CONTINUED AT #12C** Current Status: Final Resolution: Decision Resolution Date: 05/23/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $200,000,000.00 Other Sanctions: CONSENT TO CENSURE, A TOTAL PAYMENT OF $200,000,000 AND AN UNDERTAKING Resolution Details: **4/22/03**VIOLATED SEA SECTIONS 15(C)(1) AND 15(C)(2), SEC RULE 15C1-2 AND EXCHANGE RULES 476 (A)(6), 401 AND 472 BY ISSUING CERTAIN RESEARCH REPORTS THAT WERE MATERIALLY MISLEADING BECAUSE THEY WERE CONTRARY TO MERRILL LYNCH RESEARCH ANALYSTS PRIVATELY EXPRESSED VIEWS RESULTING IN THE FIRM EFFECTING TRANSACTIONS IN OR INDUCING THE PURCHASE OR SALE OF SECURITIES BY MANIPULATIVE, DECEPTIVE OR OTHERWISE FRAUDULENT DEVICES; VIOLATED EXCHANGE RULES 476(A)(6) AND 401 BY ENGAGING IN ACTS AND PRACTICES THAT CREATED OR MAINTAINED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKING OVER RESEARCH ANALYSTS, THEREFORE IMPOSING CONFLICTS OF INTEREST ON ITS RESEARCH ANALYSTS, BY FAILING TO MANAGE THESE CONFLICTS, AND BY ISSUING CERTAIN RESEARCH REPORTS THAT WERE AFFECTED BY THE CONFLICTS OF INTEREST; VIOLATED EXCHANGE RULE 472 BY ISSUING CERTAIN RESEARCH REPORTS THAT CONTAINED RECOMMENDATIONS AND/OR RATINGS THAT WERE EXAGGERATED OR UNWARRANTED AND/OR CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS; AND VIOLATED EXCHANGE RULE 342 BY FAILING TO ESTABLISH AND MAINTAIN POLICIES FOR SUPERVISION, SYSTEMS, AND PROCEDURES AND CONTROL OF ITS RESEARCH AND INVESTMENT BANKING DEPARTMENTS CONSENT TO CENSURE, A TOTAL PAYMENT OF $200,000,000 AND AN UNDERTAKING. Summary: **5/23/03**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT: EVELYN PENA 212-656-5211 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/23/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. #187 Date initiated: 04/22/2003 Docket/ Case Number: EXCHANGE HEARING PANEL DECISION 03-67. Allegations: THE NYSE ALLEGED, AND MLPFS NEITHER ADMITTED NOR DEINED THE ALLEGATIONS, THAT MLPFS VIOLATED SECTION 15(C) OF THE EXCHANGE ACT AND RULE 15C1-2 THERUNDER, AS WELL AS NYSE RULE 342,401,472 AND 476 IN CONNECTION WITH ITS INVESTIGATION INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 05/19/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $100,000,000.00 Other Sanctions: COMPLIANCE WITH CERTAIN UNDERTAKINGS. NASD BrokerCheck October 17, 2005 Page 35 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: PURSUANT TO THE TERMS OF THE SETTLEMENT, AN NYSE HEARING PANEL ACCEPTED A STIPULATION AND CONSENT ENTERED INTO BETWEEN THE NYSE DIVISION OF ENFORCEMENT AND MLPFS WHEREBY MLPFS, WITHOUT ADMITTING OR DENYING THE NYSE'S ALLEGATIONS, CONSENTED TO A CENSURE. IN ADDITION, MLPFS AGREED TO A PAYMENT OF: (I) $100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE STATE OF NEW YORK AND OTHER STATES; (II) $75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (III) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. Summary: AS PART OF A JOINT SETTLEMENT WITH THE SEC, THE NASD AND THE NYSE ARISING FROM A JOINT INVESTIGATION BY THE SEC, THE NASD AND THE NYSE INTO RESEARCH ANALYSTS CONFLICTS OF INTERST, MLPFS ENTERED INTO A SETTLEMENT WITH THE NYSE. PURSUANT TO THE TERMS OF THE SETTLEMENT, WITH THE NYSE, AN NYSE HEARING PANEL ACCEPTED A STIPULATION AND CONSENT ENTERED INTO BETWEEN THE NYSE DIVISION OF ENFORCEMENT AND MLPFS WHEREBY MLPFS, WITHOUT ADMITTING OR DENYING THE NYSE'S ALLEGATIONS, CONSENTED TO A CENSURE. IN ADDITION, MLPFS AGREED TO A PAYMENT OF: (I) $100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE STATE OF NEW YORK AND OTHER STATES; (II) $75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (III) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. MLPFS ALSO AGREED TO COMPLY WITH CERTAIN UNDERTAKINGS. SIMILAR DISCLOSURE HAS BEEN MADE WITH RESPECT TO THE DETAILS OF THE RELATED SETTLEMENTS WITH THE SEC AND THE NASD ARISING FROM THE JOINT INVESTIGATION. ****** REGULATORY ACTION (30 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/01/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/28/2003 Docket/ Case Number: CMS030108 Allegations: NASD CONDUCT RULES 2110 AND 3010, NASD MARKETPLACE RULE 6740, AND SEC RULE 15C2-11 ? RESPONDENT MEMBER ("FIRM") PUBLISHED QUOTATIONS FOR A COMPANY, AN OTC EQUITY SECURITY, OR, DIRECTLY OR INDIRECTLY, SUBMITTED SUCH QUOTATIONS FOR PUBLICATION, IN A QUOTATION MEDIUM AND: (I) DID NOT HAVE IN ITS RECORDS THE DOCUMENTATION REQUIRED BY SEC RULE 15C2-11(A); (II) DID NOT HAVE A REASONABLE BASIS UNDER THE CIRCUMSTANCES FOR BELIEVING THAT THE INFORMATION WAS ACCURATE IN ALL MATERIAL RESPECTS; OR (III) DID NOT HAVE A REASONABLE BASIS UNDER THE CIRCUMSTANCES FOR BELIEVING THAT THE SOURCES OF THE INFORMATION WERE RELIABLE. THE QUOTATIONS DID NOT REPRESENT A CUSTOMER'S INDICATION OF UNSOLICITED INTEREST. THE FIRM, FOR EACH QUOTATION, FAILED TO FILE A FORM 211 WITH NASD AT LEAST THREE BUSINESS DAYS BEFORE THE FIRM'S QUOTATIONS WERE PUBLISHED OR DISPLAYED IN A QUOTATION MEDIUM. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING SEC RULE 15C2-11 AND NASD MARKETPLACE RULE 6740. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR (I) THE IDENTIFICATION OF THE PERSON(S) RESPONSIBLE FOR SUPERVISION WITH RESPECT TO THE APPLICABLE RULES; (II) A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKE BY THE IDENTIFIED PERSON(S); (III) A STATEMENT AS TO HOW OFTEN SUCH PERSON(S) SHOULD TAKE SUCH STEP(S); AND (IV) A STATEMENT AS TO HOW THE COMPLETION OF THE STEP(S) INCLUDE IN THE WRITTEN SUPERVISORY PROCEDURES SHOULD BE DOCUMENTED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 17, 2005 Page 36 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $10,000.00 Other Sanctions: UNDERTAKING. Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $10,000, AND REQUIRED TO UNDERTAKE TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING THE SEC RULE15C2-11 AND NASD MARKETPLACE RULE 6740 WITHIN 30 DAYS. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/27/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/28/2003 Docket/ Case Number: CMS030108 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULES 2110 AND 3010, NASD MARKETPLACE RULE 6740, AND SEC RULE 15C2-11 AFTER THE NASD CONDUCTED A REVIEW OF THE FIRM'S QUOTING ACTIVITY ON A SPECIFIC DATE FOR A SPECIFIED OTC SECURITY. IT WAS FURTHER ALLEGED THAT THE FIRM'S SUPERCISORY SYSTEM DID NOT PROVIDE FOR ADEQUATE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING SEC RULE 15C2-11 AND NASD MARKETPLACE RULE 6740. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/28/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Other Sanctions: UNDERTAKING Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $10,000 FINE. IN ADDITION, THE FIRM AGREED TO AN UNDERTAKING IN WHICH IT WILL REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE SECURITES LAWS AND REGULATIONS CONCERNING SEC RULE 15C2-11 AND NASD MARKETPLACE RULE 6740 WITHIN 30 DAYS. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $10,000 FINE. IN ADDITION, THE FIRM AGREED TO AN UNDERTAKING IN WHICH IT WILL REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE APPLICABLE SECURITES LAWS AND REGULATIONS CONCERNING SEC RULE 15C2-11 AND NASD MARKETPLACE RULE 6740 WITHIN 30 DAYS. ****** REGULATORY ACTION (31 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/29/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/21/2003 Docket/ Case Number: CMS030093 Allegations: NASD CONDUCT RULE 2110, AND NASD MARKETPLACE RULE 6955(A) - RESPONDENT MEMBER REPORTED TO OATS EXECUTION REPORTS THAT CONTAINED EITHER INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. SPECIFICALLY, THE REPORTS FAILED TO MATCH TO AN ACT TRADE REPORT. RESPONDENT MEMBER ALSO TRANSMITTED TO OATS REPORTS CONTAINING INACCURATE DATA AS TO THE: (1) RECEIVING TERMINAL ID; (2) RECEIVING DEPARTMENT ID; AND (3) NASD BrokerCheck October 17, 2005 Page 37 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ORIGINATING DEPARTMENT ID. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/21/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $10,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/20/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/21/2003 Docket/ Case Number: CMS030093 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 AND NASD MARKETPLACE RULE 6955 IN THAT THE FIRM REPORTED EXECUTION REPORTS TO ORDER AUDIT TRAIL ("OATS") THAT FAILED TO MATCH TO AN ACT TRADE REPORT. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/21/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: SEE FIELD 13 Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $10,000 FINE. ****** REGULATORY ACTION (32 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/29/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/21/2003 Docket/ Case Number: CMS030090 Allegations: NASD MARKETPLACE RULE 4613(E)(1)(C) - RESPONDENT MEMBER, A MARKET MAKER IN SECURITIES, WAS A PARTY TO A LOCKED OR CROSSED MARKET CONDITION PRIOR TO THE MARKET OPENING AND RECEIVED A TRADE-OR-MOVE MESSAGE IN EACH INSTANCE THROUGH SELECTNET AND WITHIN 30 SECONDS OF RECEIVING SUCH MESSAGES, FAILED TO FILL THE INCOMING TRADE-OR-MOVE MESSAGE FOR THE FULL SIZE OF THE MESSAGE OR MOVE ITS BID DOWN (OFFER UP) BY A QUOTATION INCREMENT THAT WOULD HAVE UNLOCKED/UNCROSSED THE MARKET. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/21/2003 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 17, 2005 Page 38 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $15,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $15,000. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/20/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/21/2003 Docket/ Case Number: CMS030090 Allegations: IT WAS ALLEGED THAT ON SPECIFIC DAYS, MERRILL LYNCH WAS A PARTY TO LOCKED/CROSSED MARKET CONDITION PRIOR TO THE MARKET OPENING AND RECEIVED A TRADE-OR-MOVE MESSAGE IN EACH INSTANCE THROUGH SELECTNET. WITHIN 30 SECONDS OF RECEIVING THE MESSAGES, THE FIRM FAILED TO FILL THE INCOMING TRADE-OR-MOVE MESSAGE FOR THE FULL SIZE OF THE MESSAGE OR MOVE DOWN ITS BID OFFER BY A QUOTATION INCREMENT THAT WOULD HAVE UNLOCKED/UNCROSSED THE MARKET. THE ALLEGED CONDUCT CONSTITUTES VIOLATIONS OF NASD MARKETPLACE RULE 4613 (E)(1)(C). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/21/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: SEE FIELD 13 Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND FINE OF $15,000. ****** REGULATORY ACTION (33 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/28/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/24/2003 Docket/ Case Number: CAF030028 Allegations: NASD CONDUCT RULES 2110, 2210(D)(1), 2210(D)(2) AND 3010, AND SECTION 15 ( C) OF THE SECURITIES EXCHANGE ACT, RULE 15C1-2 THEREUNDER - RESPONDENT MEMBER PUBLISHED RESEARCH REPORTS ON INTERNET COMPANIES THAT WERE MATERIALLY MISLEADING BECAUSE THEY WERE CONTRARY TO THE FIRM RESEARCH ANALYSTS? PRIVATELY EXPRESSED NEGATIVE VIEWS, AS A RESULT THE FIRM EFFECTED TRANSACTIONS IN, OR INDUCED THE PURCHASE OR SALE OF, SECURITIES BY MEANS OF ACTS DEEMED TO BE MANIPULATIVE, DECEPTIVE OR OTHERWISE FRAUDULENT DEVICES OR CONTRIVANCES IN VIOLATION OF SEC AND NASD RULES; ISSUED RESEARCH REPORTS ON INTERNET COMPANIES THAT WERE NOT BASED ON PRINCIPLES OF FAIR DEALING AND GOOD FAITH AND DID NOT PROVIDE A SOUND BASIS FOR EVALUATING FACTS, CONTAINED EXAGGERATED OR UNWARRANTED CLAIMS ABOUT THESE COMPANIES, AND/OR CONTAINED OPINIONS FOR WHICH THERE WAS NO REASONABLE BASIS; ENGAGED IN ACTS AND PRACTICES THAT CREATED OR MAINTAINED INAPPROPRIATE INFLUENCE BY INVESTMENT BANKING OVER RESEARCH ANALYST, THEREBY IMPOSING CONFLICT OF INTEREST ON ITS RESEARCH ANALYSTS; FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF EACH REGISTERED REPRESENTATIVE AND ASSOCIATED PERSON THAT IS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND WITH NASD RULES. NASD BrokerCheck October 17, 2005 Page 39 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/24/2003 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Censure Monetary Amount: $100,000,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT MEMBER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $200,000.000, AS SPECIFIED IN THE FINAL JUDGMENT ORDERED IN A RELATED ACTION FILED BY THE SECURITIES AND EXCHANGE COMMISSION AS FOLLOWS: $100,000,000 AS A FINE, $75,000,000, TO BE USED FOR PROCUREMENT OF INDEPENDENT RESEARCH, $25,000,000, TO BE USED FOR INVESTOR EDUCATION. THE MONETARY SANCTIONS IMPOSED BY NASD SHALL BE REDUCED BY THE AMOUNTS PAID BY RESPONDENT MEMBER PURSUANT TO THE FINAL JUDGMENT. Summary: RESPONDENT AGREES THAT IT SHALL NOT SEEK OR ACCEPT, DIRECTLY OR INDIRECTLY, REIMBURSEMENT OR INDEMNIFICATION, INCLUDING BUT NOT LIMITED TO PAYMENT MADE PURSUANT TO ANY INSURANCE POLICY, WITH REGARD TO ANY FINE/PENALTY AMOUNTS THAT RESPONDENT SHALL PAY PURSUANT TO SECTION II OF THE FINAL JUDGMENT, REGARDLESS OF WHETHER SUCH FINE/PENALTY AMOUNTS OR ANY PART THEREOF ARE ADDED TO THE DISTRIBUTION FUND ACCOUNT OR OTHERWISE USED FOR THE BENEFIT OF INVESTORS. RESPONDENT FURTHER AGREES THAT IT SHALL NOT CLAIM, ASSET, OR APPLY FOR A TAX DEDUCTION OR TAX CREDIT WITH REGARD TO ANY FEDERAL, STATE, OR LOCAL TAX FOR ANY FINE/PENALTY AMOUNTS THAT RESPONDENT SHALL PAY PURSUANT TO SECTION II OF THE FINAL JUDGMENT, REGARDLESS OF WHETHER SUCH FINE/PENALTY AMOUNTS OR ANY PART THEREOF ARE ADDED TO THE DISTRIBUTION FUND ACCOUNT OR OTHERWISE USED FOR THE BENEFIT OF INVESTORS. RESPONDENT UNDERSTANDS AND ACKNOWLEDGES THAT THESE PROVISIONS ARE NOT INTENDED TO IMPLY THAT NASD WOULD AGREE THAT ANY OTHER AMOUNTS RESPONDENT SHALL PAY PURSUANT TO THE FINAL JUDGMENT MAY BE REIMBURSED OR INDEMNIFIED (WHETHER PURSUANT TO AN INSURANCE POLICY OR OTHERWISE) UNDER APPLICABLE LAW OR MAY BE THE BASIS FOR ANY TAX DEDUCTION OR TAX CREDIT WITH REGARD TO ANY FEDERAL, STATE, OR LOCAL TAX. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 05/23/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. #186 Date initiated: 04/24/2003 Docket/ Case Number: CAF0300028 Allegations: THE NASD ALLEGED, AND MLPFS NEITHER ADMITTED NOR DENIED THE ALLEGATIONS, THAT MLPFS VIOLATED SECTION 15(C) OF THE EXCHANGE ACT AND RULE 15C1-2 THEREUNDER, AS WELL AS NASD RULE 2110, 2210 AND 3010 IN CONNECTION WITH ITS INVESTIGATION INTO RESEARCH ANALYST CONFLICTS OF INTEREST. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/24/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $100,000,000.00 Resolution Details: PURSUANT TO THE TERMS OF THE SETTLEMENT, MLPFS SUBMITTED, AND THE NASD ACCEPTED, A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHEREBY MLPFS, WITHOUT ADMITTING OR DENYING THE NASD'S ALLEGATIONS, CONSENTED TO A CENSURE. IN ADDITION, MLPFS AGREED TO A PAYMENT OF: (I)$100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE NEW YORK AND OTHERE STATES (II) 75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (II) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. NASD BrokerCheck October 17, 2005 Page 40 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: AS PART OF A JOINT SETTLEMENT WITH THE SEC, THE NASD AND THE NYSE ARISING FROM A JOINT INVESTIGATION BY THE SEC, THE NASD AND THE NYSE INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST, MLPFS ENTERED INTO A SETTLEMENT WITH THE NASD. PURSUANT TO THE TERMS OF THE SETTLEMENT WITH THE NASD, MLPFS SUBMITTED, AND THE NASD ACCEPTED, A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WHEREBY MLPFS, WITHOUT ADMITTING OR DENYING THE NASD'S ALLEGATIONS, CONSENTED TO A CENSURE. IN ADDITION, MLPFS AGREED TO A PAYMENT OF (I) $100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE STATE OF NEW YORK AND OTHER STATES (II) $75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (III) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. MLPFS ALSO AGREED TO COMPLY WITH CERTAIN UNDERTAKINGS. SIMILAR DISCLOSURE HAS BEEN MADE WITH RESPECT TO THE DETAILS OF THE RELATED SETTLEMENTS WITH THE SEC AND NYSE ARISING FROM THE JOINT INVESTIGATION. ****** REGULATORY ACTION (34 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/24/2003 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 11/04/2002 Docket/ Case Number: CO-2002-0028 Allegations: MERRILL LYNCH ANALYSTS DEVELOPED A PATTERN OF PRACTICE IN WHICH RATINGS AND RESEARCH REPORTS WERE MISREPRESENTED TO THE PUBLIC. THE ANALYSTS PUBLICLY TOUTED THE STOCK WHILE PRIVATELY DENOUNCING THE STOCK. ON NOVEMBER 4, 2002, A CONSENT ORDER WAS ISSUED TO MERRILL LYNCH WHO CONSENTED TO THE ENTRY OF THE ADMINISTRATIVE ORDER ON THAT SAME DATE. Current Status: Final Resolution: Consent Resolution Date: 11/04/2002 Sanctions Ordered: Resolution Details: CO-2002-0028 ISSUED 11-4-02. Summary: CO-2002-0028 ISSUED 11-4-02. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2004 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 11/04/2002 Docket/ Case Number: CO-2002-0028 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Consent Resolution Date: 11/04/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $740,429.50 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES. Resolution NASD BrokerCheck October 17, 2005 Page 41 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Details: PLEASE REFER TO ITEM 13 BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF ALABAMA IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF ALABAMA DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (35 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/21/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 04/16/2003 Docket/ Case Number: HPD#: 03-99 Allegations: **4/16/03**STIPULATION OF FACTS AND CONSENT TO PENALTY FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING. CONSENTED TO FINDINGS THAT IT:1.VIOLATED EXCHANGE RULE 342(A) AND (B) IN THAT IT FAILED TO REASONABLY DISCHARGE ITS DUTIES AND OBLIGATIONS IN CONNECTION WITH SUPERVISION AND CONTROL OF AND PROVIDING SEPARATE SYSTEMS OF FOLLOW-UP AND REVIEW WITH RESPECT TO CERTAIN OF ITS BUSINESS ACTIVITIES BY FAILING TO ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES AND SYSTEMS NECESSARY TO ADEQUATELY SUPERVISE THE FOLLOWING: A.OBTAINING AND REVIEWING CUSTOMER NEW ACCOUNT FORMS;B.MONITORING ACTIVITY IN CERTAIN OF THE FIRM’S CUSTOMER ACCOUNTS; C.REVIEWING ACTIVELY TRADED CUSTOMER ACCOUNTS;D.PROPERLY REVIEWING ACCOUNTS FOR UNAPPROVED DISCRETIONARY TRADING;E.SUITABILITY OF INVESTMENTS IN CERTAIN OF THE FIRM’S CUSTOMER ACCOUNTS;F.ADEQUATELY FOLLOWING UP ON COMPLIANCE VISIT FINDINGS IN THE FIRM’S WINTER PARK, FLORIDA OFFICE SO THAT CORRECTIVE ACTIONS WERE TAKEN; AND G.TIMELY ALLOCATING BLOCK ORDERS IN CERTAIN CUSTOMER ACCOUNTS.2.VIOLATED EXCHANGE RULE 405 IN THAT THE FIRM FAILED TO LEARN THE ESSENTIAL FACTS RELATIVE TO CERTAIN OF ITS CUSTOMERS.3.VIOLATED EXCHANGE RULE 440 AND SEC RULES 17A-3 AND 17A-4 BECAUSE CERTAIN INFORMATION ON ITS BOOKS AND RECORDS CONCERNING CUSTOMER ACCOUNTS WAS INACCURATE.STIPULATED SANCTION:CENSURE AND FINE IN THE AMOUNT OF $900,000. Current Status: Final Resolution: Decision Resolution Date: 07/11/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $900,000.00 Resolution Details: **6/13/03**DECISION NO. 03-99 ISSUED BY NYSE HEARING PANEL. VIOLATED EXCHANGE RULE 342(A) AND (B) IN THAT THE FIRM FAILED TO REASONABLY DISCHARGE ITS DUTIES AND OBLIGATIONS IN CONNECTION WITH SUPERVISION AND CONTROL OF AND PROVIDING SEPARATE SYSTEMS OF FOLLOW-UP AND REVIEW WITH RESPECT TO CERTAIN OF ITS BUSINESS ACTIVITIES BY FAILING TO ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES AND SYSTEMS NECESSARY TO ADEQUATELY SUPERVISE A NUMBER OF SPECIFIED MATTERS; VIOLATED EXCHANGE RULE 405 IN THE FIRM FAILED TO LEARN THE ESSENTIAL FACTS RELATIVE TO CERTAIN OF ITS CUSTOMERS; AND VIOLATED EXCHANGE RULE 440 AND SEC RULES 17A-3 AND 17A-4 BECAUSE CERTAIN INFORMATION ON ITS BOOKS AND RECORDS CONCERNING CUSTOMER ACCOUNTS WAS INACCURATE.MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CONSENTED TO A CENSURE AND $900,000 FINE. Summary: **7/11/2003**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.CONTACT:EVELYN PENA 212-656-5211 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/04/2004 NASD BrokerCheck October 17, 2005 Page 42 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 04/16/2003 Docket/ Case Number: HPD#: 03-99 Allegations: THE NYSE DIVISION OF ENFORCEMENT ALLEGED THAT MERRILL LYNCH VIOLATED EXCHANGE RULE 342(A) AND (B) IN THAT IT FAILED TO REASONABLY DISCHARGE ITS DUTIES AND OBLIGATIONS IN CONNECTION WITH SUPERVISION AND CONTROL OF AND PROVIDING SEPARATE SYSTEMS OF FOLLOW-UP AND REVIEW WITH RESPECT TO CERTAIN OF ITS BUSINESS ACTIVITIES BY FAILING TO ESTABLISH AND MAINTAIN APPROPRIATE PROCEDURES AND SYSTEMS NECESSARY TO ADEQUATELY SUPERVISE THE FOLLOWING: A) OBTAINING AND REVIEWING CUSTOMER NEW ACCOUNT FORMS; B.) MONITORING ACTIVITY IN CERTAIN OF THE FIRM?S WINTER PARK, FLORIDA OFFICE CUSTOMER ACCOUNTS; C) REVIEWING ACTIVELY TRADED CUSTOMER ACCOUNTS; D) PROPERLY REVIEWING ACCOUNTS FOR UNAPPROVED DISCRETIONARY TRADING; E) SUITABILITY OF INVESTMENTS IN CERTAIN OF THE FIRM WINTER PARK FLORIDA OFFICE CUSTOMER ACCOUNTS; F) ADEQUATELY FOLLOWING UP ON COMPLIANCE VISIT FINDINGS IN THE FIRMS WINTER PARK, FLORIDA OFFICE SO THAT CORRECTIVE ACTIONS WERE TAKEN; AND G) TIMELY ALLOCATING BLOCK ORDERS IN CERTAIN CUSTOMER ACCOUNTS. 2) VIOLATED EXCHANGE RULE 405 IN THAT THE FIRM FAILED TO LEARN THE ESSENTIAL FACTS RELATIVE TO CERTAIN OF ITS CUSTOMERS. 3) VIOLATED EXCHANGE RULE 440 AND SEC RULES 17A-3 AND 17A-4 BECAUSE CERTAIN INFORMATION ON ITS BOOKS AND RECORDS CONCERNING CUSTOMER ACCOUNTS WAS INACCURATE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/08/2003 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $900,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND A $900,000 FINE. Summary: PLEASE REFER TO ITEM 12C ABOVE. ****** REGULATORY ACTION (36 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/19/2003 Initiated By: FLORIDA Date initiated: 04/08/2002 Docket/ Case Number: 3513-S-7/02 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 10/22/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $2,662,560.00 Other Sanctions: NA Resolution Details: NA Summary: RESEARCH PRACTICES WERE IN QUESTION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2004 NASD BrokerCheck October 17, 2005 Page 43 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: THE STATE OF FLORIDA #181 Date initiated: 04/08/2002 Docket/ Case Number: 3513-S-7/02 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 10/22/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $2,662,560.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES Resolution Details: PLEASE SEE BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF FLORIDA IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF FLORIDA DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (37 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/18/2003 Initiated By: MINNESOTA OF COMMERCE Date initiated: 09/01/2002 Docket/ Case Number: SE22055819 Allegations: MERRILL LYNCH ADMITS THE JURISDICTION OF THE MN DEPT OF COMMERCE, AND NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, AND CONSENTS TO THE ENTRY OF THIS ORDER WITHOUT HEARING PROVIDED UNDER MN STAT 14.59(2000) & MN RULE 1400.5900(2001). MERRILL LYNCH ACKMOWLRDGES IT HAS BEEN ADVISED OF ITS RIGHT TO A HEARING IN THIS MATTER TO PROVIDE ARGUMENTS TO THE COMMISSIONER & TO APPEAL FROM ANY ADVERSE DETERMINATION AFTER A HEARING, & MERRILL LYNCH HEREBY EXPREELY WAIVES ITS RIGHTS. MERRILLL LYNCH AKNOWLEDGES IT HAS BEEN REPRESENTED BY LEGAL COUNSEL. THE COMMISSIONER HAD JURISDICATION OVER THIS MATTER,( MN STAT 45.011(2000)). Current Status: Final Resolution: Order Resolution Date: 12/20/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $819,899.00 Other Sanctions: IT IS HEREBY ORDERED THAT THIS ORDER CONCLUDES THE INVESTIGATION & ANY OTHER ACTIONS THAT THE DEPARTMENT COULD COMMENCE UNDER MN STAT 45(2000) ON BEHALF OF MINNESOTA AS IT RELATES TO MERRILL LYNCH, ITS AFFILIATES, CURRENT OR FORMER EMPLOYEES, OFFICERS & DIRECTORS OF MERRILL LYNCH RELATING TO RESEARCH PRACRICES AT MERRILL LYNCH & IS ENTERED INTO SOLELY FOR THE PURPOSE OF RESOLVING THE ONVESTIGATION, & IS NOT TO BE USED FOR ANY OTHER PURPOSE. Resolution Details: IT IS FURTHER ORDERED; MERRRILL LYNCH WILL COMPLY ALL APPROPRIATE PROVISIONS WITH MN STST 80A(2000) IN ITS ACTIVITIEAS AS BROKER DEALER IN MINNESOTA; AS OF THIS DATE NASD BrokerCheck October 17, 2005 Page 44 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) MERRILL LYNCH WILL STATE ON EACH MERRILL LYNCH GLOBAL EQUITY RESEARCH REPORT WHETHER MERRILL LYNCH REC'D OR IS ENTITLED T RECEIVE COMPENSATION OVER THE PAST 12 MONTHS, OR WHETHER MERRILL LYNCH IS ETITLED TO RECEIVE COMPENSATION FROM ANY PUBLICALY ANNOUNCED EQUITY UNDERWRITING OR MERGER & AQUISTITION. AS OF 7/8/2002, THE DISCLOSURES SHALL BE REPALCED WITH THE DISCLOSURES REQUIRED BY NYSE RULE 472(K)(1)(II) & NASD RULE 2711 (H) (2) (A)(II). Summary: CONTACT MN DEPT OF COMMERCE, ENFORCEMENT DIVISION (651-296-2488) TO REQUEST A COPY OF THE ORDER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/22/2003 Initiated By: MINNESOTA DEPARTMENT OF COMMERCE #184 Date initiated: 09/01/2002 Docket/ Case Number: SE22055819 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 12/20/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $819,899.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES Resolution Details: PLEASE SEE BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF MINNESOTA IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF MINNESOTA DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (38 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/06/2003 Initiated By: VIRGINIA - DIVISION OF SECURITIES Date initiated: 11/26/2002 Docket/ Case Number: SEC-2002-00028 Allegations: THIS MATTER SETTLED ISSUES REGARDING ANALYST RESEARCH PRACTICES. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 11/26/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,179,237.00 Other Sanctions: $1,179,237.00 FINE. Resolution Details: $1,179,237.00 NASD BrokerCheck October 17, 2005 Page 45 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: ADMINISTRATIVE FINE IN THE AMOUNT $1,179,237.00 WAS RECEIVED AS PART OF THE SETTLEMENT AGREEMENT MERRILL LYNCH ENTERED INTO WITH THE STATE OF NEW YORK'S ATTORNEY GENERAL'S OFFICE. ASSERTIONS WERE MADE REGARDING THE FIRM'S RESEARCH PRACTICES. AS A RESULT OF THE PROCEEDING, ALL FIFTY STATES, THE DISTRICT OF COLUMBIA AND THE COMMONWEALTH OF PUERTO RICO, THROUGH A COMMITTEE OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION NEGOTIATED AN AGREEMENT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2004 Initiated By: VIRGINIA DIVISION OF SECURITIES #183 Date initiated: 11/26/2002 Docket/ Case Number: SEC-2002-00028 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 11/26/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $1,179,237.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES Resolution Details: PLEASE SEE BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF VIRGINIA IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF VIRGINIA DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (39 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/03/2003 Initiated By: TEXAS Date initiated: 09/27/2002 Docket/ Case Number: SSB DKT NO 02-41, FIN-1486 Allegations: THIS MATTER SETTLED ISSUES REGARDING ANALYST RESEARCH PRACTICES. Current Status: Final Resolution: Settled Resolution Date: 11/26/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,473,787.00 Other Sanctions: COMPLIANCE WITH UNDERTAKING CONTAINED IN THE ORDER Resolution Details: ADMINISTRATIVE FINE IN AMOUNT OF $3,473,787 WAS PAID TO THE STATE OF TEXAS ON 11/26/2002. Summary: FINAL ORDER AND UNDERTAKING NASD BrokerCheck October 17, 2005 Page 46 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/22/2003 Initiated By: THE STATE OF TEXAS #185 Date initiated: 09/27/2002 Docket/ Case Number: SSB DKT NO 02-41, FIN-1486 Allegations: RESEARCH PRACTICES WERE IN QUESTION. Current Status: Final Resolution: Settled Resolution Date: 11/26/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $3,473,787.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES Resolution Details: PLEASE SEE BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF TEXAS IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF TEXAS DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (40 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/06/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/03/2002 Docket/ Case Number: CMS020227 Allegations: NASD RULE 2110 AND NASD MARKETPLACE RULE 6620(A)-WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, PIERCE, FENNER & SMITH INC. CONSENTED TO ENTRY OF FINDINGS THAT IT FAILED, WITHIN 90 SECONDS AFTER EXECUTION, TO TRANSMIT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") LAST SALES REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES. A NUMBER OF THE TRANSACTIONS CONSTITUTE 2.59% OF ALL TRANSACTIONS IN OTC EQUITY SECURITIES THAT RESPONDENT MEMBER WAS REQUIRED TO REPORT TO ACT DURING THE REVIEW PERIOD; ALSO FAILED TO DESIGNATE THROUGH ACT CERTAIN LAST SALES REPORTS AS LATE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/03/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: CENSURE AND $7500.00 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 47 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 01/02/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. #178 Date initiated: 12/03/2002 Docket/ Case Number: CMS020227 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 IN THAT IT FAILED TO TIMELY TRANSMIT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") CERTAIN LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/03/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: PLEASE SEE BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $7500 FINE. ****** REGULATORY ACTION (41 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/18/2002 Initiated By: PA SECURITIES COMMISSION CONTACT: MICHAEL BYRNE 717.783.5178 Date initiated: 09/24/2002 Docket/ Case Number: 2002-04-026 Allegations: RESPONDENT VIOLATED THE REGISTRATION PROVISIONS OF THE PENNSYLVANIA SECURITIES ACT OF 1972. Current Status: Final Resolution: Settled Resolution Date: 09/24/2002 Sanctions Ordered: Resolution Details: Summary: PENNSYLVANIA ISSUED AN ORDER TO RESPONDENT, ALLEGING, IF, IN A CONTESTED PROCEEDING UNDER THE 1972 ACT, IT WAS PROVEN THAT RESPONDENT ENGAGED IN ACTS AND CONDUCT WITH RESPECT TO RESEARCH PRACTICES AS DESCRIBED IN THE AFFIDAVIT OF ERIC R. DINALLO, ASSISTANT ATTORNEY GENERAL, FILED OF RECORD IN THE MATTER OF ELIOT SPITZER, PETITIONER, WITH REGARD TO ACTS AND PRACTICES OF MERRILL LYNCH & CO., INC., ET AL. RESPONDENTS, NY SUPREME COURT OF THE COUNTY OF NEW YORK, INDEX NO. 02/401522, RESPONDENT WOULD HAVE BEEN IN VIOLATION OF THE 1972 ACT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/22/2003 Initiated By: PENNSYLVANIA SECURITIES COMMISSION #182 Date initiated: 09/24/2002 Docket/ Case Number: 2002-04-026 Allegations: RESEARCH PRACTICES WERE IN QUESTION. NASD BrokerCheck October 17, 2005 Page 48 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Settled Resolution Date: 09/24/2002 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $2,045,949.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES Resolution Details: PLEASE SEE BELOW. Summary: THIS MATTER IS IN CONNECTION WITH THE $100 MILLION SETTLEMENT ENTERED INTO WITH THE NEW YORK STATE ATTORNEY GENERAL IN APRIL 2002 REGARDING THE FIRM'S RESEARCH PRACTICES. THE CONDITIONS OF THE FIRM'S SETTLEMENT WITH THE NEW YORK ATTORNEY GENERAL WERE DISCLOSED ON A FORM BD AMENDMENT FILED AT THE TIME OF THE SETTLEMENT. THE MONETARY FINE PAID TO THE STATE OF PENNSYLVANIA IS A PERCENTAGE OF THE $50 MILLION ALLOCATED TO THE REMAINING STATES. THIS PAYMENT TO THE STATE OF PENNSYLVANIA DOES NOT CONSTITUTE A SEPARATE PENALTY OR PROCEEDING. ****** REGULATORY ACTION (42 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/16/2002 Initiated By: PACIFIC EXCHANGE, INC. #177 Date initiated: 04/18/2002 Docket/ Case Number: ENFORCEMENT CASE NO. OS0107021 Allegations: IT WAS ALLEGED THAT ON SPECIFIC DATES DURING MARCH AND APRIL 2001, MERRILL LYNCH VIOLATED EXCHANGE RULE 6.8(A) IN THAT IT FAILED TO MAINTAIN AN AGGREGATE SHORT PUT/LONG CALL POSITION IN EACH OPTION CLASS OF NO MORE THAN 75,000 CONTRACTS. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 07/02/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND A $10,000 FINE. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A CENSURE AND A $10,000 FINE. ****** REGULATORY ACTION (43 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/09/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/01/2002 Docket/ Case Number: CMS020182 Allegations: NASD RULE 3360 - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT CONSENTED TO THE ENTRY OF FINDINGS THAT IT SUBMITTED TO NASD ITS SHORT INTEREST POSITION REPORT. Current Status: Final NASD BrokerCheck October 17, 2005 Page 49 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/01/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: A $2,000 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/21/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/01/2002 Docket/ Case Number: CMS020182 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD RULE 3360 IN THAT IT FAILED TO PROPERLY SUBMIT TO NASD ITS SHORT INTEREST POSITION REPORT. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/01/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A $2000.00 FINE. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A $2000.00 FINE. ****** REGULATORY ACTION (44 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/02/2003 Initiated By: NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT Date initiated: 09/18/2002 Docket/ Case Number: HPD# 02-228 Allegations: **9/17/2002**STIPULATION AND CONSENT TO PENALTY EXECUTED AND FILED BY THE NYSE DIVISION OF ENFORCEMENT AND PENDING A. CONSENTED TO FINDINGS BY THE HEARING PANEL THAT IT: 1. VIOLATED EXCHANGE RULE 346(F) IN THAT IT HAD PERSONS ASSOCIATED WITH IT WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION.2.VIOLATED EXCHANGE RULE 351(A)(9) IN THAT IT FAILED TO PROMPTLY REPORT ITS ASSOCIATION WITH PERSONS SUBJECT TO A STATUTORY DISQUALIFICATION.3.VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO PROVIDE FOR, ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS, INCLUDING A SYSTEM OF FOLLOW-UP AND REVIEW OF ITS BUSINESS ACTIVITIES, TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO EMPLOYMENT OF STUTORY DISQUALIFIED INDIVIDUALS.B.THE IMPOSITION BY THE EXCHANGE OF THE PENALTY OF:1.A CENSURE, AND;2.A FINE IN THE AMOUNT OF $300,000, AND:3.A REQUIREMENT THAT THE FIRM COMPLY WITH THE FOLLOWING UNDERTAKING:A.WITHIN 30 DAYS FROM THE DATE THAT THE DECISION BECOMES FINAL, THE FIRM SHALL RETAIN AN OUTSIDE CONSULTANT (THE “CONSULTANT”), NOT UNACCEPTABLE TO THE EXCHANGE, TO PERFORM A REVIEW AND PREPARE A REPORT (THE “REPORT”) OF THE FIRM’S SYSTEMS, POLICIES AND PROCEDURES, INCLUDING RECOMMENDATIONS FOR DIFFERENT OR NASD BrokerCheck October 17, 2005 Page 50 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ADDITIONAL SYSTEMS, POLICIES OR PROCEDURES, IF NECESSARY, RELATING TO THE HIRING OF INDIVIDUALS WHO ARE SUBJECT TO STATUTORY DISQUALIFICATION INCLUDING THOSE WHO DISCLOSED THEIR CRIMINAL CONVICTIONS DURING THE HIRING PROCESS. B.WITHIN 120 DAYS FROM THE DATE THAT THE DECISION BECOMES FINAL THE CONSULTANT SHALL PROVIDE THE FIRM’S BOARD OF DIRECTORS AND THE EXCHANGE’S DIVISION OF ENFORCEMENT WITH A COPY OF THE REPORT. **CONTINUED AT 12C** Current Status: Final Resolution: Decision Resolution Date: 12/13/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $300,000.00 Other Sanctions: CONSENT TO CENSURE, $300,000 FINE AND AN UNDERTAKING. Resolution Details: **11/15/2002**DECISION HPD 02-228 ISSUED BY NYSE HEARING PANEL DECISION: WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTS TO FINDINGS THAT IT: VIOLATED RULE 346(F) IN THAT IT HAD PERSONS ASSOCIATED WITH IT WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION; VIOLATED RULE 351(A)(9) IN THAT IT FAILED TO PROMPTLY REPORT ITS ASSOCIATION WITH PERSONS SUBJECT TO A STATUTORY DISQUALIFICATION; AND VIOLATED RULE 342 IN THAT IT FAILED TO PROVIDE FOR, ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS, INCLUDING A SYSTEM OF FOLLOW-UP AND REVIEW OF ITS BUSINESS ACTIVITIES, TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO EMPLOYMENT OF STATUTORY DISQUALIFIED INDIVIDUALS.CONSENT TO A CENSURE A $300,000 FINE AND A REQUIREMENT THAT:A.WITHIN 30 DAYS FROM THE DATE THAT THE DECISION BECOMES FINAL, THE FIRM SHALL RETAIN AN OUTSIDE CONSULTANT (THE “CONSULTANT”), NOT UNACCEPTABLE TO THE EXCHANGE, TO PERFORM A REVIEW AND PREPARE A REPORT (THE “REPORT”) OF THE FIRM’S SYSTEMS, POLICIES AND PROCEDURES, INCLUDING RECOMMENDATIONS FOR DIFFERENT OR ADDITIONAL SYSTEMS, POLICIES OR PROCEDURES, IF NECESSARY, RELATING TO THE HIRING OF INDIVIDUALS WHO ARE SUBJECT TO STATUTORY DISQUALIFICATION INCLUDING THOSE WHO DISCLOSED THEIR CRIMINAL CONVICTIONS DURING THE HIRING PROCESS. B.WITHIN 120 DAYS FROM THE DATE THAT THE DECISION BECOMES FINAL THE CONSULTANT SHALL PROVIDE THE FIRM’S BOARD OF DIRECTORS AND THE EXCHANGE’S DIVISION OF ENFORCEMENT WITH A COPY OF THE REPORT.**CONTINUED AT #13** Summary: **12/13/2002**THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY. CONTACT:PEGGY GERMINO 212-656-8450 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/07/2003 Initiated By: NEW YORK STOCK EXCHANGE, INC. #179 Date initiated: 12/18/2002 Docket/ Case Number: EXCHANGE HEARING PANEL DECISION 02-228 Allegations: IT WAS ALLEGED THAT MERILL LYNCH VIOLATED RULE 346(F) BY HAVING PERSONS ASSOCIATED WITH IT WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION; VIOLATED 352(A)(9) BY FAILING TO PROMPTLY REPORT ITS ASSOCIATION WITH PERSONS SUBJECT TO STATUTORY DISQUALIFICATION; VIOLATED RULE 342 BY FAILING TO PROVIDE FOR, ESTABLISH, AND MAINTAIN ADEQUATE PROCEDURES TO ENSURE COMPLIANCE WITH EXCHANGE RULES AND FEDERAL SECURITIES LAWS RELATING TO EMPLOYMENT OF STATUTORY DISQUALIFIED INDIVIDUALS. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/18/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $300,000.00 Other Sanctions: UNDERTAKING NASD BrokerCheck October 17, 2005 Page 51 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: IN ADDITION TO THE ADMINISTRATIVE PENALTY, MERRILL LYNCH AGREED TO A CENSURE AND AN UNDERTAKING DESCRIBED IN ITEM 13. Summary: A SETTLEMENT WAS ENTERED INTO BY MERRILL LYNCH WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS OR FINDINGS IN THE ORDER. AS PART OF AN UNDERTAKING MERRILL LYNCH AGREED TO DO THE FOLLOWING: 1) RETAIN A CONSULTANT TO PERFORM A REVIEW AND PREPARE A REPORT OF THE FIRM'S SYSTEMS, POLICIES AND PROCEDURES, INCLUDING RECOMMENDATIONS FOR DIFFERENT OR ADDITIONAL SYSTEMS, RELATING TO THE HIRING OF INDIVIDUALS WHO ARE SUBJECT TO STATUTORY DISQUALIFICATION INCLUDING THOSE WHO DISCLOSED THEIR CRIMINAL CONVICTIONS DURING THE HIRING PROCESS; 2) WITHIN 120 DAYS, THE CONSULTANT WILL PROVIDE THE FIRM'S BROAD OF DIRECTORS AND THE EXCHANGE'S DIVISION OF ENFORCEMENT WITH A COPY OF THE REPORT; 3) THE FIRM SHALL ADOPT AND IMPLEMENT ALL POLICIES, PRACTICES AND PROCEDURES OF THE REPORT WITH THE CONSENT OF ITS BOARD OF DIRECTORS AND THE EXCHANGE; 4) WITHIN 60 DAYS OF DELIVERY OF THE REPORT TO ITS BOARD OF DIRECTORS, THE FIRM SHALL SUBMIT TO THE EXCHANGE A WRITTEN REPRESENTATION FROM THE CEO SETTING FORTH THE DETAILS OF THE FIRM'S IMPLEMENTATION OF THE RECOMMENDATIONS CONTAINED IN THE REPORT. ****** REGULATORY ACTION (45 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/13/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/30/2002 Docket/ Case Number: CMS020153 Allegations: NASD RULES 6130(D) - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT CONSENTED TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO ACT THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTION WAS BUY, SELL, SELL SHORT, SELL SHORT EXEMPT OR CROSS FOR TRANSACTIONS IN ELIGIBLE SECURITIES. RESPONDENT EXECUTED PROPRIETARY SHORT SALE TRANSACTIONS AND FAILED TO REPORT EACH OF THESE TRANSACTIONS TO ACT WITH A SHORT SALE MODIFIER. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/30/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: A CENSURE AND A $7,500 FINE. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/06/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. #176 Date initiated: 08/30/2002 Docket/ Case Number: CMS020153 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED NASD MARKETPLACE RULE 6130(D) IN THAT IT FAILED TO REPORT TO THE AUTOMATED CONFIRMATION TRANSACTION SERVICE ("ACT") SPECIFIC TRANSACTIONS FOR CERTAIN ELIGIBLE SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/30/2002 NASD BrokerCheck October 17, 2005 Page 52 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $7,500 FINE. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND A $7,500 FINE. ****** REGULATORY ACTION (46 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 08/21/2002 Initiated By: STATE OF DELAWARE SECURITIES COMMISSIONER - #174 Date initiated: 03/11/2002 Docket/ Case Number: CASE NO. 01-3-5 Allegations: THE STATE OF DELAWARE LODGED AN INVESTIGATION INTO ALLEGATIONS OF UNAUTHORIZED TRADING BY A FINANCIAL ADVISOR IN A CUSTOMER'S ACCOUNT. Current Status: Final Resolution: Settled Resolution Date: 07/23/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $20,000.00 Other Sanctions: RESTITUTION Resolution Details: IN ADDITION TO THE MONETARY FINE, MERRILL LYNCH AGREED TO MAKE RESTITUTION TO THE CUSTOMER IN THE AMOUNT OF $8,290.93. Summary: IN ORDER TO SETTLE THIS MATTER AMICABLY, MERRILL LYNCH AGREED TO PAY A FINE OF $20,000 TO THE STATE OF DELAWARE SECURITIES DIVISION AND OFFER RESTITUTION TO THE CUSTOMER IN THE AMOUNT OF $8, 290.93. ****** REGULATORY ACTION (47 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/13/2002 Initiated By: NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION Date initiated: 11/01/1999 Docket/ Case Number: INV99-022 Allegations: RESPONDENT SOLD FIVE UNREGISTERED SECURITIES THROUGH ITS AGENT TO ABOUT 59 INVESTORS FROM 1994 TO 1998. THE AGENT FAILED TO TELL THE INVESTORS THAT THE STOCKS WERE NOT COVERED BY MERRILL LYNCH RESEARCH, AND THAT THEY WERE UNREGISTERED AND NON-EXEMPT. THE AGENT MISMARKED THE ORDER CONFIRMATIONS TO INDICATE THAT THE TRADES WERE UNSOLICITED WHEN THEY WERE SOLICITED WITHOUT THE AUTHORITY OR APPROVAL OF MERRILL LYNCH. Current Status: Final Resolution: Consent Resolution Date: 07/17/2002 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 17, 2005 Page 53 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $500,000.00 Other Sanctions: RESCISSION, GLOBAL COMPLIANCE ALERT, INDEPENDENT COMPLIANCE REVIEW, COST OF INVESTIGATION. Resolution Details: WITHIN 30 DAYS OF THE DATE OF THE CONSENT ORDER, RESPONDENT SHALL OFFER RESCISSION TO THE INVESTORS. RESPONDENT MAY REQUIRE INVESTORS TO ENTER INTO NON-BINDING ARBITRATION ON THE SOLE ISSUE OF SOLICITATION VS. NON-SOLICITATION. IF TRADE WAS SOLICITED, RESPONDENT TO OFFER RESCISSION PLUS 10 PERCENT INTEREST. ALL ARBITRATIONS SHALL BE COMPLETED WITHIN ONE YEAR FROM CONSENT. WITHIN 60 DAYS FROM THE ORDER RESPONDENT SHALL CONDUCT AN INDEPENDENT COMPLIANCE REVIEW. WITHIN 120 DAYS OF THE CONSENT, RESPONDENT TO RELEASE A GLOBAL COMPLIANCE ALERT ADDRESSING THE ISSUES UNCOVERED BY THE INVESTIGATION. RESPONDENT TO PAY AN ADMINISTRATIVE FINE OF $500,000 AND COST OF THE INVESTIGATION OF $75,000. Summary: SAME AS ABOVE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/21/2003 Initiated By: STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION #173 Date initiated: 07/17/2002 Docket/ Case Number: INV99-022 Allegations: THE BUREAU ALLEGED THAT THE FIRM FAILED TO ADEQUATELY SUPERVISE A FINANCIAL ADVISOR IN IT'S MANCHESTER OFFICE. IT WAS ALLEGED THAT THE FINANCIAL ADVISOR SOLICITED CLIENTS TO PURCHASE STOCKS THAT WERE NOT BLUE SKIED OR COVERED BY THE FIRM'S RESEARCH DEPARTMENT, AGAINST REGULATORY REQUIREMENTS AND FIRM POLICY. IT WAS ALSO ALLEGED THAT THE FINANCIAL ADVISOR MISMARKED THE ORDERS AS UNSOLICITED. Current Status: Final Resolution: Consent Resolution Date: 07/12/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $500,000.00 Resolution Details: IN ADDITION TO THE ADMINISTRATIVE FINE, MERRILL LYNCH AGREED TO REIMBURSE THE BUREAU $75,000 FOR THE APPROXIMATE COST OF THEIR INVESTIGATION. Summary: A SETTLEMENT WAS ENTERED INTO BY MERRILL LYNCH WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS OR FINDINGS IN THE ORDER. AS PART OF AN UNDERTAKING MERRILL LYNCH AGREED TO DO THE FOLLOWING: (1) RETAIN A CONSULTANT TO REVIEW THE CURRENT COMPLIANCE POLICY AND PROCEDURES IN THE MANCHESTER BRANCH OFFICE WITH FOCUS ON CERTAIN SPECIFIED AREAS, (2) CIRCULATE A GLOBAL COMPLIANCE ALERT TO ALL U.S. PRIVATE CLIENT PERSONNEL ADDRESSING THE ISSUES RAISED IN THIS MATTER AND (3) OFFER RESCISSION OF THE PURCHASES OF THE SPECIFIC STOCKS BY THOSE CLIENTS OF THE FINANCIAL ADVISOR DURING THE RELEVANT PERIOD. ****** REGULATORY ACTION (48 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/09/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/07/2002 Docket/ Case Number: C10020077 Allegations: ARTICLE V, SECTION 3(A)OF NASD BY-LAWS, NASD RULE 2110 - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT MEMBER CONSENTED TO THE ENTRY OF FINDINGS THAT IT FAILED TO NASD BrokerCheck October 17, 2005 Page 54 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) FILE FORMS U-5 WITHIN 30 DAYS OF TERMINATION OF THE ASSOCIATED PERSON. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/07/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $65,000.00 Other Sanctions: UNDERTAKINGS Resolution Details: CENSURED, FINED $65,000, AND REQUIRED, WITHIN 60 DAYS OF ACCEPTANCE OF AWC, A COPY OF THE FIRM'S WRITTEN PROCEDURES WITH REGARD TO THE ACCURATE AND PROMPT SUBMISSION OF ALL FORM U-5 FILINGS PERTAINING TO THE TERMINATION OF PERSONS FOR WHOM THE FIRM HAS MAINTAINED NASD REGISTRATION, INDICATING THE NAME AND TITLE OF PRINCIPALS RESPONSIBLE THEREFORE, WILL BE SUBMITTED TO NASD'S DISTRICT 10 OFFICE. FOR ONE YEAR FOLLOWING NOTICE OF ACCEPTANCE OF AWC, THE FIRM WILL CONTINUE THE FIRM'S ONGOING "SIX SIGMA" REVIEW OF ITS CURRENT POLICIES AND PROCEDURES RELEVANT TO THE REPORTING OF TERMINATIONS ON FORMS U-5 TO INCLUDE, BUT NOT LIMITED TO, THE ACCURACY AND PROMPT SUBMISSIONS OF FORMS U-5, THE IDENTIFICATION OF RESPONSIBLE PRINCIPALS FOR SUCH SUBMISSIONS, A REVIEW OF ANY OTHER CORRECTIVE PROCEDURES DEVELOPED AS PART OF THE SIX SIGMA REVIEW WITH REGARD TO SUCH FORMS U-5; PREPARE SEMI-ANNUAL REPORTS SIX MONTHS AND ONE YEAR AFTER NOTICE OF ACCEPTANCE OF THIS AWC THAT SHALL BE PROVIDED TO THE FIRM'S DIRECTOR OF HUMAN RESOURCES AND TO THE GENERAL COUNSEL WITH A COPY PROVIDED TO NASD'S DISTRICT 10 OFFICE WHICH SHALL SET FORTH THE FINDINGS OF THE SIX SIGMA REVIEW, ANY CORRECTIVE ACTIONS IMPLEMENTED IN RESPONSE TO SIX SIGMA REVIEW. THE REVIEW SHALL ALSO STATE THAT THE REQUIREMENTS OF ARTICLE V, SECTION 3 OF THE NASD'S BY-LAWS RELATED TO THE REPORTING REQUIREMENTS OF THE FORM U-5 AS WELL AS ALL APPLICABLE RULES AND REGULATIONS WERE TAKEN INTO ACOUNT IN CONDUCTING THE REVIEW. [CONTINUED] Summary: BOTH SIX MONTHS AND ONE YEAR AFTER NOTICE OF ACCEPTANCE OF AWC, THE FIRM SHALL PROVIDE NASD'S DISTRICT 10 OFFICE SUMMARY REPORTS OUTLINING THE DETAILS OF EVERY LATE FORM U-5 PERTAINING TO THE TERMINATION OF A PERSON FOR WHOM THE FIRM MAINTAINED A REGISTRTION, IF ANY, MADE WITHIN THE PRIOR SIX MONTHS WITH AN EXPLANATION OF THE CAUSE OF DELAY, THE PRINCIPAL RESPONSIBLE FOR ENSURING THE TIMELY FILING OF THE FORMS U-5 IN QUESTION, AND ANY CORRECTIVE ACTION TAKEN. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 09/03/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. #175 Date initiated: 08/07/2002 Docket/ Case Number: C10020077 Allegations: IT WAS ALLEGED THAT THE FIRM VIOLATED ARTICLE V, SECTION 3(A) OF THE NASD BY-LAWS IN THAT IT FAILED TO FILE FORMS U-5 WITHIN 30 DAYS OF TERMINATION OF THE ASSOCIATED PERSON. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/07/2002 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $65,000.00 Other Sanctions: UNDERTAKINGS. Resolution Details: PLEASE SEE BELOW. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH AGREED TO A FINE AND AN UNDERTAKING THAT IT WILL REVIEW AND REVISE THE CURRENT POLICIES AND PROCEDURES REGARDING THE REPORTING OF FORM U-5 TERMINATION NOTICES AND ADVISE THE NASD OF THE FIRM'S PROGRESS NASD BrokerCheck October 17, 2005 Page 55 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) AT REGULAR INTERVALS. ****** REGULATORY ACTION (49 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 10/21/2003 Initiated By: NEW YORK ATTORNEY GENERAL #172 Date initiated: 04/08/2002 Docket/ Case Number: INDEX NO. 02401522 Allegations: THE NY ATTORNEY GENERAL CONDUCTED AN INVESTIGATION CONCERNING THE PRACTICES RELATING TO THE OFFER, SALE, ISSUANCE, ADVERTISEMENT, PROMOTION, EXCHANGE, MARKETING, INVESTMENT ADVICE, DISTRIBUTION AND TRANSFER OF SECURITIES IN AND FROM THE STATE OF NEW YORK. Current Status: Final Resolution: Settled Resolution Date: 05/21/2002 Sanctions Ordered: Monetary/Fine Monetary Amount: $100,000,000.00 Other Sanctions: ENHANCEMENTS TO THE FIRM'S POLICIES. Resolution Details: PLEASE SEE BELOW. Summary: IN ORDER TO SETTLE THIS MATTER AND WITH NO ADMISSION OF WRONGDOING OR LIABILITY, THE FIRM AGREED TO PAY $48,000,000.00 TO THE STATE OF NEW YORK, $50,000,000.00 TO THE REMAINING STATES, WASHINGTON, D.C. & PUERTO RICO AND $2,000,000.00 TO NASAA. ****** REGULATORY ACTION (50 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/18/2002 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/07/2001 Docket/ Case Number: CMS010173 Allegations: NASD RULES 2110, 6240(A)(2) AND 6240(B)(3) - WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE FINDINGS THAT IT FAILED TO REPORT TO FIXED INCOME PRICING SYSTEM (FIPS) TRANSACTIONS IN FIPS SECURITIES WITHIN FIVE MINUTES AFTER EXECUTION; AND, INCORRECTLY REPORTED TO FIPS TRANSACTIONS IN FIPS SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/07/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: NONE Summary: 04/18/02AC FINES & COST PAID IN FULL $7,500.00 12/24/01 INVOICE # 01- MS- 682 *********************************** NASD BrokerCheck October 17, 2005 Page 56 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/03/2002 Initiated By: NASD REGULATION, INC. #165 Date initiated: 08/30/2001 Docket/ Case Number: CMS010173 Allegations: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC IN THAT THEY VIOLATED NASD MARKETPLACE RULE 6240(A)(2) AND NASD CONDUCT RULE 2110 FOR FAILING TO REPORT TO THE FIXED INCOME PRICING SYSTEM ("FIPS") 78 TRANSACTIONS IN FIPS SECURITIES WITHIN FIVE MINUTES AFTER EXECUTION, AND NASD MARKETPLACE RULE 6240(B)(3) IN THAT MERRILL LYNCH INCORRECTLY REPORTED TO FIPS 260 TRANSACTIONS IN FIPS SECURITIES. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/07/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC IN THAT THEY VIOLATED NASD MARKETPLACE RULE 6240(A)(2) AND NASD CONDUCT RULE 2110 FOR FAILING TO REPORT TO THE FIXED INCOME PRICING SYSTEM ("FIPS") 78 TRANSACTIONS IN FIPS SECURITIES WITHIN FIVE MINUTES AFTER EXECUTION, AND NASD MARKETPLACE RULE 6240(B)(3) IN THAT MERRILL LYNCH INCORRECTLY REPORTED TO FIPS 260 TRANSACTIONS IN FIPS SECURITIES. Summary: SEE 7 ABOVE. ****** REGULATORY ACTION (51 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/14/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 06/27/2001 Docket/ Case Number: CMS0101109 Allegations: NASD RULE 4613(E)(1)(C) - A MARKET MAKER IN SECURITIES LOCKED/CROSSED THE MARKET DURING THE PRE-OPENING MARKET PERIOD BETWEEN 9:20 AND 9:29:59 A.M., EASTERN TIME AND FAILED TO IMMEDIATELY THEREAFTER SEND A TRADE-OR-MOVE MESSAGE THROUGH SELECTNET TO THE MARKET PARTICIPANT(S) WHOSE QUOTE LOCKED OR CROSSED THAT WAS PRICED AT THE RECEIVING MARKET PARTICIPANT?S QUOTED PRICE AND/OR FAILED TO SEND A TRADE-OR-MOVE MESSAGE(S) THROUGH SELECTNET WITH AN AGGREGATE SIZE OF AT LEAST 5,000 SHARES TO ALL MARKET PARTICIPANTS WHOSE QUOTES IT LOCKED/CROSSED. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/27/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: CENSURED AND FINED $25,000.00 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 57 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 10/21/2003 Initiated By: NASD REGULATION, INC. #167 Date initiated: 06/25/2001 Docket/ Case Number: CMS010109 Allegations: IT WAS ALLEGED THAT FROM NOVEMBER 27, 2000 THROUGH DECEMBER 1, 2000, MERRILL LYNCH LOCKED/CROSSED THE MARKET DURING THE PRE-OPENING MARKET PERIOD AND: (1) FAILED TO IMMEDIATELY SEND A TRADE-OR-MOVE MESSAGE THROUGH SELECTNET TO THE MARKET PARTICIPANTS WHOSE QUOTE IT LOCKED OR CROSSED: AND/OR (2) FAILED TO SEND A TRADE-OR-MOVE MESSAGE(S) THROUGH SELECTNET WITH AN AGGREGATE SIZE OF AT LEAST 5,000 SHARES TO ALL MARKET PARTICIPANTS WHOSE QUOTES IT LOCKED/CROSSED. THE ALLEGED CONDUCT CONSTITUTES VIOLATIONS OF NASD MARKETPLACE RULE 4613 (E)(1)(C). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/25/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $25,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND FINE OF $25,000. Summary: WITHOUT ADMITTING OR DENYING, MERRILL LYNCH ENTERED INTO AN AWC AND AGREED TO A CENSURE AND FINE OF $25,000. ****** REGULATORY ACTION (52 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/30/2001 Initiated By: VERMONT SECURITIES DIVISION Date initiated: 03/28/2001 Docket/ Case Number: 01-018-S Allegations: FAILURE TO OBTAIN INVESTMENT ADVISER REPRESENTATIVE (IAR)REGISTRATION FOR APPROXIMATELY 30 PERSONS REQUIRING SUCH IAR REGISTRATION IN EACH OF YEARS 1995, 1996, 1997, 1998, AND 1999. Current Status: Final Resolution: Consent Resolution Date: 03/28/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: ADMINISTRATIVE FINE $50,000.00 Summary: IN EACH OF YEARS 1995, 1996, 1997, 1998, AND 1999, RESPONDENT FAILED TO OBTAIN INVESTMENT ADVISER REPRESENTATIVE (IAR) REGISTRATION FOR APPROXIMATELY 30 PERSONS REQUIRING SUCH IAR REGISTRATION. RESPONDENT ENTERED INTO A CONSENT ORDER AGREEING TO PAY FINE OF $50,000.00 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 04/23/2001 Initiated By: VERMONT DEPT. OF BANKING #161 Date initiated: 03/28/2001 NASD BrokerCheck October 17, 2005 Page 58 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: UNKNOWN Allegations: MERRILL LYNCH, AS A RESULT OF AN ADMINISTRATIVE ERROR, INADVERTENTLY FAILED TO REGISTER, OR RENEW THE ANNUAL REGISTRATION OF APPROXIMATELY 30 FCS AND CSAS AS IARS IN THE STATE OF VERMONT IN EACH OF THE YEARS 1995, 1996, 1997, 1998 AND 1999. DURING THE LAST QUARTER OF 2000, MERRILL LYNCH FILED IAR REGISTRATION APPLICATIONS FOR ALL OF ITS PERSONNEL REQUIRING VERMONT REGISTRATION. Current Status: Final Resolution: Settled Resolution Date: 03/28/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: MERRILL LYNCH, AS A RESULT OF AN ADMINISTRATIVE ERROR, INADVERTENTLY FAILED TO REGISTER, OR RENEW THE ANNUAL REGISTRATION OF APPROXIMATELY 30 FCS AND CSAS AS IARS IN THE STATE OF VERMONT IN EACH OF THE YEARS 1995, 1996, 1997, 1998 AND 1999. DURING THE LAST QUARTER OF 2000, MERRILL LYNCH FILED IAR REGISTRATION APPLICATIONS FOR ALL OF ITS PERSONNEL REQUIRING VERMONT REGISTRATION. Summary: PLEASE SEE NUMBER 7 ABOVE. ****** REGULATORY ACTION (53 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/25/2001 Initiated By: AMERICAN STOCK EXCHANGE, LLC Date initiated: 03/14/2000 Docket/ Case Number: 99-022 Allegations: MERRILL LYNCH VIOLATED EXCHANGE RULE 904(A) IN THAT IT EFFECTED OPENING TRANSACTIONS IN UNISOURCE ENERGY CORP. ("UNS") OPTIONS FOR THE ACCOUNT OF A PUBLIC CUSTOMER, WHICH RESULTED IN THAT ACCOUNT MAINTAINING AN UNHEDGED OPTION POSITION THAT EXCEEDED THE POSITION LIMIT OF 4,500 CONTRACTS, DUIRNG THE PERIOD SEPT. 17, 1998 THROUGH OCTOBER 22, 1998. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/08/2001 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: A CHECK IN THE AMOUNT OF $10,000 SHOULD BE FORWARDED TO THE AMERICAN STOCK EXCHANGE ON OR BEFORE FEBRUARY 15, 2001. Summary: PLEASE CONTACT HAROLD YUEN, SENIOR ATTORNEY, ENFORCEMENT & INVESTIGATIONS DEPARTMENT, AMERICAN STOCK EXCHANGE, LLC (212) 306-1570. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 02/13/2001 Initiated By: AMERICAN STOCK EXCHANGE #160 Date initiated: 04/01/2000 Docket/ Case Number: 99-022 NASD BrokerCheck October 17, 2005 Page 59 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: ML SETTLED WITH THE ASE AND STIPULATED THAT IT VIOLATED ASE RULE 904 (A), IN THAT IN 1998, IT EFFECTED OPENING TRADES IN OPTIONS FOR A CUSTOMER, WHICH RESULTED IN AN UNHEDGED OPTION POSITION THAT EXCEEDED POSITION LIMITS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/19/2001 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Other Sanctions: CENSURE Resolution Details: ALL TRANSACTIONS WERE UNSOLICITED. THE CLIENT REFUSED TO BRING THE OPTION POSITION INTO COMPLIANCE. THE FIRM WAS COMPELLED TO EFFECT FORCED LIQUIDATIONS. Summary: PLEASE SEE NUMBER 7 ABOVE. ****** REGULATORY ACTION (54 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/03/2001 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/02/2000 Docket/ Case Number: C11000026 Allegations: 11-15-00,NASD RULES 2110 AND 3010 - RESPONDENT MEMBER FAILED REASONABLY TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES INCLUDING SUPERVISION OF TRADING ACTIVITY FOR THE DETECTION OF POTENTIAL UNSUITABLE AND EXCESSIVE TRADING AND THE REVIEW OF ACCOUNTS APPEARING ON EXCEPTION REPORTS;AND THE FIRM FAILED TO NOTIFY A BRANCH THAT TESTAMENTARY DOCUMENTS HAD NOT BEEN RECEIVED UNTIL THE ABSENCE OF SUCH DOCUMENTS WAS DETECTED DURING THE ANNUAL COMPLIANCE EXAMINATION. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/02/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: CENSURED AND FINED $25,000 05-03-01, $25,000 PAID 2/15/01 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 01/08/2001 Initiated By: NASD REGULATION, INC. #158 Date initiated: 11/01/2000 Docket/ Case Number: AWC. NO.C11000026 Allegations: ALLEGED VIOLATION OF NASD CONDUCT RULES 3010 AND 2110 Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/15/2000 NASD BrokerCheck October 17, 2005 Page 60 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: 25,000.00 FINE PAID NOVEMBER 22, 2000 Summary: ****** REGULATORY ACTION (55 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/14/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/27/2000 Docket/ Case Number: CMS000225 Allegations: NASD RULES 2110, 2320, 3010, 3370, 4613(E), 4642, 6130, 6420, 6620 AND SEC RULE 11AC1-4:FAILED TO REPORT TO ACT THE CORRECT SYMBOL INDICATING WHETHER TRANSACTIONS IN ELIGIBLE SECURITIES WERE AS PRINCIPAL OR AGENT, FAILED TO ACCEPT OR DECLINE IN ACT A TRANSACTION IN AN ELIGIBLE SECURITY, AND FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY, OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; ENTERED OR MAINTAINED QUOTATIONS IN NASDAQ DURING NORMAL BUSINESS HOURS WHERE THE BID QUOTATION ENTERED WAS EQUAL TO OR GREATER THAN THE ASKED QUOTATION OF ANOTHER MARKET MAKER ENTERING QUOTATIONS IN THE SAME SECURITY, AND FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET FOR THE SECURITY AND BUY OR SELL IN MARKET SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS; EXECUTED SHORT SALE ORDERS AND FAILED TO MAKE AN AFFIRMATIVE DETERMINATION PRIOR TO EXECUTING TRANSACTIONS, AND EXECUTED SHORT SALE TRANSACTIONS AND FAILED TO REPORT THESE TRANSACTIONS TO ACT WITH A SHORT SALE MODIFIER; ENGAGED IN A PATTERN OF LATE TRANSACTION REPORTING WITHOUT EXCEPTIONAL CIRCUMSTANCES BY FAILING TO REPORT WITHIN 90 SECONDS AFTER EXECUTION, TRANSACTIONS IN ACT-ELIGIBLE SECURITIES TO ACT, AND FAILED TO TRANSMIT THROUGH ACT WITHIN 90 SECOND AFTER EXECUTION, LAST SALES REPORTS OF TRANSACTIONS IN NNM,NASD SMALLCAP, LISTED AND OTC EQUITY SECURITIES, AND FAILED TO DESIGNATE EACH SUCH TRANSACTION AS LATE TO ACT; AND, THE FIRM'S SUPERVISORY SYSTEM DID NOT ADEQUATELY PROVIDE FOR SUPERVISION TO ACHIEVE COMPLIANCE W/ APPLICABLE SECURITIES LAWS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/27/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $97,000.00 Other Sanctions: SUBMIT TO THE NASD WITHIN 30 DAYS OF THIS AWC'S ACCEPTANCE BY THE NASD, REVISED WRITTEN SUPERVISORY PROCEDURES CONCERNING NASD MARKETPLACE RULE 6130(D)(6), ACT COMPLIANCE, BEST EXECUTION , AND THE SEC'S ORDER HANDLING RULES. Resolution Details: 03-23-01, $97,000 PAID 1/03/01 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/20/2000 NASD BrokerCheck October 17, 2005 Page 61 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS #157 Date initiated: 11/22/2000 Docket/ Case Number: CMS000225 Allegations: VIOLATIONS OF NASD MARKET MAKING RULES RELATED TO BEST EXECUTION, SHORT SALE, LIMIT ORDER DISPLAY, AND LATE REPORTING. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/20/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $97,000.00 Resolution Details: ON DECEMBER 20, 2000 ML PAID $97,000 TO SETTLE AN AWC RELATED TO ALLEGED VIOLATION OF NASD MARKET MAKING RULES RELATED TO BEST EXECUTION, SHORT SALE REPORTING, LIMIT ORDERS DISPLAY, LATE REPORTING OF TRADES, AND LOCKED AND CROSSED MARKETS. Summary: ****** REGULATORY ACTION (56 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/03/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/12/1988 Docket/ Case Number: CLE-334 Allegations: VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, AND 27(A) OF THE RULES OF FAIR PRACTICE Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 07/09/1990 Sanctions Ordered: Resolution Details: LETTER OF FUTURE OBSERVANCE AND COMPLIANCE AND THE FIRM WILL COMPLY WITH AN UNDERTAKING. Summary: [TOP] COMPLAINT NO. CLE-334 (DISTRICT NO. 8) FILED 07/12/1988 AGAINST RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE FIRM), BRUCE A. JAMIESON AND TODD LEROY DESMOND ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, AND 27(A) OF THE RULES OF FAIR PRACTICE (RFP) IN THAT DESMOND RECOMMENDED TO A PUBLIC CUSTOMER THE WRITING OF UNCOVERED CALL OPTION CONTRACTS ON COMMON STOCK WITHOUT HAVING REASONABLE GROUNDS FOR BELIEVING THE RECOMMENDATIONS WERE SUITABLE FOR THE CUSTOMER BASED ON THE CUSTOMERS' OTHER SECURITIES HOLDINGS, FINANCIAL SITUATION AND NEEDS; THE FIRM AND JAMIESON FAILED TO ENFORCE WRITTEN PROCEDURES SO AS TO PROPERLY SUPERVISE THE ACTIVITIES OF DESMOND; WITHOUT THE KNOWLEDGE OR CONSENT OF THE FIRM, DESMOND MADE OR CAUSED TO BE MADE FALSE JOURNAL ENTRIES TO THE ACCOUNT OF A CUSTOMER WHICH WERE CREDITED AS INTEREST ADJUSTMENTS AND WHICH ACTED TO THE FINANCIAL DETRIMENT OF THE FIRM; AND, FAILED TO RESPOND TO NASD REQUESTS FOR INFORMATION PURSUANT TO ARTICLE IV, SECTION 5 OF THE RULES OF FAIR PRACTICE. 04/19/1990 - NOTICE OF INTENT TO WITHDRAW THE COMPLAINT CONCERNING JAMIESON WAS APPROVED BY THE NATIONAL BUSINESS CONDUCT COMMITTEE. DECISION RENDERED 07/09/1990, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE FIRM WAS ACCEPTED; THEREFORE, THE DECISION WILL SERVE AS A LETTER OF FUTURE OBSERVANCE AND COMPLIANCE AND THE FIRM WILL COMPLY WITH THE UNDERTAKING THAT IT WILL ISSUE AN INFORMATION MEMORANDUM TO ITS SALES MANAGEMENT PERSONNEL, OPERATIONS MANAGERS AND WIRE OPERATORS WHICH SET FORTH THE FACTS OF THIS CASE AND CAUTIONS THEM OF THE NEED TO REQUIRE THAT ORDER NASD BrokerCheck October 17, 2005 Page 62 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) TICKETS BE PROPERLY COMPLETED AND CODED AT THE TIME OF ORDER ENTRY. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/19/2004 Initiated By: NASD Date initiated: 07/12/1988 Docket/ Case Number: CLE-334 Allegations: IT IS ALLEGED THAT MERRILL LYNCH MADE UNSUITABLE RECOMMENDATIONS (UNCOVERED CALL OPTION CONTRACTS) FOR CUSTOMER AND FAILED TO ENFORCE WRITTEN PROCEDURES RELATING TO SUPERVISION. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 07/09/1990 Sanctions Ordered: Other Sanctions: UNDERTAKING Resolution Details: LETTER OF FUTURE OBSERVANCE AND COMPLIANCE WITH AN UNTERTAKING Summary: OFFER OF SETTLEMENT SUBMITTED BY FIRM WAS ACCEPTED AS A LETTER OF FUTURE OBSERVANCE AND COMPLIANCE. ADDITINOALLY, THE FIRM ISSUED AN INFORMATION MEMORANDUM TO ITS SALES MANAGEMENT, OPERATIONS MANAGERS AND WIRE OPERATORS SETTING FORTH THE FACTS OF THIS CASE AND REMINDING THEM OF THE NEED FOR ORDER TICKETS TO BE PROPERLY COMPLETED AND CODED AT THE TIME OF ORDER ENTRY. ****** REGULATORY ACTION (57 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE #146 Date initiated: 05/31/2000 Docket/ Case Number: UNKNOWN Allegations: THE FIRM FAILED TO INSURE THE SUPERVISION OF A REGISTERED REPRESENTATIVE'S BROKERAGE OF STOCK AND OPTIONS ORDERS FOR CUSTOMER ACCOUNTS. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 05/31/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $22,500.00 Resolution Details: THE FIRM NEITHER ADMITTED NOR DENIED THE VIOLATIONS ALLEGED IN THE STATEMENT OF CHARGES. Summary: ****** REGULATORY ACTION (58 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: NASD BrokerCheck October 17, 2005 Page 63 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: COMMONWEALTH OF MASSACHUSETTS #145 Date initiated: 05/15/2000 Docket/ Case Number: 2000-26 Allegations: THE DIVISION ALLEGED THAT THE FIRM FAILED TO ADEQUATELY SUPERVISE TWO FINANCIAL CONSULTANTS IN ITS BOSTON OFFICE. IT WAS ALLEGED THAT ONE FINANCIAL CONSULTANT OVERCONCENTRATED CERTAIN SECURITIES IN CUSTOMERS' ACCOUNTS IN A MANNER NOT SUITABLE FOR THOSE ACCOUNTS WHILE THE OTHER FINANCIAL CONSULTANT ENGAGED IN A FRAUDULENT SCHEME TO STEAL MONEY FROM CUSTOMERS OVER A TEN (10) YEAR PERIOD. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 05/15/2000 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $750,000.00 Resolution Details: IN ADDITION TO AN ADMINISTRATIVE FINE, MERRILL LYNCH AGREED TO REIMBURSE THE MASSACHUSETTS INVESTOR EDUCATION FUND $100,000 FOR THE APPROXIMATE COST OF THE INVESTIGATION. Summary: A SETTLEMENT WAS ENTERED INTO BY MERRILL LYNCH WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS OR FINDINGS IN THE ORDER. AS PART OF AN UNDERTAKING MERRILL LYNCH AGREED TO DO THE FOLLOWING: (1) RETAIN A CONSULTANT TO REVIEW AND REPORT UPON THE CURRENT COMPLIANCE POLICY AND PROCEDURES WITH FOCUS IN CERTAIN SPECIFIED AREAS, AND (2) OFFER AN EXPEDITED MEDIATION PROCESS WHEREBY CUSTOMERS WITH CERTAIN CONCENTRATED SECURITIES POSITIONS MAY SEEK COMPENSATION. ****** REGULATORY ACTION (59 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: Initiated By: NYSE DIVISION OF ENFORCEMENT Date initiated: 05/10/2000 Docket/ Case Number: HPD#00-109 Allegations: **05/10/2000** STIPULATION AND CONSENT FILED BY NYSE DIVISION OF ENFORCEMENT AND PENDING THE FIRM CONSENTED TO FINDINGS THAT IT: VIOLATED SEC RULE 15C3-1(A) IN THAT IT FAILED TO MAINTAIN MINIMUM NET CAPITAL AT THE REQUIRED LEVEL WHILE ENGAGING IN SECURITIES TRANSACTIONS DURING THE PERIOD OF OCTOBER 27 THROUGH OCTOBER 29, 1998. VIOLATED SEC RULE 15C3-1(E)(1) AND (2) IN THAT IT WITHDREW EQUITY CAPTIAL DURING THE PERIOD OF OCTOBER 27 THROUGH OCTOBER 29, 1998 WHEN IT DID NOT HAVE MINIMUM NET CAPITAL AT THE REQUIRED LEVEL, AND FAILED TO PROVIDE NOTICE THAT IT WAS WITHDRAWING ITS EQUITY CAPITAL. VIOLATED EXCHANGE RULE 345.17 IN THAT THE FIRM FAILED TO FILE AND/OR FAILED TO PROMPTLY FILE FORMS U-5 AND AMENDMENTS TO FORMS U-5 WITH THE EXCHANGE. VIOLATED EXCHANGE RULE 351(A) IN THAT THE FIRM FAILED TO REPORT AND/OR FAILED TO PROMPTLY REPORT MATTERS TO THE EXCHANGE AS REQUIRED. VIOLATED EXCHANGE RULE 345. 12 IN THAT THE FIRM FAILED TO FILE AND/OR FAILED TO PROMPTLY FILE FORMS U-4 AND AMENDMENTS TO FORMS U-4 WITH THE EXCHANGE. VIOLATED EXCHANGE RULE 346(F) BY HAVING ASSOCIATED WITH IT PERSONS WHO WERE KNOWN OR IN THE EXERCISE OF REASONABLE CARE SHOULD HAVE BEEN KNOWN TO BE SUBJECT TO A STATUTORY DISQUALIFICATION. VIOLATED EXCHANGE RULE 351(A)(9) IN THAT THE FIRM FAILED TO PROMPTLY REPORT TO THE EXCHANGE ITS ASSOCIATION WITH PERSONS WHO WERE SUBJECT TO A STATUTORY DISQUALIFICATION. VIOLATED EXCHANGE RULE 351(D) IN THAT THE FIRM FAILED TO REPORT, FAILED TO TIMELY REPORT AND/OR FAILED TO ACCURATELY REPORT TO THE EXCHANGE STATISTICAL INFORMATION REGARDING CUSTOMER COMPLAINTS. VIOLATED EXCHANGE RULE 342 IN THAT IT FAILED TO PROVIDE FOR, ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS, INCLUDING SYSTEMS OF FOLLOW UP AND REVIEW: (I) OF ITS FINANCING WITH ITS PARENT, TO ENSURE COMPLIANCE WITH THE RULES RELATING TO WITHDRAWAL AND MAINTENANCE OF MINIMUM NET CAPITAL; AND **CONTINUED IN #13** NASD BrokerCheck October 17, 2005 Page 64 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Decision Resolution Date: 08/11/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $250,000.00 Resolution Details: **07/07/2000** DECISION HPD 00-109 ISSUED BY NYSE HEARING PANEL (6/29/00)DECISION: VIOLATED SEC RULE 15C3-1(A) BY FAILING TO MAINTAIN NET CAPITAL AT THE REQUIRED LEVEL; VIOLATED SEC RULE15C3-1(E)1 AND (2) BY WITHDRAWING EQUITY CAPITAL WHEN IT DID NOT HAVE MINIMUM NET CAPITAL AT THE REQUIRED LEVEL; VIOLATED RULE 345.17 BY FAILING TO FILE OR FILE PROMPTLY FORMS U-5; VIOLATED RULE 351(A) BY FAILING TO REPORT MATTERS TO THE EXCHANGE AS REQUIRED; VIOLATED RULE 345.12 BY FAILING TO FILE OR FILE PROMPTLY FORMS U-4; VIOLATED RULE 346(F) BY HAVING PERSONS ASSOCIATED WITH IT WHO WERE SUBJECT TO STATUTORY DISQUALIFICATION; VIOLATED RULE 351(A)(9) BY FAILING TO PROMPTLY REPORT ITS ASSOCIATION WITH PERSONS SUBJECT TO A STATUTORY DISQUALIFICATION; VIOLATED RULE 351(D) BY FAILING TO REPORT AS REQUIRED STATISTICAL INFORMATION REGARDING CUSTOMER COMPLAINTS; AND VIOLATED RULE 342 BY FAILING TO PROVIDE FOR, ESTABLISH AND MAINTAIN ADEQUATE PROCEDURES AND CONTROLS - CONSENT TO CENSURE, $250,000 FINE AND AN UNDERTAKING (TO CAUSE A REVIEW TO BE PERFORMED AND A WRITTEN REPORT PREPARED BY THE FIRM'S GENERAL COUNSEL, WITHIN 120 DAYS FROM THE DATE THE HPD BECOMES FINAL, TO REVIEW ITS SYSTEMS AND PROCEDURES REGARDING REPORTING EVENTS PURSUANT TO RULES 345 AND 351, A COPY TO BE PROVIDED TO THE EXCHANGE) Summary: (II) OF ITS REGULATORY REPORTING FUNCTION, TO ENSURE PROMPT REPORTING TO THE EXCHANGE OF EMPLOYEE ARRESTS, REPORTABLE EVENTS GENERALLY AND ITS ASSOCIATION WITH STATUTORILY DISQUALIFIED PERSONS; AND TO ENSURE EXCHANGE PERMISSION WAS OBTAINED FOR ITS ASSOCIATIONS WITH STATUTORILY DISQUALIFIED PERSONS. CONSENT TO A CENSURE, A F INE OF $250,000 AND AN UNDERTAKING TO PREPARE A REPORT TO THE FIRM'S GENERAL COUNSEL AS SET FORTH IN THE STIPULATION. CONTACT: **08/11/2000** THE DECISION IS NOW FINAL. THE BAR OR SUSPENSION IMPOSED IS EFFECTIVE IMMEDIATELY. PEGGY GERMINO (212) 656-8450. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE 152 Date initiated: 08/30/2000 Docket/ Case Number: HEARING PANEL DECISION 00-109 Allegations: MLPFS CONSENTED TO NYSE DECISION WITHOUT ADMITTING OR DENYING THAT ON 3 DAYS IN 1998,IT HAD A NET CAPITAL DEFICIENCY AND OBTAINED APPROVAL TO PREPAY PART OF A SUBORDINATED LOAN. IN ADDITION, BETWEEN 1995 AND 1998, MLPFS FAILED TO TIMELY FILE FORMS CONCERNING CERTAIN REPORTABLE EVENTS RELATING TO THE FIRM AND ITS EMPLOYEES. Current Status: Final Resolution: Decision Resolution Date: 08/30/2000 Sanctions Ordered: Monetary/Fine Monetary Amount: $250,000.00 Resolution Details: MLPFS IS TO CONDUCT A REVIEW OF ITS REGULATORY REPORTING PROCEDURES AND SUBMIT A REPORT ON SUCH PROCEDURES AND ANY ENHANCEMENTS WITHIN 120 DAYS. Summary: ****** REGULATORY ACTION (60 of 229) ****** NASD BrokerCheck October 17, 2005 Page 65 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 05/04/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/31/2000 Docket/ Case Number: CMS000041 Allegations: 05-04-00, SEC RULES 17A-3,17A-4,NASD RULES 2110 AND 3010 - RESPONDENT MEMBER FAILED TO MAINTAIN, KEEP CURRENT, OR PRESERVE A RECORD OF THE TIMES CUSTOMER LIMIT ORDERS WERE TRANSMITTED FOR EXECUTION, THE MANNER IN WHICH IT WAS TRANSMITTED, OR THE IDENTITY OF THE MEMBER TO WHICH THE ORDER WAS TRANSMITTED AND FOR ORDERS THAT WERE CANCELLED, THE IDENTITY OF THE FIRM TO WHICH THE ORDER WAS TRANSMITTED WAS NOT MAINTAINED, KEPT CURRENT, OR PRESERVED IN ANY RECORD; AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE ADEQUATE WRITTEN SUPERVISORY PROCEDURES CONCERNING THE TRANSMISSION AND HANDLING OF CUSTOMER LIMIT ORDERS IN SECURITIES IN WHICH THE FIRM DID NOT MAKE A MARKET. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/31/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: CENSURED AND FINED $9,000 Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS #147 Date initiated: 06/13/2000 Docket/ Case Number: CMS 000041 AWC Allegations: BOOKS AND RECORDS VIOLATION RELATED TO NASDAQ MARKET MAKING. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/13/2000 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,000.00 Resolution Details: MERRILL LYNCH, PIERCE, FENNER & SMITH INC. WAS FINED AND CENSURED FOR VIOLATIONS RELATED TO BOOKS AND RECORDS. Summary: ****** REGULATORY ACTION (61 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/10/2000 Initiated By: SEC. Date initiated: 08/06/1982 Docket/ Case Number: NASD BrokerCheck October 17, 2005 Page 66 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: WILFULLY VIOLATED ANTIFRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH OFFER AND SALE OF EXCHANGE LISTED OPTIONS. FAILED TO REASONABLY SUPERVISE EMPLOYEES AND CONTROL THEM. Current Status: Final Resolution: Consent Resolution Date: 08/06/1992 Sanctions Ordered: Disgorgement/Restitution, Censure Other Sanctions: ADOPT PROCEDURES Resolution Details: WILL MAKE OFFERS OF RESTITUTION TO CERTAIN CUSTOMERS. IN ADDITION MLP WILL ADOPT PROCEDURES TO IMPROVE ITS CAPABILITY TO SURVEY AND CONTROL OPTIONS TRANSACTIONS IN CUSTOMER ACCOUNTS AND ESTABLISH AN OPTION REVIEW COMMITTEE TO IMPLEMENT SUCH PROCEDURES, TO ASSURE ALL PROCEDURES ARE IN ACCORDANCE WITH THE SELF-REGULATORY GUIDELINES AND TO IMPLEMENT NEW OR REVISED PROCEDURES, WHERE WARRANTED, IN CONNECTION WITH MLP'S OPTION BUSINESS. Summary: [TOP] SEC NEWS DIGEST, 8/6/82, ISSUE 82-151 PUBLIC ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH INC. (MLP), A REGISTERED BROKER-DEALER WITH PRINCIPAL OFFICES IN NEW YORK, NEW YORK, AND 10 EMPLOYEES OR FORMER EMPLOYEES OF 4 MLP BRANCHES IN CLEVELAND AND COLUMBUS, OHIO, SOUTHFIELD AND DETROIT, MICHIGAN. ORDER ALLEGES MLP, BUSCH, HURT, WIRT, MEULEBROUCK, LEE, AND WILDS WILFULLY VIOLATED ANTIFRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH OFFER AND SALE OF EXCHANGE LISTED OPTIONS. IT ALSO ALLEGES MLP, HUTTON, BRANDT, PICKARD AND MCCOMAS FAILED TO REASONABLY SUPERVISE EMPLOYEES AND CONTROL THEM. SEC ACCEPTED RESPONDENTS SETTLEMENT OFFERS WHERE THEY CONSENTED TO FINDINGS OF WILLFUL VIOLATIONS WITHOUT ADMITTING OR DENYING ALLEGATIONS, AND SANCTIONS SET FORTH BELOW. ORDER CENSURES MLP, HUTTON, BRANDT, PICKARD AND MCCOMAS; SUSPENDS BUSCH FROM ASSOCIATION WITH ANY BROKER OR DEALER, FOR 12 MONTHS; AND SUSPENDS HURT, WIRT, MUELEBROUCK, WILDS, AND LEE FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT ADVISER, INVESTMENT COMPANY OR AFFILIATE FOR 6 MONTHS, 60 DAYS, 20 DAYS, 10 DAYS AND 10 DAYS, RESPECTIVELY. ADDITIONALLY, MLP STATES IT WILL MAKE OFFERS OF RESTITUTION TO CERTAIN CUSTOMERS. IN ADDITION MLP WILL ADOPT PROCEDURES TO IMPROVE ITS CAPABILITY TO SURVEY AND CONTROL OPTIONS TRANSACTIONS IN CUSTOMER ACCOUNTS AND ESTABLISH AN OPTION REVIEW COMMITTEE TO IMPLEMENT SUCH PROCEDURES, TO ASSURE ALL PROCEDURES ARE IN ACCORDANCE WITH THE SELF-REGULATORY GUIDELINES AND TO IMPLEMENT NEW OR REVISED PROCEDURES, WHERE WARRANTED, IN CONNECTION WITH MLP'S OPTION BUSINESS. IN ADDITION, HUTTON, BRANDT, PICKARD, AND MCCOMAS EACH STATES THAT HE WILL BE RETRAINED AS A SUPERVISOR FOR 10 BUSINESS DAYS, IN WHICH HE WILL RELINQUISH SUPERVISORY RESPONSIBILITY, AND WILL REQUALIFY AS A REGISTERED OPTION PRINCIPAL. (REL. 34-18923). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/06/1982 Docket/ Case Number: Allegations: ALLEGATION OF VIOLATION OF ANTIFRAUD PROVISIONS OF SECURITIES ACTS OF 1933 AND 1934. Current Status: Final Resolution: Settled Resolution Date: 08/06/1982 Sanctions Ordered: Disgorgement/Restitution, Censure Resolution Details: SEE ITEM 13 NASD BrokerCheck October 17, 2005 Page 67 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: THE COMMISSION SIMULTANEOUSLY ACCEPTED OFFERS OF SETTLEMENT OF THE RESPONDENTS WHEREIN THEY CONSENTED TO FINDINGS OF VIOLATIONS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE COMMISSION'S ORDER. ****** REGULATORY ACTION (62 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/11/2000 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/06/2000 Docket/ Case Number: RELS. 33-7838; 34-42640; FILE #3-10180 Allegations: THE SEC'S ORDERS ALLEGE AS FOLLOWS: FROM 1990 THROUGH 1994, EACH OF THE TEN BROKERAGE FIRMS CHARGED ISSUERS OF MUNICIPAL REFUNDING BONDS EXCESSIVE, UNDISCLOSED MARKUPS ON TREASURY SECURITIES. THE FIRMS ALSO CERTIFIED THAT THE PRICES THEY CHARGED DID NOT EXCEED THE SECURITIES' FAIR MARKET VALUE UNDER THE FEDERAL TAX LAWS, EVEN THOUGH THEY KNEW OR SHOULD HAVE KNOWN THAT THEY WERE CHARGING PRICES ABOVE FAIR MARKET VALUE. THE FALSE REPRESENTATIONS BY THE FIRMS ABOUT THE FAIR MARKET VALUE OF THE SECURITIES WERE CRITICAL TO ESTABLISHING THE TAX-EXEMPT STATUS OF THE ASSOCIATED MUNICIPAL REFUNDING BONDS. THAT TAX-EXEMPT STATUS WAS THE BONDS' ESSENTIAL INVESTMENT FEATURE. IN SOME CASES, A BROKERAGE FIRM'S OVERCHARGING DIVERTED MONEY FROM THE U.S. TREASURY TO THE FIRM. IN THE REMAINING CASES, OVERCHARGING BY THE BROKERAGE FIRM TOOK MONEY AWAY FROM THE MUNICIPALITY BY REDUCING, DOLLAR FOR DOLLAR, THE SAVINGS THAT THE MUNICIPALITY RECEIVED FROM THE REFUNDING. THEREFORE, EACH OF THE FIRMS VIOLATED THE FEDERAL SECURITIES LAWS BY SELLING SECURITIES TO MUNICIPALITIES AT INFLATED PRICES AND JEOPARDIZING THE TAX-EXEMPT STATUS OF THE MUNICIPALITIES' REFUNDING BONDS. Current Status: Final Resolution: Consent Resolution Date: 04/06/2000 Sanctions Ordered: Disgorgement/Restitution, Censure, Cease and Desist/Injunction Resolution Details: (1) A CENSURE; (2) A CEASE AND DESIST ORDER PROHIBITING FROM FUTURE VIOLATIONS OF THE SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933; AND (3) DISGORGEMENT OF $5 MILLION ($4.5 MILLION TO THE TREASURY AND $500,000 TO MUNICIPAL ISSUERS). Summary: +04/09/2000+ SEC NEWS DIGEST, ISSUE NO. 2000-65, DATED 04/06/2000, ENFORCEMENT PROCEEDINGS DISCLOSES: THE SEC TODAY BROUGHT AND SETTLED CIVIL ADMINISTRATIVE FRAUD CHARGES AGAINST TEN WALL STREET AND REGIONAL BROKERAGE FIRMS FOR OVERCHARGING MUNICIPALITIES FOR GOVERNMENT SECURITIES IN A PRACTICE COMMONLY KNOWN AS "YIELD BURNING." THE SETTLEMENTS ANNOUNCED TODAY ARE PART OF A GLOBAL RESOLUTION OF ALL YIELD BURNING CLAIMS WITH A TOTAL OF SEVENTEEN BROKERAGE FIRMS BY THE SEC, NASD REGULATION, INC., THE U.S. ATTORNEY FOR THE SOUTHERN DISTRICT OF NEW YORK, AND THE DEPARTMENT OF THE TREASURY. THIS GLOBAL RESOLUTION REQUIRES THE FIRMS TO PAY A TOTAL OF MORE THAN $139 MILLION. INCLUDING THE ACTIONS ANNOUNCED TODAY, MORE THAN $172 MILLION WILL HAVE BEEN PAID BY 21 FIRMS TO RESOLVE CHARGES OF YIELD BURNING AND RELATED CLAIMS. YIELD BURNING INVOLVES OVERCHARGES BY BROKERAGE FIRMS ON TREASURY SECURITIES PURCHASED WITH PROCEEDS FROM THE SALE OF MUNICIPAL BONDS. YIELD BURNING BY BROKERAGE FIRMS JEOPARDIZED THE TAX-EXEMPT STATUS OF INTEREST PAID TO HOLDERS OF THOSE BONDS. WITHOUT ADMITTING OR DENYING THE FINDINGS, EACH FIRM INCLUDING MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CONSENTED TO A CENSURE, A CEASE AND DESIST ORDER PROHIBITING FUTURE VIOLATIONS, AND AGREED TO DISGORGE THE ILL-GOTTEN GAINS IT RECEIVED FROM THE OVERCHARGING. (RELS. 33-7838; 34-42640; FILE NO. 3-10180) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: NASD BrokerCheck October 17, 2005 Page 68 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: SECURITIES AND EXCHANGE COMMISSION #139 Date initiated: 04/06/2000 Docket/ Case Number: SEA REL. 42640; 95 CIV. 1353 (SDNY) Allegations: ALLEGATION THAT TREASURY SECURITIES WERE PRICED TOO HIGH WHEN SOLD IN CONNECTION WITH MUNICIPAL ADVANCE REFUNDING BOND OFFERINGS. Current Status: Final Resolution: Settled Resolution Date: 04/06/2000 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $972,482.00 Resolution Details: THE FIRM AGREED TO PAY $972,482 TO MUNICIPALITIES AND $4,614,869 TO THE UNITED STATES TREASURY. Summary: THE FIRM JOINED IN A GLOBAL SETTLEMENT OF THE SEC'S INDUSTRY-WIDE INVESTIGATION RELATING TO THE PRICING OF GOVERNMENT SECURITIES IN ADVANCE REFUNDS (SEA REL. NO. 42640) AND A RELATED QUI TAM SUIT BROUGHT BY MICHAEL LISSACK ON BEHALF OF THE UNITED STATES (95 CIV. 1353 (SDNY)). UNDER THE TERMS OF THE SETTLEMENT, MERRILL LYNCH, WITHOUT ADMITTING OR DENYING LIABILITY, CONSENTED TO AN SEC ADMINISTRATIVE CEASE AND DESIST ORDER UNDER SECTIONS 17(A)(2) AND (3) OF THE SECURITIES AND EXCHANGE ACT, AND A CENSURE AND AGREED TO PAYMENTS TO MUNICIPALITIES AND TO THE UNITED STATES TREASURY. THE QUI TAM SUIT AGAINST MERRILL LYNCH WAS THEN DISMISSED WITH PREJUDICE AND THE INTERNAL REVENUE SERVICE AGREED TO PROVIDE ASSURANCES TO MUNICIPALITIES RELATING TO THE TAX EXEMPT STATUS OF APPROXIMATELY 260 TRANSACTIONS. ****** REGULATORY ACTION (63 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE #134 Date initiated: 12/15/1999 Docket/ Case Number: 99-0056 Allegations: THE FIRM HAS BEEN NOTIFIED THAT THE CBOE BUSINESS CONDUCT COMMITTEE ISSUED A STATEMENT OF CHARGES ALLEGING THAT THE FIRM FAILED TO SUPERVISE AND FAILED TO ESTABLISH AND IMPLEMENT ADEQUATE PROCEDURES REASONABLY DESIGNED TO SUPERVISE THE ACTIVITIES OF A REGISTERED REPRESENTATIVE WHO ALLEGEDLY EFFECTED EXCESSIVE AND UNSUITABLE STOCK AND OPTIONS TRANSACTIONS FOR PUBLIC CUSTOMERS. Current Status: Pending Summary: THIS MATTER IS PENDING. THE FIRM HAS CONTENDED THAT ITS SUPERVISION AND SUPERVISORY PROCEDURES WERE ADEQUATE AND REASONABLY DESIGNED TO SUPERVISE THE REGISTERED REPRESENTATIVE IN QUESTION. ****** REGULATORY ACTION (64 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/30/2000 Initiated By: MARYLAND DIVISION OF SECURITIES Date initiated: 12/27/1999 Docket/ NASD BrokerCheck October 17, 2005 Page 69 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Case Number: 97-0659 Allegations: MERRILL LYNCH'S AGENTS MADE UNSUITABLE PURCHASES FOR CUSTOMERS, PRIMARILY FROM OVER CONCENTRATION OF INVESTMENTS, ENGAGED IN EXCESSIVE TRANSACTIONS IN CERTAIN CUSTOMERS ACCOUNTS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/27/1999 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $50,000.00 Other Sanctions: RESPONDENT WAS ORDERED TO PAY INVESTORS WHAT THEY WERE CHARGED FOR COMMISSIONS ($175,253.00), AND TO MAINTAIN OR ENHANCE CERTAIN COMPLIANCE POLICIES AND PROCEDURES. Resolution Details: FINED $50,000.00. COMMISSIONS RETURNED TO INVESTORS - ($175,253.00). Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES COMMISSIONER OF MARYLAND #133 Date initiated: 12/27/1999 Docket/ Case Number: NO. 97-0659 Allegations: IT WAS ALLEGED THAT TRANSACTIONS WERE UNSUITABLE IN MOSSIMO INC. STOCK AS TO CERTAIN CUSTOMERS PRIMARILY BECAUSE OF AN OVER CONCENTRATION; THAT CERTAIN OF THE FIRM'S FINANCIAL CONSULTANTS' ENGAGED IN EXCESSIVE TRADNG IN CERTAIN ACCOUNTS; AND, THAT THE FIRM DID NOT TIMELY FILE AND IN SOME CASES DID NOT FILE CERTAIN REGULATORY REPORTS. Current Status: Final Resolution: Consent Resolution Date: 12/27/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Other Sanctions: SEE PARAGRAPHS 12.C. AND 13. BELOW. Resolution Details: THE CONSENT ORDER INCLUDED THE FIRM'S AGREEMENT TO REFUND COMMISSIONS PAID BY CERTAIN CUSTOMERS ON TRANSACTIONS IN MOSSIMO INC. STOCK IN THE AMOUNT OF $175,253. THIS SUM WAS PAID TO THE SECURITIES DIVISION OF MARYLAND ON OR ABOUT DECEMBER 27, 1999 FOR DISTRIBUTION TO CUSTOMERS. Summary: IN ADDITION TO THE FOREGOING, THE FIRM UNDERTOOK THE FOLLOWING WITH RESPECT TO ITS BALTIMORE OFFICE; CONTINUATION OF MANDATORY TRAINING SESSIONS; COMPLIANCE WITH POLICIES AND PROCEDURES OF THE FIRM; PROVIDE TO THE COMMISSIONER COPIES OF SALES PRACTICE COMPLAINTS RECEIVED IN THE YEARS 2000 AND 2001; MAINTENANCE OF ADEQUATE ADMINISTRATIVE PERSONNEL; REIMBURSEMENT OF THE REASONABLE COSTS INCURRED IN UP TO TWO INSPECTIONS WHICH MAY BE CONDUCTED BY THE SECURITIES DIVISION DURING THE NEXT THREE YEARS. ****** REGULATORY ACTION (65 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WISCONSIN DIVISION OF SECURITIES #135 NASD BrokerCheck October 17, 2005 Page 70 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 08/06/1999 Docket/ Case Number: S-97061(LX) Allegations: A REGISTERED REPRESENTATIVE ENGAGED IN EXCESSIVE AND UNAUTHORIZED TRADING IN CUSTOMERS' ACCOUNTS. Current Status: Final Resolution: Consent Resolution Date: 08/10/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: THE FIRM DID NOT CONTEST THE MATTER AND SIGNED A WAIVER AND ORDER OF ASSESSMENT (CONSENT) VOLUNTARILY UNDERTAKING TO PAY $2,500 AS AN ADMINISTRATIVE ASSESSMENT. Summary: ****** REGULATORY ACTION (66 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/27/2002 Initiated By: CHICAGO BOARD OPTIONS EXCHANGE ("CBOE") Date initiated: 07/26/1985 Docket/ Case Number: UNKNOWN Allegations: FAILURE TO SUPERVISE AN ACOUNT EXECUTIVE WHO PERMITTED A PUBLIC CUSTOMER TO TRADE OPTIONS BEYOND HIS FINANCIAL MEANS AND RECOMMENDED OTHERWISE UNSUITABLE TRANSACTIONS. Current Status: Final Resolution: Settled Resolution Date: 07/26/1985 Sanctions Ordered: Censure Resolution Details: IN SETTLEMENT OF THE PROCEEDING THE FIRM AND THE BRANCH MANAGER WERE JOINTLY AND SEVERALLY FINED AND CENSURED. Summary: ****** REGULATORY ACTION (67 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE ("CBOE") Date initiated: 01/03/1985 Docket/ Case Number: UNKNOWN Allegations: FIRM AND OFFICE MANAGER FAILED TO SUPERVISE REGARDING OPTIONS TRANSACTIONS THAT WERE ALLEGED UNSUITABLE IN A NUMBER OF CUSTOMER ACCOUNTS DURING FEBRUARY 1982 THROUGH FEBRUARY 1983. Current Status: Final Resolution: Decision Resolution Date: 01/03/1985 NASD BrokerCheck October 17, 2005 Page 71 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: THE BUSINESS CONDUCT COMMITTEE OF THE CBOE ACCEPTED THE OFFER OF CONSENT AND ISSUED A DECISION CENSURING THE FIRM AND ASSESSING A FINE. Summary: ****** REGULATORY ACTION (68 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 02/06/1970 Docket/ Case Number: UNKNOWN Allegations: FIRM AND FIRST NATIONAL CITY BANK VIOLATED SECTION 5 OF THE SECURITIES ACT. Current Status: Final Resolution: Dismissed Resolution Date: 02/06/1970 Sanctions Ordered: Resolution Details: Summary: SEC FILED A COMPLAINT FOR AN INJUNCTION IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK. MERRILL LYNCH ENTERED INTO A STIPULATION AND UNDERTAKING WITH THE SEC WHEREIN IT DENIED THAT IT ENGAGED IN ANY ILLEGAL ACTS BUT AGREED TO CEASE ACTING IN CONNECTION WITH THE BANKS' SPECIAL INVESTMENT ADVISORY SERVICE. AN ORDER WAS ENTERED THE SAME DAY BY THE COURT DISMISSING THE SEC'S COMPLAINT WITHOUT PREJUDICE. ****** REGULATORY ACTION (69 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/02/1975 Docket/ Case Number: CIVIL ACTION #75-1065 Allegations: VIOLATION OF SECTION 17(A) OF THE SECURITIES ACT OF 1933 AND SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 10-5 THEREUNDER IN CONNECTION WITH THE PURCHASE AND SALE OF THE SECURITIES OF COMEX. Current Status: Final Resolution: Order Resolution Date: 07/02/1975 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: FIRM CONSENTED TO THE ENTRY OF JUDGMENT OF PERMANENT INJUCTION FOLLOWING THE FILING OF A COMPLAINT BY THE SEC AGAINST STIRLING HOMEX CORPORATION, MERRILL LYNCH AND VARIOUS OTHER DEFENDANT IN THE U.S. DISTRICT COURT FOR THE DISTRICT OF COLUMBIA. MERRILL LYNCH SHALL ADOPT, IMPLEMENT AND MAINTAIN NASD BrokerCheck October 17, 2005 Page 72 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) CERTAIN POLICIES AND PROCEDURES REASONABLY CALCULATED TO PREVENT REOCURRENCE OF VIOLATIONS. Summary: ****** REGULATORY ACTION (70 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITES DEALERS Date initiated: 05/26/1999 Docket/ Case Number: CMS 990053 AWC Allegations: VIOLATIONS OF THE NASD'S REPORTING REQUIREMENTS TO ITS FIXED INCOME PRICING SYSTEM. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 05/26/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: CENSURE AND $5,000 FINE. Summary: ****** REGULATORY ACTION (71 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 11/25/1968 Docket/ Case Number: SEA RELEASE #8459 Allegations: VIOLATION OF SECTIONS 17(A), 10(B) AND 15(C)(1) OF THE EXCHANGE ACT AND RULES 10B-5 AND 15(C)-2 Current Status: Final Resolution: Other Resolution Date: 11/25/1968 Sanctions Ordered: Suspension Resolution Details: NY INSTITUTIONAL SALES OFFICE SUSPENDED FOR 21 DAYS BEGINNING 12/5/68 AND WEST COAST UNDERWRITING OFFICE SUSPENDED FOR 15 DAYS BEGINNING 12/11/68. Summary: ****** REGULATORY ACTION (72 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2004 Initiated By: D.C. AND THE MASS WATER RESOURCES AUTHORITY Date initiated: 09/01/1995 NASD BrokerCheck October 17, 2005 Page 73 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF 18 U.S.C. SECTIONS 1341, 1345, 1346 AND MASSACHUSETTS STATUTE G.L. 93A, SECTION 2. Current Status: Final Resolution: Settled Resolution Date: 09/01/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $120,000.00 Resolution Details: FIRM PAID $12.01 MILLION WHICH IS COMPOSED OF THE FOLLOWING: 8.8 MILLION IN AN ADMINISTRATIVE PAYMENT TO THE U.S., 2.5 MILLION IN A CIVIL PENALTY TO THE U.S., $500,000 IN A CIVIL PENALTY TO MASSACHUSETTS AND $300,000 FOR CERTAIN COSTS AND EXPENSES OF LITIGATION TO THE U.S. AND MASSACHUSETTS. FIRM HAS CONSENTED, WITHOUT ADMITTING OR DENYING ANY FINDINGS, TO THE ISSUANCE OF AN ORDER OF THE SEC CONTAINING FINDINGS THAT FIRM VIOLATED RULE G-17 OF THE MUNICIPAL SECURITIES RULEMAKING BOARD. UNDER THE ORDER FIRM IS CENSURED, IS ORDERED TO CEASE AND DESIST FROM ANY FUTURE VIOLATION OF RULE G-17, IS ORDERED TO PAY A CIVIL PENALTY OF 2.5 MILLION AND RESTITUTION OF 3.8 MILLION TO THE DISTRICT OF COLUMBIA AND THE MASSACHUSETTS WATER RESOURCES AUTHORITY AND TO COMPLY WITH ITS UNDERTAKING TO MAINTAIN CERTAIN PREVIOUSLY ADOPTED POLICIES AND PROCEDURES. Summary: ****** REGULATORY ACTION (73 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: RHODE ISLAND SECURITIES COMMISSION Date initiated: 10/04/1993 Docket/ Case Number: CA-93-12 Allegations: CERTAIN SALES AGENTS OF THE FIRM WERE EMPLOYED AS INVESTMENT ADVISOR REPRESENTATIVES WITHOUT BEING LICENSED. Current Status: Final Resolution: Consent Resolution Date: 10/04/1993 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,300.00 Resolution Details: FIRM ENTERED INTO A CONSENT AGREEMENT WITH THE STATE REPRESENTING THAT SUCH EMPLOYMENT WAS UNINTENTIONAL AND AGREED TO PAY BACK FEES OF $1,300 AND AN ADDITIONAL $14,000. Summary: ****** REGULATORY ACTION (74 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 09/01/1995 Docket/ Case Number: 95-0021 NASD BrokerCheck October 17, 2005 Page 74 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: VIOLATION OF CBOE RULE 4.11 REGARDING POSITION LIMITS THROUGH THE ESTABLISHMENT OF LONG CALL, SHORT PUT POSITIONS ON TELEFONOS DE MEXICO IN DECEMBER 1993. Current Status: Final Resolution: Settled Resolution Date: 09/22/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $20,000.00 Resolution Details: ACCEPTANCE OF THE FIRM'S LETTER OF CONSENT TO THE IMPOSITION OF A $20,000.00 FINE. Summary: ****** REGULATORY ACTION (75 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISION Date initiated: 12/22/1993 Docket/ Case Number: ADMIN. PROCEEDING 3-3255, SEC REL. 33367 Allegations: VIOLATION OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 IN THAT IT FAILED TO PROPERLY RECORD ON ITS BOOKS AND RECORDS CERTAIN TRADES OF HIGH YIELD AND TREASURY SECURITIES. Current Status: Final Resolution: Order Resolution Date: 12/22/1993 Sanctions Ordered: Censure, Cease and Desist/Injunction Resolution Details: CONSENTED WITHOUT ADMITTING OR DENYING THE MATTERS SET FORTH TO THE ISSUANCE OF AN ORDER OF CENSURE, CEASE AND DESIST AND REQUIREMENT TO MAINTAIN CERTAIN PROCEDURES TO ASSURE COMPLIANCE WITH THE ACT AND RULE THEREUNDER. Summary: ****** REGULATORY ACTION (76 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 02/27/1991 Docket/ Case Number: UNKNOWN Allegations: THE FIRM FAILED TO SUPERVISE A FINANCIAL CONSULTANT WHO ALLEGEDLY MADE UNSUITABLE RECOMMENDATIONS TO HIS CUSTOMERS. Current Status: Final Resolution: Settled Resolution Date: 02/27/1991 Sanctions Ordered: Censure Monetary Amount: $2,500.00 NASD BrokerCheck October 17, 2005 Page 75 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: THE NASD ACCEPTED OFFERS OF SETTLEMENT RESULTING IN THE IMPOSITION OF A CENSURE AND A FINE. Summary: ****** REGULATORY ACTION (77 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY EXCHANGE INC. Date initiated: 12/01/1980 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF RULES RELATING TO CUSTOMER'S POSITION LIMITS. Current Status: Final Resolution: Settled Resolution Date: 12/01/1980 Sanctions Ordered: Resolution Details: Summary: IN A DISCIPLINARY PROCEEDING A FINE WAS IMPOSED. ****** REGULATORY ACTION (78 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 04/22/1991 Docket/ Case Number: UNKNOWN Allegations: COMMITTEE VOTED TO ACCEPT AN OFFER OF SETTLEMENT SUBMITTED BY THE FIRM. Current Status: Final Resolution: Settled Resolution Date: 05/05/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS, MLPF&S AGREED TO PAY A FINE OF $1,000.00 Summary: ****** REGULATORY ACTION (79 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 05/29/1990 NASD BrokerCheck October 17, 2005 Page 76 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: UNKNOWN Allegations: THE FLOOR GOVERNORS COMMITTEE VOTED TO ACCEPT A JOINT OFFER OF SETTLEMENT SUBMITTED BY MERRILL LYNCH AND MERRILL LYNCH GOVERNMENT SECURITIES INC. Current Status: Final Resolution: Decision Resolution Date: 07/05/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $30,000.00 Resolution Details: IN ACCORDANCE WITH THE SETTLEMENT OFFER, THE COMMITTEE IMPOSED A FINE. IN ACCEPTING THE SETTLEMENT OFFER, THE COMMITTEE TOOK INTO CONSIDERATION THE BROKERAGE FEES EARNED BY FIRM AND THE TWO MEMBERS IN CONTRAVENTION OF THE MEMBERSHIP RESTRICTIONS. Summary: ****** REGULATORY ACTION (80 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO MERCANTILE EXCHANGE Date initiated: 05/21/1982 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF A SPECULATIVE JOINT LIMIT RULE BY A CUSTOMER. Current Status: Final Resolution: Order Resolution Date: 05/21/1982 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: FIRM CONSENTED TO A CEASE AND DESIST ORDER. Summary: ****** REGULATORY ACTION (81 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 12/21/1989 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF RULE 450.00 IN THAT FIRM FAILED TO REMIT EXCHANGE SERVICE FEES AND RULE 504.00 IN THAT FIRM ENGAGED IN ACTS DETRIMENTAL TO THE INTEREST AND WELFARE OF THE EXCHANGE. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/21/1989 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 17, 2005 Page 77 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $250,000.00 Resolution Details: THE CHICAGO MERCANTILE EXCHANGE ISSUED A CEASE & DESIST ORDER BY AGREEMENT WITH MERRILL LYNCH FUTURES INC.AN OFFER OF SETTLEMENT SUBMITTED BY THE FIRM AGREED TO PAY CERTAIN FEES, INTEREST AND A FINE WITHOUT ADMITTING OR DENYING A VIOLATION OF RULES. Summary: ****** REGULATORY ACTION (82 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 03/26/1987 Docket/ Case Number: UNKNOWN Allegations: FIRM VIOLATED REGULATION 480.87 IN THAT IT FAILED TO NOTIFY THE EXCHANGE IN A TIMELY NATURE THROUGH THE NATIONAL FUTURES ASSOCIATION OF THE TERMINATION OF A SIGNIFICANT NUMBER OF REGISTERED COMMODITY REPRESENTATIVES WHO LEFT THE FIRMS' EMPLOY. Current Status: Final Resolution: Decision Resolution Date: 05/20/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: FIRM WAS FINED. Summary: ****** REGULATORY ACTION (83 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/15/1988 Docket/ Case Number: UNKNOWN Allegations: VIOLATIONS OF FREE-RIDING AND WITHHOLDING INTERPRETATION, ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/15/1988 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: FIRM EXECUTED TWO LETTERS OF ACCEPTANCE WAIVER AND CONSENT #NY6099 AND #NY7000. THERE WERE NO SHARES WITHHELD FOR THE FIRMS' ACCOUNT AND THE TRANSACTIONS INVOLVED CONSTITUTED APPROXIMATELY 1/4 OF 1% OF THE SHARES SOLD BY THE FIRM IN THE PUBLIC OFFERINGS. Summary: NASD BrokerCheck October 17, 2005 Page 78 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (84 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 01/17/1984 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF AN EXISTING CEASE AND DESIST ORDER. Current Status: Final Resolution: Order Resolution Date: 01/17/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: FIRM WAS ORDERED TO PREVENT TRADING IN DISCRETIONARY ACCOUNTS WITH EQUITY LESS THAN $5000.00 AND WAS REQUIRED TO PERFORM CERTAIN FUNCTIONS RELATING TO THE HANDLING OF DISCRETIONARY ACCOUNTS. Summary: ****** REGULATORY ACTION (85 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF TRADE Date initiated: 05/19/1982 Docket/ Case Number: UNKNOWN Allegations: FIRM VIOLATED AN EXCHANGE RULE IN THAT BETWEEN JANUARY 21 AND FEBRUARY 17, 1982 FIRM FURNISHED INCORRECT INFORMATION REGARDING DAILY TRADING ACTIVITY TO THE BOARD OF TRADE CLEARING CORPORATION. Current Status: Final Resolution: Order Resolution Date: 06/04/1982 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: BOARD OF TRADE CLEARING CORPORATION ORDERED FIRM TO CEASE AND DESIST FROM VIOLATION. Summary: ****** REGULATORY ACTION (86 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/30/1984 Docket/ Case Number: UNKNOWN NASD BrokerCheck October 17, 2005 Page 79 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: FAILURE TO SUPERVISE ACTIVITIES OF TWO FORMER ACCOUNT EXECUTIVES AND THEIR HANDLING OF THREE UNRELATED OPTION ACCOUNTS IN 1979 AND 1980. THE CHARGES AGAINST THE ACCOUNT EXECUTIVES DEALT WITH THE RECOMMENDATIONS OF UNSUITABLE OPTIONS TRANSACTIONS. Current Status: Final Resolution: Settled Resolution Date: 11/30/1984 Sanctions Ordered: Resolution Details: Summary: NASD ACCEPTED AN OFFER OF SETTLEMENT. ****** REGULATORY ACTION (87 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 08/24/1989 Docket/ Case Number: UNKNOWN Allegations: DURING THE APPROXIMATE PERIOD IN OR ABOUT OCTOBER 1987 AND IN OR ABOUT NOVEMBER 1988 SECURITIES OPTIONS CORPORATION FAILED TO REFLECT THE ACCOUNT OF A NOMINEE ON THE FIRMS FINANCIAL STATEMENTS AND NET CAPITAL COMPUTATIONS. Current Status: Final Resolution: Settled Resolution Date: 08/24/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: THE CBOE ACCEPTED AN OFFER BY SECURITIES OPTIONS CORPORATION WHEREIN WITHOUT ADMITTING OR DENYING THE VIOLATIONS ALLEGED IT CONSENTED TO THE IMPOSITION OF A FINE. Summary: ****** REGULATORY ACTION (88 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE ("CBOE") Date initiated: 06/14/1985 Docket/ Case Number: UNKNOWN Allegations: A NUMBER OF CBOE RULE VIOLATIONS REQUIRING THE TIMELY FILING OF EXERCISE ADVISE FORMS AND EXERCISE NOTICES. Current Status: Final Resolution: Consent Resolution Date: 06/14/1985 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 17, 2005 Page 80 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $12,729.00 Other Sanctions: THE FIRM WAS ADMONISHED. Resolution Details: CBOE BUSINESS CONDUCT COMMITTEE ACCEPTED A LETTER OF CONSENT-ADMONISHED AND FINED FIRM. Summary: ****** REGULATORY ACTION (89 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OF OPTIONS EXCHANGE ("CBOE") Date initiated: 07/19/1984 Docket/ Case Number: UNKNOWN Allegations: FIRM AND OFFICE MANAGER FAILED TO REASONBLY SUPERVISE AN ACCOUNT EXECUTIVE WHO RECOMMENDED OPTION TRANSACTIONS TO A PUBLIC CUSTOMER WHICH WERE UNSUITABLE. Current Status: Final Resolution: Consent Resolution Date: 07/19/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,500.00 Resolution Details: THE FIRM WITHOUT ADMITTING OR DENYING THAT A VIOLATION HAD BEEN COMMITTED, ACCEPTED FINES AND EXECUTED A LETTER OF CONSENT IN SETTLEMENT OF THE CBOE PROCEEDING. Summary: ****** REGULATORY ACTION (90 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: INDIANA SECURITIES COMMISSION Date initiated: 03/18/1992 Docket/ Case Number: UNKNOWN Allegations: STATE ENTERED AN ORDER APPROVING A CONSENT AGREEMENT TO DISMISS AN ADMINISTRATIVE COMPLAINT AGAINST THE FIRM. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 03/18/1992 Sanctions Ordered: Resolution Details: Summary: FIRM AGREED TO PROVIDE RESTITUTION TO AN INDIANA RESIDENT. THE AGREEMENT ALSO PROVIDED THAT THE STIPULATION DID NOT CONSTITUTE ADMISSION OF GUILT. ****** REGULATORY ACTION (91 of 229) ****** NASD BrokerCheck October 17, 2005 Page 81 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS SECRETARY OF STATE Date initiated: 04/09/1990 Docket/ Case Number: UNKNOWN Allegations: INFORMATION NOT PROVIDED. Current Status: Final Resolution: Consent Resolution Date: 04/09/1990 Sanctions Ordered: Resolution Details: Summary: FIRM WAS TO AMEND ITS WRITTEN POLICY IN CONNECTION WITH RETAIL SALES TO THE PUBLIC IN MASSACHUSETTS, FILE SUCH MATERIALS WITH THE OFFICE OF THE SECRETARY OF STATE, IMPLEMENT A PERIODIC PROGRAM OF INSTRUCTION FOR ITS FINANCIAL CONSULTANTS CONCERNING INTERNAL USE MATERIALS AND REPORT PERIODICALLY COMPLIANCE WITH THE WRITTEN POLICY. ****** REGULATORY ACTION (92 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: GEORGIA SECURITIES COMMISSION Date initiated: 04/28/1980 Docket/ Case Number: UNKNOWN Allegations: ALLEGED SALE OF SECURITIES IN GEORGIA BY AN ACCOUNT EXECUTIVE NOT REGISTERED IN GEORGIA. Current Status: Final Resolution: Order Resolution Date: 04/28/1980 Sanctions Ordered: Other Sanctions: THE FIRM WAS REPRIMANDED. Resolution Details: THE ORDER WAS ISSUED AFTER THE FIRM WAIVED ITS RIGHTS TO A HEARING AND AFTER CONSENTING TO ITS ENTRY WITHOUT ADMITTING OR DENYING THE ALLEGATION. Summary: ****** REGULATORY ACTION (93 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ARIZONA CORPORATION COMMISSION Date initiated: 10/26/1988 Docket/ Case Number: S-2548-I Allegations: THREE SALESPERSONS OFFERED TO SELL SECURITIES WITHIN OR FROM NASD BrokerCheck October 17, 2005 Page 82 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ARIZONA WITHOUT BEING REGISTERED. Current Status: Final Resolution: Order Resolution Date: 10/26/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $10,000.00 Resolution Details: AN ORDER ASSESSING AN ADMINISTRATIVE PENALTY ON CONSENT WAS ENTERED ON 10/26/88. Summary: ****** REGULATORY ACTION (94 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WISCONSIN COMMISSIONER OF SECURITIES Date initiated: 06/20/1977 Docket/ Case Number: UNKNOWN Allegations: FIRM ENGAGED IN CONDUCT IN VIOLATION OF WISCONSIN UNIFORM SECURITIES LAW IN THE AREA OF AGENT REGISTRATION REQUIREMENTS. Current Status: Final Resolution: Order Resolution Date: 06/20/1977 Sanctions Ordered: Monetary/Fine Monetary Amount: $150,000.00 Resolution Details: FIRM SUBMITTED AND DISTRIBUTED REVISED SUPERVISORY PROCEDURES AND INSTRUCTIONS FOR AGENTS CONCERNING COMPLIANCE WITH AGENT LICENSING PROVISIONS OF THE WISCONSIN STATUTE. Summary: ****** REGULATORY ACTION (95 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/08/2004 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 02/24/1986 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF THE TIME STAMPING AND ORDER TICKET PREPARATION AND MAINTENANCE REQUIREMENTS OF THE COMMODITY EXCHANGE ACT. Current Status: Final Resolution: Consent Resolution Date: 02/24/1986 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $35,000.00 Resolution Details: FIRM AGREED TO CEASE AND DESIST FROM FUTURE VIOLATIONS, PAY A NASD BrokerCheck October 17, 2005 Page 83 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) CIVIL PENALTY AND REVISE ITS COMPUTER PROGRAM AND OPERATIONS. Summary: ****** REGULATORY ACTION (96 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 09/30/1985 Docket/ Case Number: UNKNOWN Allegations: MERRILL LYNCH FAILED TO SUPERVISE ACTIVITIES OF A FORMER MERRILL LYNCH FUTURES INC. EMPLOYEE. Current Status: Final Resolution: Settled Resolution Date: 09/30/1985 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $75,000.00 Resolution Details: MERRILL LYNCH AGREED TO REVIEW CERTAIN PROCEDURES. Summary: MERRILL LYNCH FUTURES INC. CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO A CEASE AND DESIST. ****** REGULATORY ACTION (97 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 11/14/1985 Docket/ Case Number: 85-6 Allegations: VIOLATIONS OF SECTIONS 4C(A)&(B) OF THE ACT AND REGULATIONS 1.38 AND 166.3 PROHIBITING WASH SALES. Current Status: Final Resolution: Settled Resolution Date: 11/14/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $50,000.00 Resolution Details: PURSUANT TO THE TERMS OF SETTLEMENT AGREEMENT - $50,000 CIVIL PENALTY AND AN ORDER TO COMPLY WITH CERTAIN UNDERTAKINGS TO REVIEW/REFORM ITS SUPERVISORY AND TRAINING POLICIES/PROCEDURES AND TO CEASE AND DESIST FROM SAID VIOLATIONS. Summary: ****** REGULATORY ACTION (98 of 229) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION NASD BrokerCheck October 17, 2005 Page 84 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 08/30/1983 Docket/ Case Number: UNKNOWN Allegations: VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER. Current Status: Final Resolution: Order Resolution Date: 08/30/1983 Sanctions Ordered: Censure Resolution Details: FIRM AGREED TO A CENSURE AND TO INSTITUTE NEW PROCEDURES WITH RESPECT TO STOCK LOAN TRANSACTIONS. Summary: ****** REGULATORY ACTION (99 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/14/2003 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1999 Docket/ Case Number: CMS990035 Allegations: RESPONDENT MEMBER: FAILED TO EXECUTE PREFERENCED SELECTNET ORDERS WHICH HAD BEEN PRESENTED TO THE FIRM AT THE FIRM'S PUBLISHED BID OR PUBLISHED OFFER IN AN AMOUNT UP TO ITS PUBLISHED QUOTATION SIZE AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION; FAILED TO ESTABLISH AND MAINTAIN WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING SEC AND NASD FIRM QUOTE RULES. [SEC RULE 11AC1-1; NASD RULES 2110, 3010, 3320, 4613(B)] Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/30/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: $15,000.00 FINE; CENSURE Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/30/1999 Docket/ Case Number: CMS990035 Allegations: VIOLATIONS OF SEC RULE 11AC-1 AND NAST RULES 2110, 3010, 3320 AND 4613(B). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/30/1999 NASD BrokerCheck October 17, 2005 Page 85 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $15,000.00 Resolution Details: FINE PAID AS OF 03/30/1999 Summary: MERRILL LYNCH FAILED TO EXECUTE PREFERENCED SELECT NET ORDERS WHICH HAD BEEN PRESENTED TO THE FIRM AT THE FIRM'S PUBLISHED BID OR PUBLISHED OFFER IN AN AMOUNT UP TO ITS PUBLISHED QUOTATION SIZE AND THEREBY FAILED TO HONOR ITS PUBLISHED QUOTATION; FAILED TO ESTABLISH AND MAINTAIN WRITTEN SUPERVISORY PROCEDURES RESONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING SEC AND NASD FIRM QUOTE RULES. ****** REGULATORY ACTION (100 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/29/1984 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/24/1984 Docket/ Case Number: WA-426-SC Allegations: Current Status: Final Resolution: Decision Resolution Date: 06/29/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: SUMMARY COMPLAINT NO. WA-426-SC FILED FEBRUARY 24, 1984 BY DISTRICT NO. 10 ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 IN THAT RESPONDENT MEMBER ERRONEOUSLY TRANSFERRED SHARES OUT OF A CUSTOMER'S ACCOUNT AND FAILED TO ACT PROMPTLY TO CORRECT THE ERRONEOUS TRANSFER. SUMMARY COMPLAINT ACCEPTED JUNE 29, 1984, WHEREIN RESPONDENT IS FINED $500.00. DECISION IS FINAL. $500 FINE PAID 7/5/84 ****** REGULATORY ACTION (101 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/20/1989 Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 06/09/1989 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 06/09/1999 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $100,000.00 Resolution NASD BrokerCheck October 17, 2005 Page 86 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Details: Summary: 6/27/89< AMERICAN STOCK EXCHANGE WEEKLY BULLETIN DATED JUNE 9, 1989 DISCLOSES: MERRILL LYNCH, PIERCE, FENNER & SMITH INC., A REGULAR MEMBER ORGANIZATION, AND HARVEY COOK, OF BOSTON, MASSACHUSETTS, A BRANCH OFFICE MANAGER AND REGISTERED EMPLOYEE OF MERRILL LYNCH, WERE DISCIPLINED BY AN EXCHANGE DISCIPLINARY PANEL. MERRILL LYNCH AND COOK SETTLED THE CHARGES WITHOUT ADMITTING OR DENYING THE EXCHANGE'S ALLEGATIONS. THE PANEL DETERMINED THAT MERRILL LYNCH VIOLATED EXCHANGE RULES 153, 320, 411, 921 AND 922 IN THAT IT FAILED TO REASONABLY SUPERVISE ITS BOSTON AND FRESNO BRANCH OFFICES, FAILED TO SUPERVISE TWO FORMER REGISTERED REPRESENTATIVES IN ITS BOSTON OFFICE AND ONE FORMER REGISTERED REPRESENTATIVE IN ITS FRESNO OFFICE WHO MISHANDLED CUSTOMER ACCOUNTS DURING 1982-1985, AND FAILED TO HAVE A DESIGNATED BRANCH OFFICE MANAGER CONTINOUSLY ON THE PREMISES AT ITS FRESNO OFFICE. THE PANEL FURTHER DETERMINED THAT MERRILL LYNCH ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE IN VIOLATION OF ARTICLE V SECTION 4(h) OF THE EXCHANGE CONSTITUTION IN CONNECTION WITH ITS FAILURE TO FILE CERTAIN REPORTS OF SETTLEMENTS WITH CUSTOMERS, AND THE FILING OF AN INADVERTENTLY INACCURATE TERMINATION REPORT. THE PANEL ALSO DETERMINED THAT COOK VIOLATED EXCHANGE RULE 320(b) AND COMMENTARY .06 AND RULE 921 THERETO BY FAILING TO REASONABLY SUPERVISE TWO REGISTERED REPRESENTATIVES AND PREVENT TWO REGISTERED REPRESENTATIVES FROM EFECTING OPTION TRANSACTIONS IN CUSTOMER ACCOUNTS PRIOR TO OBTAINING REGISTERED OPTIONS PRINCIPAL APPROVAL. MERRILL LYNCH WAS CENSURED AND FINED $100,000. FURTHER, MERRILL LYNCH UNDERTOOK TO FORMALIZE A POLICY WHEREBY IT WILL REVIEW SALES PRACTICES, CUSTOMER COMPLAINTS AND RELATED LITIGATION MATTERS WHENEVER THERE IS A CHANGE IN A RESIDENT VICE PRESIDENT, OFFICE MANAGER. SUCH REVIEW WILL INCLUDE CONSULTATION BETWEEN AND AMONG THE REGIONAL DIRECTOR, THE INCOMING AND OUTGOING RESIDENT VICE PRESIDENTS, AND T*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 12/01/1989 Docket/ Case Number: UNKNOWN Allegations: FIRM FAILED TO SUPERVISE THREE REGISTERED REPRESENTATIVES LOCATED IN TWO OF ITS BRANCH OFFICES DURING THE PERIOD 1984 THROUGH 1985. Current Status: Final Resolution: Consent Resolution Date: 12/01/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $100,000.00 Resolution Details: FIRM CONSENTED TO THE IMPOSITION OF A FINE AND CENSURE. Summary: ****** REGULATORY ACTION (102 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/07/1990 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/15/1990 Docket/ Case Number: MS-910-AWC Allegations: Current Status: Final NASD BrokerCheck October 17, 2005 Page 87 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/07/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-910-AWC (A): LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED FEBRUARY 15, 1990 AGAINST RESPONDENT MEMBER MERRILL, LYNCH, PIERCE, FENNER & SMITH, INC. ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 AND 42 IN THAT THE RESPONDENT EXECUTED TRANSACTIONS IN LISTED SECURITIES WHICH WERE THE SUBJECT OF A TRADING HALT. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON APRIL 20, 1990 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON JUNE 7, 1990. $500.00 FINE. ***$500.00 PAID ON 8/2/90 INVOICE #90-MS-772*** ****** REGULATORY ACTION (103 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/11/1991 Initiated By: ILLINOIS SECURITIES DEPARTMENT Date initiated: 03/11/1991 Docket/ Case Number: 9000151 Allegations: WHILE BEING EMPLOYED BY RESPONDENT MERRILL LYNCH, PIERCE FENNER AND SMITH, INC. (MERRILL) RESPONDENT FRAN T. SANTANA DID SELL STOCKS AND BONDS TO AT LEAST 3 ILLINOIS RESIDENTS. THE STOCKS AND BONDS WERE SOLD BYMEANS OF MATERIAL FACTS. FURTHERMORE, RESPONDENT MERRILL FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF ONE OF THEIR REPRESENTATIVES. Current Status: Pending Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 Initiated By: STATE OF ILLINOIS Date initiated: 03/11/1991 Docket/ Case Number: 9000151 Allegations: IT IS ALLEGED THAT MERRILL LYNCH FAILED TO PROPERLY SUPERVISE A FINANCIAL ADVISOR WHEN STOCKS AND BONDS WERE SOLD BY THE FINANCIAL ADVISOR TO AT LEAST THREE ILLINOIS RESIDENTS. Current Status: Final Resolution: Dismissed Resolution Date: 10/09/1991 Sanctions Ordered: Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH WAS DISMISSED. NO FURTHER ACTION. ****** REGULATORY ACTION (104 of 229) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 17, 2005 Page 88 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 06/30/1975 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/13/1987 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/13/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $30,000.00 Resolution Details: Summary: ON JUNE 30, 1975, THE COMMISSION INSTITUTED PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE EXCHANGE ACT AND SIMULTANEOUSLY THEREWITH ACCEPTED AN OFFER OF SETTLEMENT BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MADE SOLELY FOR THE PURPOSE OF THAT PROCEEDING. THE COMMISSION'S ORDER, FINDINGS AND OPINION (SEE RELEASE NO. 11515) STATED THAT INFORMATION HAD COME TO ITS ATTENTION RELATING TO (1) TRANSACTIONS EXECUTED BY REGISTERED REPRESENTATIVES OF FIRM IN A CUSTOMER'S ACCOUNT IN SHORT, INTERMEDIATE AND LONG-TERM GOVERNMENT SECURITIES, INCLUDING GOVERNMENT NATIONAL MORTGAGE ASSOCIATION WHEN-ISSUED COMMITTMENTS AND (2) CERTAIN SELLING PRACTICES OF THE FIRM IN CONNECTION WITH SECURITIES WHICH WERE BEING OFFERED BY A COMPANY UNDER THE SPONSORSHIP OF AN AFFILIATE OF THE FIRM. THE COMMISSION ACCEPTED THE OFFER OF SETTLEMENT WHEREIN THE FIRM HAD UNDERTAKEN TO ADOPT CERTAIN SUPPLEMENTAL POLICIES AND PROCEDURES TO PREVENT THE RECURRENCE OF THE ALLEGED CONDUCT. (FORM BD: JD 12186, SEQUENCE NO 10106). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/06/2005 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/13/1987 Docket/ Case Number: Allegations: THE COMMISSION STATED THAT ON JUNE 30, 1975 INFORMATION HAD COME TO ITS ATTENTION ALLEGING CERTAIN CONDUCT (NOT EXPLAINED) RELATING TO TRANSACTIONS EXECUTED BY REGISTERED REPRESENTATIVES IN SHORT , INTERMEDIATE AND LONG TERM GOVERNMENT SECURITIES ALONG WITH CERTAIN SELLING PRACTICES OF THE FIRM IN CONNECTION WITH SECURITIES WHICH WERE BEING OFFERED BY A COMPANY UNDER THE SPONSORSHIP OF AN AFFILIATE OF THE FIRM. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 10/13/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $30,000.00 Resolution Details: SEE ITEM 13 Summary: THE COMMISSION STATED THAT ON JUNE 30, 1975 INFORMATION HAD COME TO ITS ATTENTION ALLEGING CERTAIN CONDUCT (NOT EXPLAINED) RELATING TO TRANSACTIONS EXECUTED BY REGISTERED REPRESENTATIVES IN SHORT , INTERMEDIATE AND LONG TERM GOVERNMENT SECURITIES ALONG WITH CERTAIN SELLING PRACTICES OF THE FIRM IN CONNECTION WITH SECURITIES WHICH WERE BEING OFFERED BY A COMPANY UNDER THE SPONSORSHIP OF AN AFFILIATE OF THE FIRM. NASD BrokerCheck October 17, 2005 Page 89 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (105 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/21/1977 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 06/22/1973 Docket/ Case Number: Allegations: Current Status: Final Resolution: Order Resolution Date: 10/02/1977 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $1,600,000.00 Resolution Details: Summary: ND 73-122 06/25/73 REL. 34-10233 ADMINISTRATIVE PROCEEDINGS ORDERED ALLEGING VIOLATIONS OF ANTIFRAUD PROVISIONS IN THE MAKING OF UNTRUE STATEMENTS (OR OMISSIONS) CONCERNING THE FUTURE PRICE OF SHARES, THE LIKELIHOOD OF SUCH SHARES BEING LISTED ON A NATIONAL EXCHANGE, COMPARISONS IN THE COMPANY'S GROWTH TO WELL ESTABLISHED COMPANIES; IN THE MISUSE OF INSIDE INFORMATION; AND FOR FAILURE TO REASONABLY SUPERVISE. REGISTRANT FAILED TO VERIFY INFORMATION THROUGH INDEPENDENT ANALYSIS OR INQUIRY CONCERNING SHARES IT WAS RECOMMENDING FOR PURCHASE. ND 77-218 11/11/77 REL 34-14149 06/22/73 COMMISSION INSTITUTED PROCEEDING. HEARING - MARCH 1974 THRU JUNE 1976. EFFECTIVE 11/21/77 IT IS ORDERED THAT: 1) FIRM IS CENSURED. 2) SUBJECT TO THE TERMS, CONDITIONS AND UNDERTAKINGS IN ITS OFFER OF SETTLEMENT, FIRM SHALL: A) PAY A SUM OF UP TO $1,600,000 TO COMPENSATE ITS CUSTOMERS. B) REVIEW ITS GUIDELINES AND, WHERE APPROPRIATE, ADOPT NEW GUIDELINES RELATING TO ITS RESEARCH AND SALES ACTIVITIES DESIGNED TO PREVENT FURTHER VIOLATIONS. C) REVIEW AND, WHERE NECESSARY, STRENGTHEN ITS ACCOUNT EXECUTIVE TRAINING PROGRAMS TO PREVENT FURTHER VIOLATIONS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 11/09/1977 Docket/ Case Number: SEA RELEASE #14149 Allegations: FIRM FAILED TO REASONABLY SUPERVISE CERTAIN INDIVIDUAL RESPONDENTS THEREBY PREVENTING VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT 10(B) OF THE EXCHANGE ACT & RULE 10B-5 THEREUNDER. Current Status: Final Resolution: Order Resolution Date: 11/09/1977 Sanctions Ordered: Disgorgement/Restitution, Censure Other Sanctions: IMPOSITION OF SANCTIONS AND UNDERTAKINGS AS SET FORTH IN SEC'S ORDER. Resolution Details: AGREED TO PAY SUM OF UP TO $1,600,000 TO COMPENSATE ITS CUSTOMERS WHO SUFFERED LOSSES RESULTING FROM TRANSACTIONS IN THE COMMON STOCK OF SCIENTIFIC CONTROL CORPORATION DURING THE PERIOD MARCH 1, 1968 TO NOVEMBER 21, 1969. NASD BrokerCheck October 17, 2005 Page 90 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: ****** REGULATORY ACTION (106 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/09/2005 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 12/09/1976 Docket/ Case Number: R 77-49 Allegations: NA Current Status: Final Resolution: Order Resolution Date: 04/06/1978 Sanctions Ordered: Monetary/Fine Monetary Amount: $9,732.50 Resolution Details: 04/06/78 ORDERED TO PAY REPARATIONS IN AMOUNT OF $9,732.50 PLUS INTEREST AT 8% FROM 07/26/76 TO DATE OF PAYMENT. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 12/09/1976 Docket/ Case Number: R 77-49 Allegations: ALLEGATIONS THAT FINANCIAL ADVISOR FAILED TO FOLLOW INSTRUCTIONS OF CLAIMANT AND MADE UNAUTHORIZED TRANSFER OF STOCK. Current Status: Final Resolution: Order Resolution Date: 04/06/1978 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $9,732.50 Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH ORDERED TO PAY REPARATIONS IN THE AMOUNT OF $9,732.50 PLUS INTEREST AT 8% FROM JULY 26, 1976 TO DATE OF PAYMENT. COMPLAINT DISMISSED AGAINST TOMLINSON, SMITH AND SULLIVAN. ****** REGULATORY ACTION (107 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/09/1986 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/20/1978 Docket/ NASD BrokerCheck October 17, 2005 Page 91 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Case Number: Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/20/1978 Sanctions Ordered: Resolution Details: Summary: NEWS DIGEST 78-250, 12/28/78. RELEASE 34-15421. CENSURED, PURSUANT TO OFFER OF SETTLEMENT, WITHOUT ADMITTING OR DENYING ALLEGATIONS. 7/11/86, SEC NEWS DIGEST, ISSUE 86-110, JUNE 9, 1986: THE COMMISSION ENTERED AN ORDER MODIFYING ORDER IMPOSING REMEDIAL SANCTIONS AGAINST MERRILL LYNCH, PIERCE, FENNER, & SMITH, INC. ON DECEMBER 20, 1978, THE COMMISSION ENTERED FINDINGS AND ORDER IMPOSING REMEDIAL SANCTIONS UNDER SECTIONS 15(b) AND 19(h) OF THE SECURITIES EXCHANGE ACT OF 1934 AGAINST MERRILL AND OTHERS [REL. 34-15421]. THE COMMISSION'S MODIFYING ORDER GRANTS MERRILL'S REQUEST FOR RELIEF FROM THAT PORTION OF THE DECEMBER 20, 1978 ORDER PROHIBITING IT FROM HAVING BLANK MERRILL LYNCH GOVERNMENT SECURITIES, INC. (GSI) CONFIRMATIONS AVAILABLE IN ANY OF ITS INSTITUTIONAL SALES OFFICES. FURTHER, UNDER MERRILL'S CONSENT, THE COMMISSION ORDERED MERRILL TO COMPLY WITH ITS UNDERTAKING THAT BLANK GSI CONFIRMATIONS WILL ONLY BE AVAILABLE AND ISSUED FROM MERRILL'S REGIONAL INSTITUTIONAL OPERATIONS FACILITIES PROVIDED, HOWEVER, THAT SUCH CONFIRMATIONS WILL BE MAINTAINED IN AN AREA NOT ACCESSIBLE TO SALES PERSONNEL AND, WHEN NOT IN USE, WILL BE SECURED. (REL. 34-23269) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/14/2005 Initiated By: SECURITIES EXCHANGE COMMISSION Date initiated: 12/20/1978 Docket/ Case Number: Allegations: ALLEGATION THAT CONFIRMS WERE NOT LOCKED UP Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/20/1978 Sanctions Ordered: Censure, Cease and Desist/Injunction Other Sanctions: MERRILL LYNCH WAS CENSURED PURSUANT TO OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING ALLEGATIONS. MERRILL LYNCH WAS PROHIBITED FROM HAVING BLANK GOVERNMENT SECURITIES CONFIRMS AVAILABLE IN ANY OF ITS INSTITUTIONAL SALES OFFICES. MERRILL WAS PERMITTED TO HAVE THESE CONFIRMS AVAILABLE ONLY IN ITS REGIONAL INSTITUTIONAL OPERATIONS Resolution Details: MERRILL LYNCH WAS CENSURED PURSUANT TO OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING ALLEGATIONS. MERRILL LYNCH WAS PROHIBITED FROM HAVING BLANK GOVERNMENT SECURITIES CONFIRMS AVAILABLE IN ANY OF ITS INSTITUTIONAL SALES OFFICES. MERRILL WAS PERMITTED TO HAVE THESE CONFIRMS AVAILABLE ONLY IN ITS REGIONAL INSTITUTIONAL OPERATIONS Summary: MERRILL LYNCH WAS CENSURED PURSUANT TO OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING ALLEGATIONS. MERRILL LYNCH WAS PROHIBITED FROM HAVING BLANK GOVERNMENT SECURITIES CONFIRMS AVAILABLE IN ANY OF ITS INSTITUTIONAL SALES OFFICES. MERRILL WAS PERMITTED TO HAVE THESE CONFIRMS AVAILABLE ONLY IN ITS REGIONAL INSTITUTIONAL OPERATIONS FACILITIES AND ORDERED TO KEEP THEM IN AN AREA NOT AVAILABLE TO SALES PERSONNEL AND TO SECURE THEM WHEN NOT IN USE. ****** REGULATORY ACTION (108 of 229) ****** NASD BrokerCheck October 17, 2005 Page 92 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 01/05/1979 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 01/05/1979 Docket/ Case Number: R-76-19 Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/20/1979 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. R 76-19, 01/05/79. INITIAL DECISION TO BECOME FINAL 15 DAYS AFTER SERVICE OF ORDER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 Initiated By: COMMODITIES FUTURES TRADE COMMISSION Date initiated: 01/05/1979 Docket/ Case Number: R-76-19 Allegations: NO INFORMATION AVAILABLE ON U6 Current Status: Final Resolution: Dismissed Resolution Date: 01/20/1979 Sanctions Ordered: Resolution Details: SEE ITEM 13 Summary: DISMISSED WITH PREJUDICE. ****** REGULATORY ACTION (109 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/22/1982 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 12/22/1982 Docket/ Case Number: R 81-1361-82-453 Allegations: Current Status: Final Resolution: Decision Resolution Date: 12/22/1982 Sanctions Ordered: Resolution NASD BrokerCheck October 17, 2005 Page 93 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Details: Summary: CFTC DOCKET NO. R 81-1361-82-453, J. MANDEL TENCER, COMPLAINANT, V. MERRILL LYNCH INC., RESPONDENT. THE COMPLAINANT ALLEGED THAT THE FIRM FAILED TO LIQUIDATE TWO LONG GOLD POSITIONS WHEN REQUESTED. THE COMMISSION FOUND THE COMPLAINANT'S ALLEGATIONS TO BE TRUE, AND ORDERED THE FIRM TO PAY REPARATIONS IN THE AMOUNT OF $28,627.00, PLUS INTEREST, TO COVER THE DAMAGES OF LOSS PROFIT WHICH OCCURRED BY THE FIRM'S FAILURE TO COMPLY WITH THE COMPLAINANT'S REQUEST. DECISION WAS RENDERED DECEMBER 22, 1982. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 09/08/1981 Docket/ Case Number: R 81-1361-82-453 Allegations: COMPLAINANT ALLEGED THAT THE FIRM FAILED TO LIQUIDATE TWO LONG GOLD POSITIONS WHEN REQUESTED. Current Status: Final Resolution: Decision Resolution Date: 12/22/1982 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $28,627.00 Resolution Details: SEE ITEM 13 Summary: THE FIRM WAS ORDERED TO PAY REPARATIONS IN THE AMOUNT OF $28,627.00 PLUS INTEREST TO COVER DAMAGES OF LOST PROFIT WHICH OCCURRED BY THE FIRM'S FAILURE TO COMPLY WITH THE COMPLAINANT'S REQUEST. ****** REGULATORY ACTION (110 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/08/1983 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 09/08/1983 Docket/ Case Number: R81-664-82-181 Allegations: Current Status: Final Resolution: Decision Resolution Date: 09/08/1983 Sanctions Ordered: Disgorgement/Restitution Resolution Details: Summary: CFTC DOCKET NO. R81-664-82-181, CHARLES E. STEVENS, JR., COMPLAINANT, V. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. RESPONDENT. DECISION DATED SEPTEMBER 8, 1983. THE COMPLAINANT ALLEGED THAT THE RESPONDENT FIRM FAILED TO PROMPTLY FURNISH AN ACCURATE MONTHLY STATEMENT AND WRITTEN STATEMENT FOR EACH TRANSACTION; FAILED TO SUPERVISE THE HANDLING OF ALL COMMODITY INTEREST ACCOUNTS IT CARRIED; AND FAILED TO MAKE CORRECTIONS TO STATEMENTS WITHIN A REASONABLE TIME. THE COMMISSION FOUND THESE ALLEGATIONS TO BE TRUE AND FOUND THAT THE RESPONDENT FIRM REMOVED A TRANSACTION VALUED AT $13,740.40 FROM THE COMPLAINANT'S ACCOUNT. THE COURT ORDERED THE FIRM TO NASD BrokerCheck October 17, 2005 Page 94 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) MAKE RESTITUTION TO THE COMPLAINANT IN THE AMOUNT OF $13,740.40, PLUS INTEREST AND FILING FEE. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 04/08/1981 Docket/ Case Number: R81-664-82-181 Allegations: ALLEGATIONS THAT RESPONDENT FAILED TO PROMPTLY FURNISH AN ACCURATE MONTHLY STATEMENT AND WRITTEN STATEMENT FOR EACH TRANSACTION, FAILED TO SUPERVISE THE HANDLING OF ACCOUNTS AND FAILED TO MAKE CORRECTIONS TO STATEMENTS WITHIN A REASONABLE TIME. Current Status: Final Resolution: Order Resolution Date: 09/08/1983 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $13,740.40 Other Sanctions: INTEREST FROM SEPTEMBER 8, 1983 UNTIL DATE OF PAYMENT ALONG WITH PAYMENT OF CLAIMANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: FINDINGS THAT CORRECTIONS TO STATEMENTS WERE NOT MADE BY RESPONDENT IN A REASONABLE TIME. RESPONDENT ORDERED TO PAY REPARATIONS IN THE AMOUNT OF $13,740.40 WITH INTEREST FROM SEPTEMBER 8, 1983 UNTIL PAID, ALONG WITH PAYMENT OF CLAIMANT'S $25.00 FILING FEE. ****** REGULATORY ACTION (111 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/23/1984 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 02/23/1984 Docket/ Case Number: R 81-1170-82-330 Allegations: Current Status: Final Resolution: Order Resolution Date: 02/23/1984 Sanctions Ordered: Resolution Details: Summary: FROM DECISION ORDER RECEIVED: THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER, ON FEBRUARY 23, 1984, IN THE MATTER OF CFTC DOCKET NO. R 81-1170-82-330, IRA A. COWEN, complainant, vs. MERRILL LYNCH PIERCE, FENNER & SMITH, INC., THOMAS R. BAKER AND MELVIN G. DAVIDSON, respondents. THE COMPLAINANT ALLEGED THAT FIVE TRADES WERE PLACED BY THE RESPONDENTS THAT WERE UNAUTHORIZED. THE CFTC, UPON REVIEW OF THE EVIDENCE, FOUND THAT THE RESPONDENT FIRM AND BAKER DID EXECUTE THE UNAUTHORIZED TRADES AS ALLEGED. THE CFTC ORDERED THESE TWO RESPONDENTS TO PAY REPARATIONS IN THE AMOUNT OF $507.50, PLUS INTEREST AND FILING FEES TO THE COMPLAINANT. THE CFTC FOUND NO EVIDENCE TO SUPPORT ANY ALLEGATIONS AGAINST RESPONDENT DAVIDSON AND ORDERED THE COMPLAINT BE DISMISSED NASD BrokerCheck October 17, 2005 Page 95 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) WITH REGARD TO HIM. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/09/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 07/13/1981 Docket/ Case Number: R 81-1170-82-330 Allegations: CLAIMANT ALLEGES THAT FINANCIAL ADVISOR MADE 5 UNAUTHORIZED TRADES. Current Status: Final Resolution: Decision Resolution Date: 02/23/1984 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $507.50 Other Sanctions: INTEREST PLUS PAYMENT OF COMPLAINANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: COMMISSION ORDERED RESPONDENTS MERRILL LYNCH AND THOMAS R. BAKER TO PAY CLAIMANT $507.50 PLUS INTEREST UNTIL PAID ALONG WITH CLAIMANTS $25.00 FILING FEE. COMMISSION ORDERED THAT COMPLAINT BE DISMISSED AGAINST MELVIN G. DAVIDSON. ****** REGULATORY ACTION (112 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/31/1984 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 10/31/1984 Docket/ Case Number: R 79-684-80-132 Allegations: Current Status: Final Resolution: Order Resolution Date: 10/31/1984 Sanctions Ordered: Resolution Details: Summary: FROM DECISION ORDER RECD 11/12/84: THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER, ON OCTOBER 31, 1984, IN THE MATTER OF CFTC DOCKET NO. R 79-684-80-132, ANGELO MILANO, complainant, vs. MERRILL LYNCH PIERCE, FENNER & SMITH, INC. AND DAVID A. BONDY, respondents. THE COMPLAINT ALLEGED THE MISREPRESENTATION OF THE GENERAL NATURE OF THE COMMODITIES MARKET BY BONDY AND, HIS FAILURE TO DISCLOSE THE MOST ESSENTIAL FACTS RELATIVE TO INVESTMENTS; WHICH CONSTITUTES A VIOLATION OF ss 4b OF THE COMMODITY EXCHANGE ACT. THE CFTC ORDERED THAT RESPONDENTS PAY REPARATIONS TO THE COMPLAINANT IN THE AMOUNT OF $32,590.00 WITH INTEREST AT THE ANNUAL RATE OF 11% FROM OCTOBER 1, 1978, TO THE DATE OF PAYMENT, PLUS $25.00, THE AMOUNT OF THE FILING FEE. LIABILITY OF THE RESPONDENTS IS JOINT AND SEVERAL. *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 96 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 03/10/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 03/27/1981 Docket/ Case Number: R 79-684-80-132 Allegations: ALLEGATIONS OF UNAUTHORIZED TRADING, CHURNING AND MISREPRESENTATION. Current Status: Final Resolution: Order Resolution Date: 10/31/1984 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $32,590.00 Other Sanctions: INTEREST FROM OCTOBER 1, 1978 UNTIL DATE OF PAYMENT ALONG WITH PAYMENT OF CLAIMANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: RESPONDENT FOUND IN VIOLATION OF SECTION 4B OF TH ECOMMODITY EXCHANGE ACT. MERRILL LYNCH AND DAVID BONDY ORDERED TO PAY REPARATIONS IN THE AMOUNT OF $32,590.00 PLUS INTEREST FROM OCTOBER 1, 1978 UNTIL DATE OF PAYMENT, ALONG WITH CLAIMANT'S $25.00 FILING FEE. ****** REGULATORY ACTION (113 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/12/1985 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 03/12/1985 Docket/ Case Number: R 81-649-81-770 Allegations: Current Status: Final Resolution: Order Resolution Date: 03/12/1985 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. R 81-649-81-770, RICHARD G. THOMPSPN, COMPLAINANT, V. MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC., AND GREGORY A. LEIGHTON, RESPONDENTS. THE COMPLAINANT ORIGINALLY SOUGHT REPARATIONS FROM RESPONDENTS IN THE AMOUNT OF $8,890. HE INCREASED THIS AMOUNT TO $28,000 AT THE TIME OF THE HEARING. COMPLAINANT ALLEGES THAT RESPONDENTS ENGAGED IN FRAUDULENT ACTIVITIES, SPECIFICALLY NONDISCLOSURE OF RISKS, FRAUD IN THE TRANSFER OF FUNDS OUT OF HIS ACCOUNT, AND UNAUTHORIZED TRADING, AS PROHIBITED BY SECTION 4b OF THE ACT, 7 U.S.C. 6b (1982). THE COURT DEEMED THESE ALLEGATIONS TO BE TRUE AND ORDERED RESPONDENTS TO PAY REPARATIONS IN THE AMOUNT OF $8,890.00, PLUS INTEREST AND FILING FEE. LIABILITY IS JOINT AND SEVERAL. ORDER DATED 3/12/85. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 04/09/1981 NASD BrokerCheck October 17, 2005 Page 97 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: R 81-649-81-770 Allegations: ALLEGATION THAT FINANCIAL ADVISOR FAILED TO DISCLOSE RISKS OF COMMODITIES TRADING. CLAIMANT ALSO ALLEGES UNAUTHORIZED TRADING BY FINANCIAL ADVISOR. Current Status: Final Resolution: Order Resolution Date: 03/12/1985 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $8,890.00 Other Sanctions: INTEREST FROM NOVEMBER 14, 1980 UNTIL DATE OF PAYMENT, ALONG WITH PAYMENT OF COMPLAINANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: COMMISSION ORDERED RESPONDENTS MERRILL LYNCH AND GREGORY LEIGHTON TO PAY REPARATIONS IN THE AMOUNT OF $8,890.00 PLUS INTEREST UNTIL PAID ALONG WITH CLAIMANT'S FILING FEE. ****** REGULATORY ACTION (114 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/29/1985 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 03/29/1985 Docket/ Case Number: 83-R262 Allegations: Current Status: Final Resolution: Order Resolution Date: 03/29/1985 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. 83-R262, SOLOMON GROSS, COMPLAINANT, V. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., JAMES ALVA AND BLAISE J. MASONE, RESPONDENTS. THE COMPLAINANT ASKED THE COMMISSION TO ORDER THE RESPONDENTS TO PAY HIM $970.80 REPARATION DAMAGES, WHICH HE ALLEGED HE LOST BECAUSE OF VIOLATIONS OF FEDERAL COMMODITIES LAW BY THE RESPONDENTS. THE COMMISSION ORDERED RESPONDENTS MERRILL LYNCH AND BLAISE J. MASONE TO PAY DAMAGES TO THE COMPLAINANT IN THE AMOUNT OF $928.80, PLUS INTEREST AND FILING FEE. IT WAS FURTHER ORDERED THAT THE COMPLAINANT IN THIS PROCEEDING BE DISMISSED AGAINST RESPONDENT JAMES ALVA. ORDER DATED MARCH 29, 1985. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 01/17/1983 Docket/ Case Number: 83R-262 Allegations: ALLEGATION THAT FINANCIAL ADVISOR VIOLATED SECTION 4B OF THE COMMODITY EXCHANGE ACT BY FAILING TO DISCLOSE TO THE COMPLAINANT THAT THE PRICE OF GOLD DECLINED ON SEPTEMBER 7, NASD BrokerCheck October 17, 2005 Page 98 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) 1982. Current Status: Final Resolution: Order Resolution Date: 03/29/1985 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $928.80 Other Sanctions: INTEREST PLUS PAYMENT OF COMPLAINANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: COMMISSION ORDERED RESPONDENTS MERRILL LYNCH AND BLAISE MASON TO PAY DAMAGES TO THE COMPLAINANT IN THE AMOUNT OF $25.00 FOR THEIR FILING FEE ALONG WITH $928.80 PLUS INTEREST FROM MARCH 29, 1985 UNTIL PAID. IT WAS ORDERED THAT THE PROCEEDING BE DISMISSED AGAINST RESPONDENT JAMES ALVA. ****** REGULATORY ACTION (115 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/06/1985 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 09/17/1985 Docket/ Case Number: 79-173-80-255 Allegations: Current Status: Final Resolution: Decision Resolution Date: 09/17/1985 Sanctions Ordered: Resolution Details: Summary: 9/17/85, CFTC DOCKET NO. 79-173-80-255, ORDER OF SUMMARY AFFIRMANCE. ZEVART MANOYIAN, M.D. V. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. AND SALVATORE LANZA. UPON CONSIDERATION OF THE BRIEFS AND THE RECORD AS A WHOLE, THE COMMITTEE IS SATISFIED THAT THE INITIAL DECISION IS SUBSTANTIALLY CORRECT IN RESULT, AND THAT NO IMPORTANT QUESTION OF LAW OR POLICY HAS BEEN RAISED ON APPEAL. ACCORDINGLY, THE COMMITTEE HAS DETERMINED THAT THE INITIAL DECISION SHOULD BE AFFIRMED WITHOUT OPINION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 09/27/1985 Docket/ Case Number: UNKNOWN Allegations: CHARGED WITH EXECUTING THREE WASH TRADES FOR ONE OF ITS CUSTOMERS. Current Status: Final Resolution: Settled Resolution Date: 09/27/1985 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction NASD BrokerCheck October 17, 2005 Page 99 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $40,000.00 Resolution Details: CASE SETTLED WITHOUT ADMITTING OR DENYING ALLEGATIONS BY AGREEING TO A CIVIL PENALTY AND ENTRY OF A CEASE AND DESIST ORDER. Summary: ****** REGULATORY ACTION (116 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/23/1985 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 10/23/1985 Docket/ Case Number: 83-R883 Allegations: Current Status: Final Resolution: Order Resolution Date: 10/23/1985 Sanctions Ordered: Resolution Details: Summary: CFTC DOCKET NO. 83-R883, ALEXANDER DOREVITCH, COMPLAINANT VS. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., JAMES A. GARY, AND JANE M. READ, RESPONDENTS. THE COMPLAINANT ASKED THE COMMISSION TO FIND THAT THE RESPONDENTS VIOLATED FEDERAL COMMODITIES LAW IN THEIR DEALINGS WITH HIM AND ASKED THE COMMISSION TO ORDER THE RESPONDENTS TO PAY HIM $1,601.43 REPARATION DAMAGES FOR THE LOSSES ALLEGEDLY SUSTAINED BY HIM AS A RESULT OF THE VIOLATIONS. THE ALLEGATION WERE DEEMED TRUE AS TO RESPONDENTS MERRILL LYNCH AND JANES M. READ AND THEY WERE ORDERED TO PAY DAMAGES TO THE COMPLAINANT IN THE AMOUNT OF $2,308.83, PLUS INTEREST AND FILING FEE. THE COMMISSION FOUND NO EVIDENCE TO SUPPORT THE ALLEGATIONS AGAINST RESPONDENT GARY AND ORDERED THAT THE COMPLAINT BE DISMISSED AS TO GARY. ORDER DATED 10/23/85. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 09/14/1983 Docket/ Case Number: 83-R883 Allegations: ALLEGATION THAT FINANCIAL ADVISOR MADE UNAUTHORIZED TRADE. Current Status: Final Resolution: Order Resolution Date: 10/23/1985 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $2,308.83 Other Sanctions: INTEREST PLUS PAYMENT OF COMPLAINANT'S $25.00 FILING FEE. Resolution Details: SEE ITEM 13 Summary: RESPONDENTS MERRILL LYNCH AND JANE M. READ WERE ORDERED TO PAY DAMAGES IN THE AMOUNT OF $2,308.83 PLUS INTEREST FROM OCTOBER NASD BrokerCheck October 17, 2005 Page 100 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) 23, 1985 UNTIL PAID, ALONG WITH CLAIMANT'S $25.00 FILING FEE. ORDER THAT COMPLAINT BE DISMISSED AGAINST RESIDENT VICE PRESIDENT JAMES A. GARY. ****** REGULATORY ACTION (117 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/10/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: Allegations: VIOLATION OF SECTIONS 15(C)(1) AND (2), AND 17(A) OF THE EXCHANGE ACT, AND RULES 15C1-2, 15C2-7 AND 17A-3 THEREUNDER Current Status: Final Resolution: Order Resolution Date: 01/11/1999 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: CEASE AND DESIST AND PAY A CIVIL PENALTY OF $472,500. Summary: [TOP]+02/11/99+ SEC NEWS DIGEST, ISSUE NO. 99-6, DATED 01/11/1999, ENFORCEMENT PROCEEDINGS DISCLOSED: SEC ANNOUNCED THE INSTITUTION OF ADMINISTRATIVE PROCEEDINGS AGAINST 28 NASDAQ MARKET MAKING FIRMS AND 51 INDIVIDUALS ASSOCIATED WITH SUCH FIRMS PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 (?34 ACT) AND, AS TO ONE FIRM, PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940. SIMULTANEOUSLY WITH THE FILING OF THE ACTION, ALL OF THE RESPONDENTS CONSENTED, WITHOUT ADMITTING OR DENYING SEC?S FINDINGS, TO THE ENTRY OF ORDERS WHICH IMPOSE CIVIL PENALTIES WHICH TOTALED $26,302,500, DISGORGEMENT OF WRONGFUL GAINS TOTALING $791,525, SUSPENSIONS OR BARS, CEASE AND DESIST ORDERS AND OTHER SANCTIONS. THE ORDERS FOUND THAT THE RESPONDENTS HAD ENGAGED PRIMARILY IN ONE OR MORE VIOLATIONS ARISING FROM MARKET MAKING ACTIVITIES IN THE NASDAQ STOCK MARKET, INCLUDING: THE COORDINATION OF QUOTATIONS AND TRANSACTIONS BY TRADERS MAKING MARKETS IN NASDAQ STOCKS IN VIOLATION OF ANTIFRAUD AND FICTITIOUS QUOTATION RULES, THE INTENTIONAL DELAY OF TRADE REPORTS, OTHER MANIPULATIVE ACTIVITY, FAILURE TO HONOR QUOTED PRICES, FAILURE TO PROVIDE CUSTOMER ORDERS WITH BEST EXECUTION, TRADING AS PRINCIPAL WITH ADVISORY CLIENTS OR DISCRETIONARY CUSTOMERS, FAILURE TO COMPLY WITH THE BOOKS AND RECORDS REQUIREMENTS, AND FAILURE TO SUPERVISE. 2/12/99CW SEC ADMINISTRATIVE PROCEEDING FILE NO. 3-9803 01/11/1999 DISCLOSES; MERRILL LYNCH, PIERCE, FENNER & SMITH SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY FUTURE VIOLATION OF, AND COMMITTING OR CAUSING ANY FUTURE VIOLATION OF SECTIONS 15(C)(1) AND (2), AND 17(A) OF THE EXCHANGE ACT, AND RULES 15C1-2, 15C2-7 AND 17A-3 THEREUNDER; SHALL PAY A CIVIL PENALTY OF $472,500; AND PROVIDE TO THE SEC-APPOINTED INDEPENDANT CONSULTANT A DESCRIPTION OF ITS POLICIES, PROCEDURES AND PRACTICES RELATING TO PREVENTION OR DETECTION OF THE TYPES OF IMPROPER CONDUCT INVOLVING MERRILL, LYNCH DESCRIBED IN SECTION II OF THIS ORDER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 01/11/1999 Docket/ Case Number: NASDAQ MARKET MAKERS RELEASE#34-40900&15 Allegations: IN AN ACTION BROUGHT AGAINST ALMOST ALL MAJOR NASDAQ MARKET MAKERS, SEC FOUND THAT IN 1994 MARKET MAKERS, INCLUDING MERRILL LYNCH VIOLATED PROVISIONS OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH THEIR ACTIVITIES IN NASDAQ SECURITIES. NASD BrokerCheck October 17, 2005 Page 101 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Settled Resolution Date: 01/11/1999 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $472,500.00 Resolution Details: WITHOUT ADMITTING OR DENYING ALLEGATIONS, MERRILL LYNCH AGREED TO PAY A CIVIL PENALTY. IN ADDITION, FIRM AGREED TO A CEASE AND DESIST ORDER AND TO SUBMIT CERTAIN OF ITS POLICIES TO AN INDEPENDENT CONSULTANT. Summary: ****** REGULATORY ACTION (118 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/05/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/05/1998 Docket/ Case Number: C07980055 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 11/05/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $25,000.00 Resolution Details: Summary: ON NOVEMBER 5, 1998, DISTRICT NO. 7 NOTIFIED RESPONDENT MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07980055 WAS ACCEPTED; THEREFORE, THE FIRM IS CENSURED AND FINED $25,000, AND REQUIRED TO UNDERTAKE CORRECTIVE ACTIONS - (NASD RULES 2110 AND IM 3110(f)(4) - RESPONDENT MEMBER WAS NAMED AS A RESPONDENT IN CERTAIN ARBITRATION PROCEEDINGS FILED WITH THE NASD BY VARIOUS PUBLIC CUSTOMERS WHO INCLUDED DEMANDS FOR PUNITIVE DAMAGES AND/OR ATTORNEYS' FEES IN THE PROCEEDINGS. EACH OF THOSE CUSTOMERS SIGNED AN AGREEMENT WITH THE FIRM STATING THAT THE TERMS OF THE AGREEMENT WOULD BE GOVERNED BY THE LAWS OF THE STATE OF NEW YORK. IN 17 OF THESE PROCEEDINGS, RESPONDENT MEMBER ASSERTED THAT NEW YORK LAW APPLIED TO THE PROCEEDING BY VIRTUE OF THE GOVERNING LAW CLAUSE IN THE CUSTOMER AGREEMENT AND THAT NEW YORK LAW PRECLUDED AN AWARD OF PUNITIVE DAMAGES OR ATTORNEYS' FEES). **$25,000.00 PAID ON 12/18/98, INVOICE# 98-07-960** ****** REGULATORY ACTION (119 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/10/2000 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/24/1998 Docket/ Case Number: Allegations: VIOLATED SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT OF 1933 AND RULE G-17 OF THE MUNICIPAL SECURITIES RULEMAKING BOARD. NASD BrokerCheck October 17, 2005 Page 102 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Consent Resolution Date: 08/24/1998 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Resolution Details: CEASE-AND-DESIST AND MERRILL LYNCH TO PAY A CIVIL PENALTY IN THE AMOUNT OF $2 MILLION. Summary: [TOP] 8/25/98JW SEC NEWS DIGEST ISSUE 98-163 DATED 08/24/1998 ENFORCEMENT PROCEEDINGS DISCLOSED; SEC ANNOUNCED THAT ON AUGUST 24, IT INSTITUTED AND SETTLED A PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDING AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORTATED (MERRILL LYNCH). THE ACTION CONCERNS MERRILL LYNCH'S UNDERWRITING $875 MILLION IN MUNICIPAL SECURITIES ISSUED BY ORANGE COUNTY AND THE ORANGE COUNTY FLOOD CONTROL DISTRICT THROUGH FOUR OFFERINGS IN JULY AND AUGUST 1994, JUST MONTHS BEFORE ORANGE COUNTY'S BANKRUPTCY. MERRILL LYNCH CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING SEC?S FINDINGS. MERRILL LYNCH ALSO AGREED TO PAY A CIVIL PENALTY IN THE AMOUNT OF $2 MILLION. SEC FOUND THAT MERRILL LYNCH SOLD THE MUNICIPAL SECURITIES TO INVESTORS THROUGH OFFICIAL STATEMENTS THAT OMITTED MATERIAL INFORMATION ABOUT THE ORANGE COUNTY INVESTMENT POOLS (THE POOLS), INCLUDING THE POOLS' INVESTMENT STRATEGY, THE RISKS OF THAT STRATEGY, AND THE POOLS' INVESTMENT LOSSES. IN ADDITION, MERRILL LYNCH, THROUGH ITS INVESTMENT BANKERS RESPONSIBLE FOR REVIEWING AND/OR APPROVING THE OFFICIAL STATEMENTS FOR THE NOTE OFFERINGS, ALSO KNEW OR REASONABLY SHOULD HAVE KNOWN MATERIAL INFORMATION ABOUT THE POOLS AND/OR THE NOTES' INTEREST RATE. FROM A REVIEW OF THE OFFICIAL STATEMENTS, MERRILL LYNCH, THROUGH ITS INVESTMENT BANKERS, KNEW OR REASONABLY SHOULD HAVE KNOWN THAT THE OFFICIAL STATEMENTS OMITTED TO DISCLOSE MATERIAL INFORMATION THAT WAS IN ITS POSSESSION OR REASONABLY ACCESSIBLE TO IT ABOUT THE POOLS AND THE NOTES' INTEREST RATES. SEC FOUND THAT, AS A RESULT, MERRILL LYNCH, THROUGH NEGLIGENT CONDUCT, VIOLATED SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT OF 1933 AND RULE G-17 OF THE MUNICIPAL SECURITIES RULEMAKING BOARD. SEC, ACCORDINGLY, ORDERED MERRILL LYNCH TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATION AND ANY FUTURE VIOLATIONS OF THE ABOVE PROVISIONS AND TO PAY A $2 MILLION CIVIL PENALTY. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION #136 Date initiated: 08/24/1998 Docket/ Case Number: FILE #3-9683 Allegations: THE SEC ALLEGED THAT MERRILL LYNCH, PIERCE, FENNER & SMITH INC. VIOLATED SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT OF '33 SECTION 15B(C)(1) OF THE SECURITIES ACT OF '34 AND RULE G-17 OF THE MSRB. Current Status: Final Resolution: Consent Resolution Date: 08/24/1998 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $2,000,000.00 Resolution Details: MERRILL LYNCH, PIERCE, FENNER & SMITH INC. WAS DIRECTED TO CEASE & DESIST FROM ANY FUTURE VIOLATIONS OF SECTIONS 17(A)2 AND (3) OF THE SECURITIES ACT OF '33 AND SECTION 15B(C)(1) OF SECURITIES ACT OF '34; TO PAY A CIVIL PENALTY OF $2 MILLION; TO COMPLY WITH UNDERTAKINGS TO MAINTAIN PREVIOUSLY REVISED POLICIES & PROCEDURES. Summary: NASD BrokerCheck October 17, 2005 Page 103 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (120 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/27/1998 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/27/1998 Docket/ Case Number: CMS980043 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/27/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,500.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS980043 AWC. ON APRIL 27, 1998, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS ACCEPTED BY NASD REGULATION, INC.'S DEPARTMENT OF ENFORCEMENT AND THE NATIONAL ADJUDICATORY COUNCIL. THE AWC ALLEGES THAT THE FOLLOWING ACTIVITY OCCURRED: MLCO FAILED TO DESIGNATE AS LATE TO ACT 12 TRANSACTIONS IN NASDAQ NATIONAL MARKET SECURITIES IN VIOLATION OF NASD MARKETPLACE RULE 4632(a). MLCO FAILED TO ACCEPT OR DECLINE ONE TRANSACTION IN AN ELIGIBLE SECURITY WITHIN 20 MINUTES AFTER EXECUTION IN VIOLATION OF NASD MARKETPLACE RULE 6130(b). MLCO IMPROPERLY USED FORM T TO REPORT TWO TRANSACTIONS IN LISTED SECURITIES, IN THAT THE ELECTRONIC ENTRY OF EACH TRANSACTION WAS FEASIBLE. THIS CONDUCT CONSTITUTES A VIOLATION OF NASD MARKETPLACE RULE 6420(a). MLCO FAILED TO CONTEMPORANEOUSLY EXECUTE 22 CUSTOMER LIMIT ORDERS AFTER IT EXECUTED TRANSACTIONS FOR ITS OWN MARKET MAKING ACCOUNT AT PRICES EQUAL TO OR BETTER THAN EACH SUCH CUSTOMER LIMIT ORDER IN VIOLATION OF NASD CONDUCT RULE 2110 AND IM-2110-2. IN ADDITION, MLCO FAILED TO MEMORIALIZE ON MEMORANDA OF FIVE BROKERAGE ORDERS THE CORRECT TIME OF EXECUTION IN VIOLATION OF SEC RULE 17a-3(a)(7) AND NASD CONDUCT RULE 3110. MLCO WAS CENSURED AND FINED $9,500. ****** $9,500 PAID ON 7/1/98, INVOICE NO. 98-MS-483 **** ****** REGULATORY ACTION (121 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/05/1998 Initiated By: Not Provided Date initiated: 06/26/1998 Docket/ Case Number: HPD98-89 Allegations: Not Provided Current Status: Final Resolution: Consent Resolution Date: 10/01/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $85,000.00 Resolution Details: Not Provided Summary: **10/1/1998** THE DECISION IS NOW FINAL AND IS EFFECTIVE IMMEDIATELY. CONTACT: PEGGY GERMINO 212 656-8450. NASD BrokerCheck October 17, 2005 Page 104 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 06/26/1998 Docket/ Case Number: HPD 98-89 Allegations: VIOLATIONS OF EXCHANGE RULE 440 AND SEC REGULATIONS 17A-3 AND 17A-4 AND VIOLATIONS OF EXCHANGE RULE 342. Current Status: Final Resolution: Consent Resolution Date: 10/01/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $85,000.00 Resolution Details: FINE PAID AS OF 10/01/1998 Summary: VIOLATED EXCHANGE RULE 440 AND SEC REG 17A3 AND 17A4 BY FAILING TO MAKE AND PRESERVE REQUIREED RECORDS RELATIONG TO RECEIPT AND EXECUTION OF CUTOMER ORDERS, VIOLATED EXCHANGE RULE 342 BY FAILING TO REASONABLY SUPERVISE ACTIVITIES TO ASSURE COMPLIANCE WITH RULES FOR MAKING AND PRESERVING TIMELY ORDER RECORDS SHOWING ALLOCATION OF TRADES TO CUSTOMER ACCOUNTS. ****** REGULATORY ACTION (122 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/15/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/15/1997 Docket/ Case Number: C10970186 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/15/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: ON DECEMBER 15, 1997, DISTRICT NO. 10 NOTIFIED RESPONDENT MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10970186 WAS ACCEPTED; THEREFORE THE FIRM IS CENSURED AND FINED $10,000 - (MSRB RULE G-36 - RESPONDENT SERVED AS SOLE OR MANAGING UNDERWRITER IN PRIMARY OFFERINGS OF MUNICIPAL SECURITIES AND FAILED TO TIMELY SUBMIT OFFICIAL STATEMENTS AND/OR OTHER DOCUMENTS TO THE MSRB) ********* $10,000 PAID ON 1/23/98, INVOICE NO. 98-10-19 **** ****** REGULATORY ACTION (123 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/12/1997 NASD BrokerCheck October 17, 2005 Page 105 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: CBOE Date initiated: 11/12/1997 Docket/ Case Number: 97-SF0001 Allegations: SEE SUMMARY Current Status: Final Resolution: Decision Resolution Date: 11/12/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., AN EXCHANGE MEMBER ORGANIZATION, WAS FINED $2,500. Summary: MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., AN EXCHANGE MEMBER ORGANIZATION, WAS FINED $2,500 FOR THE FOLLOWING CONDUCT. DURING THE PERIODS INVOLVED, THE APPLICABLE POSITION LIMIT IN THE STANDARD & POOR'S 100 STOCK INDEX (OEX) CLASS OF OPTION CONTRACTS WAS 25,000 CONTRACTS ON THE SAME SIDE OF THE MARKET. ON APRIL 10 AND 11, 1996, MERRILL LYNCH CONTROLLED A LONG CALL POSITION OF 30,625 OEX OPTION CONTRACTS IN ONE OF ITS CUSTOMER ACCOUNTS. (CBOE RULES 4.11 AND 24.4(a)) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: CBOE Date initiated: 11/12/1997 Docket/ Case Number: 97-SF0001 Allegations: MERRILL LYNCH CONTROLLED A LONG CALL POSITION IN EXCESS OF APPLICABLE POSITION LIMITS IN VIOLATION OF CBOE RULES 4.11 AND 24.4(A). Current Status: Final Resolution: Decision Resolution Date: 11/12/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: FINE PAID AS OF 11/12/1997 Summary: DURING THE PERIOD INVOLVED, THE APPLICABLE POSITION LIMIT IN THE S&P STOCK INDEX CLASS OF OPTION CONTRACTS WAS 25,000 ON THE SAME SIDE OF THE MARKET. ON APRIL 10 AND 11, 1996, ML CONTROLLED A LONG CALL POSITION OF 30,625 OPTION CONTRACTS IN ONE OF ITS CUSTOMER ACCOUNTS. ****** REGULATORY ACTION (124 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/27/1997 Initiated By: Department of Justice, State of Delaware, Division *See FAQ #1* Date initiated: 08/27/1997 Docket/ Case Number: 95-12-01 NASD BrokerCheck October 17, 2005 Page 106 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: Between April 1978 and May 1995 John Sailer, Jr. (CRD #409073) was employed as a broker-dealer agent (Financial Consultant) at Merrill Lynch's Wilmington, Delaware branch office. Sailer used his office and his position as a Merrill Lynch Sales Agent to exploit and steal from elderly clients, some infirm, enriching himself to the detriment of those clients. In addition to a request that the Commissioner take action against Sailer's registration on the basis of certain felony convictions arising out of the above-described misconduct, the Securities Division requests that the Commissioner discipline Mr. Sailer for engaging in dishonest and unethical conduct in violation of the Delaware Securities Act. Further, the Division alleges that Merrill Lynch and Mr. Leckey failed reasonably to supervise Mr. Sailer in violation of the Delaware Securities Act. Any questions should be directed to Peter Jamison, Deputy Attorney General at (302) 577-8940. Current Status: Pending Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: THE SECURITIES DIVISION OF THE STATE OF DELAWARE Date initiated: 08/27/1997 Docket/ Case Number: 95-12-01 Allegations: ALLEGATION OF FAILURE TO SUPERVISE Current Status: Final Resolution: Settled Resolution Date: 02/27/1998 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution Monetary Amount: $100,000.00 Other Sanctions: ALLEGATIONS THAT MERRILL LYNCH FAILED TO SUPERVISE. MERRILL LYNCH NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. ONCE MERRILL LYNCH PAID RESTITUTION TOTALING 100,000.00 ON OR BEFORE MARCH 17, 1998, THE SECURITIES DIVISION OF THE STATE OF DELAWARE FILED A NOTICE OF DISMISSAL WITH PREFUDICE OF THE CHARGES AGAINST MERRILL Resolution Details: ALLEGATIONS THAT MERRILL LYNCH FAILED TO SUPERVISE. MERRILL LYNCH NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. ONCE MERRILL LYNCH PAID RESTITUTION TOTALING 100,000.00 ON OR BEFORE MARCH 17, 1998, THE SECURITIES DIVISION OF THE STATE OF DELAWARE FILED A NOTICE OF DISMISSAL WITH PREFUDICE OF THE CHARGES AGAINST MERRILL Summary: ALLEGATIONS THAT MERRILL LYNCH FAILED TO SUPERVISE. MERRILL LYNCH NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. ONCE MERRILL LYNCH PAID RESTITUTION TOTALING 100,000.00 ON OR BEFORE MARCH 17, 1998, THE SECURITIES DIVISION OF THE STATE OF DELAWARE FILED A NOTICE OF DISMISSAL WITH PREFUDICE OF THE CHARGES AGAINST MERRILL LYNCH. ****** REGULATORY ACTION (125 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/19/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/25/1997 Docket/ Case Number: C05970025 Allegations: SEE NO.13 Current Status: Final NASD BrokerCheck October 17, 2005 Page 107 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/25/1997 Sanctions Ordered: Censure Resolution Details: CENSURED Summary: ON AUGUST 25, 1997, DISTRICT NO. 5 NOTIFIED MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED AND MICHAEL E. ELLIS THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05970025 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND WILL UNDERTAKE TO ENFORCE AND MONITOR THE REVISED PROCEDURES, WHICH HAVE BEEN DETERMINED TO BE SATISFACTORY BY NASDR, WHICH THE FIRM HAS IMPLEMENTED (OR SUCH OTHER AMENDED OR REPLACEMENT PROCEDURES AS MAY BE APPROPRIATE) AND WHICH ARE REASONABLY DESIGNED TO MONITOR PAYMENTS BY MUTUAL FUND COMPANIES TOWARDS THE COSTS OF EDUCATIONAL MEETINGS. RESPONDENT ELLIS IS CENSURED, FINED $35,000, AGREES TO PARTICIPATE IN A COMPLIANCE CONFERENCE CONDUCTED BY REPRESENTATIVES OF THE DISTRICT STAFF AND ATTENDED BY A MANAGEMENT REPRESENTATIVE OF RESPONDENT MEMBER'S COMPLIANCE DEPARTMENT, AND AGREES TO UNDERGO TRAINING IN A MANNER SATISFACTORY TO NASDR STAFF, SPECIFICALLY DESIGNED TO ADDRESS HIS SUPERVISION OF THE FIRM'S MUTUAL FUNDS SALES ACTIVITIES, AS A PORTION OF THE FIRM ELEMENT OF RESPONDENT MEMBER'S CONTINUING EDUCATION PROGRAM - (NASD RULES 2110 AND 3010 - RESPONDENT ELLIS SOLICITED AND FAILED TO RETURN TO VARIOUS MUTUAL FUND COMPANIES A TOTAL OF $41,699 REPRESENTING FUNDS PAID BY THE MUTUAL FUNDS COMPANIES IN EXCESS OF THE COSTS OF SPONSORING AN EDUCATIONAL MEETING, DID NOT OBTAIN ADVANCE WRITTEN APPROVAL FOR THE MEETING IN ACCORDANCE WITH FIRM PROCEDURES; RETAINED POSSESSION OF $5,000 AS A RESULT OF A CHECK RECEIVED BY RESPONDENT MEMBER FROM ONE OF THE MUTUAL FUND COMPANIES WHICH WAS ERRONEOUSLY DEPOSITED INTO HIS PERSONAL CASH MANAGEMENT ACCOUNT; AND, RESPONDENT MEMBER DID NOT PREVENT A BRANCH OFFICE FROM COLLECTING FUNDS IN EXCESS OF THOSE REASONABLY ANTICIPATED TO BE ISSUED IN CONNECTION WITH PROPOSED MEETINGS, AND DID NOT SEPARATELY IDENTIFY THE FUNDS RECEIVED FOR THAT PURPOSE). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 05/01/1997 Docket/ Case Number: C00 5970025 Allegations: VIOLATION OF CONDUCT RULE 3010 - FAILED TO (1) PREVENT THE COLLECTION FUNDS FROM MUTUAL FUND SPONSORS IN EXCESS OF THOSE REASONABLY AUTHORIZED TO BE USED IN CONNECTION WITH PROPOSED EDUCATIONAL MEETINGS IN ITS MISSISSIPPI COMPLEX AND (2) SEPARATELY IDENTIFY SUCH FUNDS. Current Status: Final Resolution: Consent Resolution Date: 08/26/1997 Sanctions Ordered: Censure Resolution Details: FIRM WILL UNDERTAKE TO ENFORCE AND MONITOR THE REVISED PROCEDURES WHICH IT HAD IMPLEMENTED AND DESIGNED TO THE SATISFACTION OF THE NASD. Summary: ****** REGULATORY ACTION (126 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/11/1997 Initiated By: CBOE NASD BrokerCheck October 17, 2005 Page 108 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 08/11/1997 Docket/ Case Number: 97-0018 Allegations: SEE SUMMARY Current Status: Final Resolution: Decision Resolution Date: 08/11/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,000.00 Resolution Details: $7,000 FINE Summary: MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC., AN EXCHANGE MEMBER ORGANIZATION, WAS FINED IN THE AMOUNT OF $7,000 FOR EXCEEDING THE EXCHANGE'S POSITION LIMIT IN THE ENVIRONMENTAL INDEX (EVX) CLASS OF OPTION CONTRACTS ON ONE TRADE DATE. (CBOE RULES 4.11 AND 24.4(a)) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: CBOE Date initiated: 08/11/1997 Docket/ Case Number: 97-0018 Allegations: EXCEEDING THE EXCHANGE'S POSITION LIMIT IN THE ENVIRONMENTAL INDEX CLASS OF OPTION CONTRACTS ON ONE TRADE DATE - CBOE RULES 4.11 AND 24.4(A). Current Status: Final Resolution: Decision Resolution Date: 08/11/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,000.00 Resolution Details: FINE PAID AS OF 08/11/1997 Summary: EXCEEDING THE EXCHANGE'S POSITION LIMIT IN THE ENVIRONMENTAL INDEX CLASS OF OPTION CONTRACTS ON ONE TRADE DATE - CBOE RULES 4.11 AND 24.4(A). ****** REGULATORY ACTION (127 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960093 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions NASD BrokerCheck October 17, 2005 Page 109 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960093 AWC. ON APRIL 23, 1997, MERRILL LYNCH, PEIRCE, FENNER & SMITH INC. (MLCO) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT MLCO VIOLATED MARKETPLACE RULE 4613(d) FOR ENTERING QUOTATIONS IN NASDAQ NATIONAL MARKET SYSTEM SECURITIES THAT EXCEEDED THE PARAMETERS FOR MAXIMUM ALLOWABLE SPREADS IN THIRTEEN SECURITIES. MLCO WAS FINED $1,000. ***$1,000.00 PAID ON 6/2/97, INVOICE #97-MS-393*** ****** REGULATORY ACTION (128 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/13/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/13/1997 Docket/ Case Number: Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/13/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS960092 AWC. ON JUNE 13, 1997, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (MLCO) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER & CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT MLCO VIOLATED CONDUCT RULE 2860(b)(5)(A) FOR FAILING TO FILE CONVENTIONAL OPTION POSITION REPORTS FOR ITS CUSTOMERS AND/OR PROPRIETARY ACCOUNTS. MLCO EXECUTED 45 TRANSACTIONS OF 200 CONTRACTS OR MORE DURING THE PERIOD FROM JANUARY 1994 TO DECEMBER 1995. MLCO WAS CENSURED AND FINED $10,000. **$10,000 PAID ON 7/14/97, INVOICE # 97-MS-541** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 04/21/1997 Docket/ Case Number: CMS 960092 AWC Allegations: FIRM FAILED TO FILE OPTION POSITION REPORTS FOR CONVENTIONAL OVER THE COUNTER OPTION POSITIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/13/1997 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 NASD BrokerCheck October 17, 2005 Page 110 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: CONSENT TO CENSURE AND FINE WAS ACCEPTED BY NASD. Summary: ****** REGULATORY ACTION (129 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1997 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1997 Docket/ Case Number: CMS960189 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER & CONSENT NO. CMS960189 AWC. ON APRIL 23, 1997, MERRILL LYNCH, PIERCE, FENNER & SMITH INC. (MLCO) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) IT SUBMITTED WAS ACCEPTED BY THE MARKET REGULATION AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. THE AWC ALLEGES THAT MLCO VIOLATED MARKETPLACE RULE 4613(d) FOR ENTERING QUOTATIONS IN NASDAQ NATIONAL MARKET SYSTEM SECURITIES THAT EXCEEDED THE PARAMETERS FOR THE MAXIMUM ALLOWABLE SPREADS IN TWO SECURITIES. MLCO WAS FINED $5,000. ***$5,000.00 PAID ON 6/2/97, INVOICE #97-MS-422*** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/06/1996 Docket/ Case Number: CMS 960189 AWC Allegations: FIRM ENTERED QUOTATIONS IN THE NASDAQ STOCK MARKET SECURITIES THAT EXCEEDED THE PARAMETERS FOR MAXIMUM ALLOWABLE SPREADS PURSUANT TO MARKETPLACE RULE 4613 (D). Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 04/23/1997 Sanctions Ordered: Monetary/Fine Monetary Amount: $5,000.00 Resolution Details: THE FIRM AGREED TO A FINE. Summary: ****** REGULATORY ACTION (130 of 229) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 17, 2005 Page 111 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 07/03/2000 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/04/1997 Docket/ Case Number: C8A970014 Allegations: VIOLATIONS OF NASD RULES 2110, 3010, AND 3050(C) Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/10/1998 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: THE FIRM IS CENSURED, FINED $5,000, AND REQUIRED TO PROVIDE EVIDENCE OF COMPLIANCE WITH THE UNDERTAKINGS DESCRIBED. Summary: [TOP] COMPLAINT NO. C8A970014 FILED 04/04/1997 BY DISTRICT NO. 8 AGAINST RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE FIRM); JAMES R. GUNN, WILLIAM S. MACKAY, AND CARRIE L. STINE ALLEGING VIOLATIONS OF NASD RULES 2110, 3010, AND 3050(C) IN THAT GUNN PURCHASED SHARES OF STOCK, AND MACKAY SOLD TO GUNN SHARES OF STOCK, THAT TRADED AT A PREMIUM IN THE IMMEDIATE AFTERMARKET, IN CONTRAVENTION OF THE BOARD OF GOVENORS' INTERPRETATION ON FREE-RIDING AND WITHHOLDING; GUNN OPENED AND MAINTAINED SECURITIES ACCOUNTS WITH HIS MEMBER FIRMS AND FAILED AND NEGLECTED TO GIVE ORAL NOTICE TO THE FIRMS THAT HE WAS REGISTERED WITH HIS MEMBER FIRMS AND FAILED TO GIVE WRITTEN NOTICE TO HIS MEMBER FIRM THAT HE HAD OPENED THE ACCOUNT; AND THE FIRM, THROUGH STEIN, FAILED TO ESTABLISH, MAINTAIN AND/OR ENFORCE WRITTEN SUPERVISORY PROCEDURES AND/OR FAILED TO OTHERWISE PROPERLY SUPERVISE MACKAY TO PREVENT THE OCCURRENCE OF SUCH VIOLATIONS. ON 12/10/1998, THE DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT SUBMITTED BY THE FIRM, MACKAY AND STINE WAS ISSUED; THEREFORE, THE ALLEGATIONS AGAINST MACKAY AND STINE CONTAINED IN THE COMPLAINT ARE DISMISSED; THE FIRM IS CENSURED, FINED $5,000, AND REQUIRED TO PROVIDE EVIDENCE OF COMPLIANCE WITH THE UNDERTAKINGS DESCRIBED BELOW: THE FIRM WILL SEND A WRITTEN STATEMENT TO ALL FINANCIAL CONSULTANTS REMINDING SUCH PERSONNEL OF THE NASD'S FREE-RIDING AND WITHHOLDING PROVISIONS, AND INCLUDE REFERENCE TO THE UNDERLYING FACTS OF THIS MATTER AND ITS RESOLUTION. THE REMINDER WILL SUGGEST THAT WHENEVER INFORMATION INDICATES A CLIENT MAY BE AFFILIATED WITH THE INSURANCE INDUSTRY, FINANCIAL CONSULTANTS SHOULD UNDERTAKE A FURTHER INQUIRY (E.G., THE SPECIFIC POSITION OF THE CLIENT IN THE INSURANCE INDUSTRY AND WHETHER THE INDIVIDUAL IS A REGISTERED PERSON OR OTHERWISE AFFILIATED WITH AN NASD MEMBER) TO DETERMINE WHETHER THE CUSTOMER SHOULD BE DEEMED RESTRICTED UNDER THE NASD'S FREE-RIDING AND WITHHOLDING GUIDELINES. 05-10-99, $5,000 PAID. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 04/04/1997 Docket/ Case Number: C8A970014 Allegations: VIOLATED AND FAILED TO SUPERVISE REGARDING RULES 2110 & 3010 IN CONNECTION WITH THE SALE OF 100 SHARES OF A HOT ISSUE TO A RESTRICTED PERSON. CTED CUSTOMER. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/10/1998 Sanctions Ordered: Monetary/Fine, Censure NASD BrokerCheck October 17, 2005 Page 112 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Monetary Amount: $5,000.00 Resolution Details: CENSURED, FINED $5,000. Summary: ****** REGULATORY ACTION (131 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/09/1996 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/09/1996 Docket/ Case Number: C10960175 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/09/1996 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: Summary: ON DECEMBER 9, 1996, DISTRICT NO. 10 NOTIFIED MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED THAT THE LETTER OF ACCEPTANCE, WAVIER AND CONSENT NO. C10960175 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED; FINED $20,000; WITHIN 180 DAYS OF THE EXECUTION OF THIS AWC, RESPONDENT MEMBER AGREES TO REVIEW ALL JOB CLASSIFICATIONS TO IDENTIFY ANY INDIVIDUAL WHO HAS NOT OBTAINED THE APPRORPRIATE NASD REGISTRATIONS, AND TO CAUSE TO BE REGISTERED ANY INDIVIDUALS FOUND, AS A RESULT OF THIS REVIEW, TO LACK THE APPROPRIATE REGISTRATIONS, OR TO CHANGE THOSE INDIVIDUALS' DUTIES TO THOSE FOR WHICH THEY ARE REGISTERED; ON AN ONGOING BASIS, RESPONDENT MEMBER WILL HAVE WRITTEN PROCEDURES IN PLACE TO ENABLE THE MEMBER TO IDENTIFY ALL EMPLOYEES REQUIRED TO BE NASD REGISTERED INCLUDING THOSE EMPLOYEES WHO OBTAIN SUCH POSITIONS AS A RESULT OF A PROMOTION AND/OR AN INTER-DEPARTMENT TRANSFER. A REVIEW WILL ALSO BE CONDUCTED, AT LEAST QUARTERLY, TO ENSURE THAT THESE PROCEDURES ARE BEING ENFORCED, AND A WRITTEN REPORT OF THE REVIEW WILL BE PREPARED AND MAINTAINED; AND, RESPONDENT MEMBER WILL DISSEMINATE TO ITS EMPLOYEES, NO LATER THAN 30 DAYS FROM THE DATE OF THIS AWC, A MEMORANDUM REMINDING ALL EMPLOYEES OF THEIR OBLIGATIONS TO BECOME REGISTERED PURSUANT TO THE NASD RULES - (NASD RULES 2110 AND 3010 - RESPONDENT MEMBER PERMITTED TEN OFFICERS TO ACT IN THE CAPACITY OF A GENERAL SECURITIES PRINCIPAL AND/OR REPRESENTATIVE WITHOUT THE APPROPRIATE REGISTRATION; AND, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES AND FAILED TO ADEQUATELY SUPERVISE THE REGISTRATION STATUS OF INDIVIDUALS ACTING IN THE CAPACITY OF A GENERAL SECURITES PRINCIPAL). **$20,000.00 PAID ON 12/31/96, INVOICE #96-10-926** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 09/11/1996 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF CONDUCT RULES - SEC. 2110 - FIRM PERMITTED TEN OFFICERS TO ACT IN THE CAPACITY OF A GENERAL SECURITIES PRINCIPAL; AND/OR REPRESENTATIVE WITHOUT APPROPRIATE REGISTRATIONS. SEC. 3010 - FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES AND ADEQUATELY NASD BrokerCheck October 17, 2005 Page 113 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SUPERVISE REGISTRATION STATUS OF THOSE ACTING IN THE CAPACITY OF A GENERAL SECURITIES PRINCIPAL. Current Status: Final Resolution: Settled Resolution Date: 09/11/1996 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $20,000.00 Resolution Details: NASD IMPOSED A FINE AND A CENSURE. Summary: ****** REGULATORY ACTION (132 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/15/1996 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/15/1996 Docket/ Case Number: CMS960024 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/15/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS960024 ON JULY 15, 1996, MERRILL LYNCH, PIERCE, FENNER & SMIHT, INC. (MLCO) WAS NOTIFIED THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT IT SUBMITTED WAS ACCEPTED BY THE MARKET SURVEILLANCE AND THE NATIONAL BUSINESS CONDUCT COMMITTEES. UNDER THE AWC MLCO IS ALLEGEDLY IN VIOLATION OF SEC RULE 10b-6A IN THAT ON THREE OCCASIONS, MLCO ENTERED BIDS WHICH WERE ABOVE THE LEVEL OF THE HIGHEST INDEPENDENT MARKET MAKERS' BID. MLCO IS ALSO ALLEGEDLY IN VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE FOR FAILING TO ENFORCE SUPERVISORY PROCEDURES TO PREVENT THE VIOLATIONS DESCRIBED ABOVE. MLCO IS FINED $1,000. THE AWC BECOMES FINAL ON JULY 15, 1996. ***$1,000.00 PAID ON 09/17/96, INVOICE #96-MS-552*** ****** REGULATORY ACTION (133 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/01/1996 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/01/1996 Docket/ Case Number: CMS950200 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) NASD BrokerCheck October 17, 2005 Page 114 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Date: 07/01/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CMS950200 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) SUBMITTED BY MERRILL, LYNCH, PIERCE, FENNER & SMITH, INC. (MLCO) AND ACCEPTED BY THE MARKET SURVEILLANCE AND THE NATIONAL BUSINESS CONDUCT COMMITTEES ON JULY 1, 1996 WHEREIN MLCO IS ALLEGEDLY IN VIOLATION OF PART IV, a)2(A) OF THE FIXED INCOME PRICING SYSTEM (FIPS) RULES FOR FAILING TO REPORT EXECUTED TRANSACTIONS WITHIN FIVE MINUTES OF EXECUTION. MLCO IS HEREBY FINED $1,000. THE AWC BECAME FINAL ON JULY 1, 1996. ***$1,000.00 PAID ON 08/27/96, INVOICE #96-MS-649*** ****** REGULATORY ACTION (134 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/26/1995 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/26/1995 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 10/26/1995 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $2,500,000.00 Resolution Details: Summary: 11-12-95-SEC NEWS DIGEST ISSUE NO. 95-208, DATED OCTOBER 27, 1995 ENFORCEMENT PROCEEDINGS DISCLOSES; "COMMISSION SANCTIONS LAZARD FRERES AND MERRILL LYNCH." THE COMMISSION ANNOUNCED TODAY THAT LAZARD FRERES & CO. LLC. (LAZARD) AND MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MERRILL) CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS, TO A COMMISSION ORDER REQUIRING THEM TO CEASE AND DESIST FROM VIOLATIONS OF MSRB RULE G-17. LAZARD AND MERRILL WERE EACH ORDERED TO PAY A PENALTY OF $2.5 MILLION AND TO MAINTAIN CERTAIN POLICIES AND PROCEDURES. LAZARD AND MERRILL WERE ORDERED TO PAY RESTITUTION OF $3.92 MILLION AND $3.8 MILLION RESPECTIVELY. THE COMMISSION FOUND THAT IN 1990, LAZARD AND MERRILL ENTERED INTO A CONTRACT WHICH PROVIDED THAT MERRILL AND LAZARD WOULD WORK TOGETHER CONCERNING INTEREST RATE SWAPS WITH MUNICIPAL ISSUERS. TWO OF LAZARD'S FINANCIAL ADVISORY CLIENTS THAT WERE SERVICED BY A FORMER PARTNER OF LAZARD, THE MASACHUSETTS WATER RESOURCES AUTHORITY (MWRA) AND THE DISTRICT OF COLUMBIA (DISTRICT), WERE NOT FULLY INFORMED OF THE CONTRACT AND OTHER FACTS AT THE TIME THEY EVALUATED THE ADVICE OF THE FORMER PARTNER CONCERNING THE SELECTION OF MERRILL TO PROVIDE CERTAIN FINANCIAL SERVICES. CONSEQUENTLY, THE CONTRACT CREATED AT LEAST A POTENTIAL CONFLICT OF INTEREST FOR LAZARD THAT SHOULD HAVE BEEN DISCLOSED TO THE MWRA AN D D.C. MERRILL FAILED TO ADEQUATE STEPS TO ENSURE THAT THE CONTRACT AND OTHER FACTS WERE FULLY DISCLOSED TO THE MWRA AND THE DISTRICT. THE COMMISSION IS DEFERRING THE FILING OF FURTHER CIVIL PROCEEDINGS AT THE PERSENT TIME IN VIEW OF THE PENDENCY OF A CRIMINAL PROCEEDING. REL.34-36419 +04/01/97+ SEC DOCKET, VOLUME 60, NO. 10, DATED NOVEMBER 21, 1995, PAGE 1698, DISCLOSES; THE ORDER CONTAINING THE CEASE AND DESIST ORDER AGAINST RESPONDENT IS DATED OCTOBER 26, 1995. *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 115 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 03/11/2005 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 10/26/1995 Docket/ Case Number: Allegations: ALLEGATIONS THAT LAZARD AND MERRILL LYNCH FAILED TO FULLY INFORM MUNICIPAL ISSUERS OF THEIR CONTRACT REGARDING INTEREST RATE SWAPS. Current Status: Final Resolution: Consent Resolution Date: 10/26/1995 Sanctions Ordered: Monetary/Fine, Disgorgement/Restitution, Cease and Desist/Injunction Monetary Amount: $2,500,000.00 Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH AND LAZARD CONSENTED WITHOUT ADMITTING OR DENYING ALLEGATIONS THAT THEY ENTERED INTO A CONTRACT REGARDING INTEREST RATE SWAPS, AND DID NOT FULLY INFORM THE MUNICIPAL ISSUERS OF THE CONTRACT. $3,800,000.00 PAID IN RESTITUTION ON OR BEFORE OCTOBER 26, 1995. ****** REGULATORY ACTION (135 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/18/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/18/1995 Docket/ Case Number: CMS940118 Allegations: Current Status: Pending Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS940118 THIS COMPLAINT WAS FILED ON AUGUST 18, 1995 BY THE MARKET SURVEILLANCE COMMITTEE (MSC) AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (MLCO), MEMBER, (CRD NO. 7691). THE COMPLAINT CONTAINS SEVEN CAUSES OF COMPLAINT. EACH CAUSE ALLEGES A FAILURE TO EXECUTE A SELECTNET ORDER IN VIOLATION OF RULE 11Ac1-1(c) OF THE SECURITIES EXCHANGE ACT OF 1934, PART V, SECTION 2(b) OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS AND ARTICLE III, SECTIONS 1 AND 6 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE (RFP) BY MLCO. EACH CAUSE OF COMPLAINT IS THE RESULT OF A FILING OF A REPORT OF "BACKING AWAY" AGAINST MLCO DURING THE PERIOD APRIL 19, 1994 THROUGH AUGUST 30, 1994. IN ALL BUT THE SECOND CAUSE OF COMPLAINT, THE ALLEGED BACKING AWAY WAS FILED BY DATEK SECURITIES CORP. (DATK). IN THE SECOND CAUSE, THE ALLEGED BACKING AWAY WAS FILED BY ALL-TECH INVESTMENT GROUP, INC. (ALST). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 08/18/1995 Docket/ Case Number: CMS940118; AWC NO. CMS990035 Allegations: ALLEGED VIOLATIONS OF THE FIRM QUOTE RULE AND RELATED SUPERVISORY REQUIREMENTS. NASD BrokerCheck October 17, 2005 Page 116 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/29/1999 Sanctions Ordered: Monetary/Fine Monetary Amount: $15,000.00 Resolution Details: THE MATTER WAS SETTLED WITHOUT ADMITTING OR DENYING THE VIOLATIONS. THERE WERE NO ALLEGATIONS THAT THE VIOLATIONS WERE INTENTIONAL. Summary: ****** REGULATORY ACTION (136 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/17/1994 Initiated By: NYSE HEARING PANEL Date initiated: 05/25/1992 Docket/ Case Number: HPD # 93-29 Allegations: Not Provided Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/02/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $90,000.00 Resolution Details: JUNE 2, 1994 -- DECISION ISSUED BY THE NYSE BOARD OF DIRECTORS -- FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING AND WITHOUT THE FIRM ADMITTING OR DENYING ANY OF THE FACTS SET FORTH THEREIN, THE DIVISION AND THE FIRM HEREBY REQUEST THE BOARD TO INCORPORATE THE CONTENT OF HEARING PANEL DECISION #93-29 EXCEPT FOR THE ENTIRE SUMMARY HEADNOTE ON PAGE ONE THEREOF AND THE THIRD PARAGRAPH ON PAGE 9 (PENALTY SECTION) THEREOF IN THE BOARD'S DECISION RESOLVING THE DIVISION'S AND THE FIRM'S REQUESTS FOR REVIEW. WITHOUT ADMITTING OR DENYING THE FACTS OR FINDINGS SET FORTH HEREIN, THE FIRM CONSENTS TO: (1) THE BOARD INCORPORATING IN ITS DECISION FINDINGS THAT THE FI RM, DURING THE PERIOD 1985 THROUGH SEPTEMBER 1988: a. VIOLATED REGULATION 240.17a-3 PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934 (THE "ACT") IN THAT IT MAINTAINED INACCURATE ACCOUNT STATEMENTS; AND b. VIOLATED REGULATION 240.10b-10 PROMULGATED UNDER THE ACT IN THAT IT FAILED TO CONFIRM TO ITS CUSTOMERS CERTAIN TRANSACTIONS WHICH HAD TAKEN PLACE. (2) THE IMPOSITION BY THE BOARD OF THE PENALTY OF A CENSURE AND A FINE OF $90,000 AND THE REQUIREMENTS THAT THE FIRM: a. COMPLY WITH ITS VOLUNTARY UNDERTAKINGS AS SET FORTH BELOW: i. TO USE ITS BEST EFFORTS TO PROVIDE TO THOSE CUSTOMERS WHO DID NOT TAKE ADVANTAGE OF THE MORE VALUABLE CONVERSION OPPORTUNITY (THE "CUSTOMERS") ALL PROFITS GENERATED BY THESE FORMER CONVERSION PRACTICES TOGETHER WITH INTEREST FROM THE DATES OF THE GENERATION OF THE PROFITS. ii. TO PAY TO THE SECURITIES INVESTORS PROTECTION CORPORATION OR TO SUCH OTHER ORGANIZATION FOR THE BENEFIT OF INVESTORS WHICH IS ACCEPTABLE TO THE EXCHANGE ALL SUMS OTHERWISE PAYABLE TO THOSE CUSTOMERS WHOM THE FIRM CANNOT LOCATE DESPITE ITS BEST EFFORTS. iii. TO MAKE ALL SUCH PAYMENTS ON OR BEFORE SIX MONTHS FOLLOWING THE ISSUANCE OF THE BOARD'S DECISION IN THIS MATTER; b. CAUSE ITS OUTSIDE INDEPENDENT AUDITORS (THE "AUDITORS") TO CONDUCT A REVIEW OF TH*See FAQ #1* Summary: THE DECISION IS FINAL. CONTACT: PEGGY GERMINO -- (212) 656-8450. *********************************** NASD BrokerCheck October 17, 2005 Page 117 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: THE NEW YORK STOCK EXCHANGE Date initiated: 05/25/1992 Docket/ Case Number: HPD # 93-29 Allegations: ALLEGATIONS THAT MERRILL LYNCH DID NOT MAINTAIN ACCURATE ACCOUNT STATEMENTS. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/02/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $90,000.00 Resolution Details: SEE ITEM 13 Summary: THE BOARD FOUND THAT THE FIRM DURING THE PERIOD OF 1985 - SEPTEMBER, 1988 FAILED TO CONFIRM TO ITS CUSTOMERS CERTAIN TRANSACTIONS WHICH HAD TAKEN PLACE. FIRM WAS FINED $90,000.00 TO BE PAID ON OR BEFORE DECEMBER 2, 1994. ****** REGULATORY ACTION (137 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/04/1993 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/04/1993 Docket/ Case Number: C06930003 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/04/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000.00 Resolution Details: Summary: ON OCTOBER 4, 1993, DISTRICT NO. 6 NOTIFIED MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. THAT THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06930003 WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $2,000 - (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE AND MSRB RULE G-15(a)(v) - RESPONDENT MEMBER FAILED TO DISCLOSE THAT CERTAIN BONDS PURCHASED BY PUBLIC CUSTOMERS COULD BE CALLED AT SUBSTANTIAL DISCOUNTS TO PAR). **$2,000.00 PAID ON 12/28/93 INVOICE #93-06-836** ****** REGULATORY ACTION (138 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/22/1993 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/22/1993 NASD BrokerCheck October 17, 2005 Page 118 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 04/22/1993 Sanctions Ordered: Disgorgement/Restitution, Cease and Desist/Injunction Resolution Details: Summary: +5/6/93+ SEC NEWS DIGEST, ISSUE 93-76, DATED APRIL 22, 1993 ADMINISTRATIVE PROCEEDINGS DISCLOSES; "ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH INC. TO CEASE AND DESIST FROM VIOLATING RULE 22c-1 OF THE INVESTMENT COMPANY ACT OF 1940. SIMULTANEOUSLY, THE COMMISSION ACCEPTED MERRILL LYNCH'S OFFER OF SETTLEMENT, IN WHICH MERRILL LYNCH CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE COMMISSION'S FINDINGS. ON THE BASIS OF THE ORDER AND OFFER, THE COMMISSION FOUND THAT, FROM APPROXIMATELY 1972 THROUGH 1987, MERRILL LYNCH VIOLATED RULE 22c-1 BY UNDERPAYING UNITHOLDERS OF CERTAIN UNIT INVESTMENT TRUSTS (UITs) WHEN IT REPURCHASED UNITS IN THE SECONDARY MARKET. THE UNDERPAYMENTS OCCURRED BECAUSE, IN CALCULATING THE UNIT PRICE, MERRILL LYNCH DID NOT INCLUDE CASH THAT HAD ACCUMULATED IN THE UITs' INCOME ACCOUNTS AS A RESULT OF BONDS THAT WERE CALLED, SOLD, OR MATURED FROM THE UITs' PORTFOLIOS. THE COMMISSION FURTHER FOUND THAT THIS MISPRICING CAUSED UNITHOLDERS OF THE AFFECTED UITs TO BE UNDERPAID BY MILLIONS OF DOLLARS WHEN THEY RESOLD UNITS; BY 1987, UNITHOLDERS WERE BEING UNDERPAID ON AVERAGE APPROXIMATELY FOUR DOLLARS PER UNIT. MERRILL LYNCH ALSO CONSENTED TO COMPLY WITH UNDERTAKINGS TO REPAY UNITHOLDERS THE AMOUNT BY WHICH THEY WERE UNDERPAID, PLUS INTEREST, AND TO RETAIN A SPECIAL REVIEW PERSON TO EXAMINE ITS UIT PRICING PROCEDURES. (REL. 19425) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/22/1993 Docket/ Case Number: ADMINISTRATIVE PROCEEDING FILE #3-8024 Allegations: VIOLATION OF RULE 22C-1 OF THE INVESTMENT COMPANY ACT OF 1940 FROM 1972 THROUGH 1987. Current Status: Final Resolution: Order Resolution Date: 04/22/1993 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: CONSENTED TO THE ISSUANCE OF A CEASE AND DESIST AND AN UNDERTAKING TO COMPENSATE AFFECTED UNITHOLDERS. Summary: ****** REGULATORY ACTION (139 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/16/1993 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/16/1993 Docket/ Case Number: C11920017 NASD BrokerCheck October 17, 2005 Page 119 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/16/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: ON MARCH 16, 1993, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11920017 (DISTRICT NO. 11) SUBMITTED BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $7,500 - (ARTICLE III, SECTIONS 1 AND 27(a) OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER'S SUPERVISORY SYSTEM WAS INADEQUATE WITH RESPECT TO THE TRANSFER OF AN ACCOUNT FROM ONE BRANCH OFFICE TO ANOTHER IN THAT THE EXCEPTION REPORT UTILIZED BY RESPONDENT MEMBER FAILED TO PROVIDE SUFFICIENT INFORMATION TO PROPERLY SUPERVISE AND/OR REVIEW ALL TRANSACTIONAL ACTIVITY IN THE ACCOUNT). **$7,500.00 PAID ON 5/11/93 INVOICE #93-11-239** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 03/16/1993 Docket/ Case Number: C11920017 Allegations: VIOLATION OF ARTICLE III, SECTIONS 1 AND 27(A) OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. Current Status: Final Resolution: Consent Resolution Date: 03/16/1993 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: FIRM ACCEPTED AND CONSENTED TO THE FINDINGS THAT SUCH CONDUCT IS IN VIOLATION AND CONSENTS TO A PENALTY OF CENSURE AND FINE. Summary: ****** REGULATORY ACTION (140 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/28/1993 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/23/1992 Docket/ Case Number: C05920108 Allegations: Current Status: Final Resolution: Settled Resolution Date: 05/28/1993 Sanctions NASD BrokerCheck October 17, 2005 Page 120 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Ordered: Monetary/Fine, Censure Monetary Amount: $5,000.00 Resolution Details: Summary: COMPLAINT NO. C05920108 FILED NOVEMBER 23, 1992 BY DISTRICT NO. 5 AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CHARLES H. CATLETT AND DANTE M. BRAMBLETT ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT BRAMBLETT RECOMMENDED AND ENGAGED IN PURCHASE AND SALE TRANSACTIONS IN THE ACCOUNTS OF PUBLIC CUSTOMERS WITHOUT HAVING REASONABLE GROUNDS FOR BELIEVING THAT SUCH RECOMMENDATIONS AND THE RESULTANT TRANSACTIONS WERE SUITABLE FOR THE CUSTOMERS BASED ON THEIR FINANCIAL SITUATIONS, INVESTMENT OBJECTIVES, AND NEEDS; EXECUTED UNAUTHORIZED PURCHASE AND SALE TRANSACTIONS IN THE ACCOUNTS OF PUBLIC CUSTOMERS; AND, RESPONDENT MEMBER, ACTING THROUGH RESPONDENT CATLETT, FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF RESPONDENT BRAMBLETT. DECISION RENDERED MAY 28, 1993, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE RESPONDENTS WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $5,000; AND, RESPONDENT BRAMBLETT IS CENSURED, SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY CAPACITY FOR TWO MONTHS, AND REQUIRED TO REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES REPRESENTATIVE BY TAKING AND PASSING THE SERIES 7 EXAMINATION WITHIN 90 DAYS OF THE ACCEPTANCE OF THIS OFFER OF SETTLEMENT. THE COMMITTEE DISMISSED THE ALLEGATIONS IN THE COMPLAINT AGAINST RESPONDENT CATLETT IN THAT THE SUPERVISORY OVERSIGHTS BY RESPONDENT CATLETT WERE ADEQUATELY ADDRESSED BY A STAFF INTERVIEW CONDUCTED BY THE DISTRICT STAFF. ***$5,000.00 PAID ON 6/18/93 INVOICE #93-05-453*** ****** REGULATORY ACTION (141 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/17/1992 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/17/1992 Docket/ Case Number: C3B910049 Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/17/1992 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $30,000.00 Resolution Details: Summary: ON MARCH 17, 1992, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3B910049 (DISTRICT NO. 3) SUBMITTED BY RESPONDENT MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC., ROBERT L. SHEERAN, AND CLINTON E. KRATZKE WAS ACCEPTED; THEREFORE, THEY ARE CENSURED AND FINED $30,000, JOINTLY AND SEVERALLY - (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER, ACTING THROUGH RESPONDENTS SHEERAN AND KRATZKE, FAILED TO SUPERVISE THE ACTIVITIES OF A REGISTERED REPRESENTATIVE IN ORDER TO PREVENT THE INDIVIDUAL FROM EFFECTING UNSUITABLE AND UNAUTHORIZED TRANSACTIONS). ***$30,000.00 J&S PAID ON 4/10/92 INVOICE #92-3B-329*** ****** REGULATORY ACTION (142 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/22/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 17, 2005 Page 121 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 05/31/1991 Docket/ Case Number: MS-1071-AWC (A) Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/22/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-1071-AWC (A) LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED MAY 31, 1991 AGAINST RESPONDENT MEMBER MERRILL, LYNCH, PIERCE, FENNER & SMITH, INC. ALLEGING VIOLATIONS OF PART VIM SECTION 2(b) OF SCHEDULE D OF THE ASSOCIATION'S BY=LAWS FOR BACKING AWAY: THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JULY 15, 1991 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 22, 1991. $500.00 FINE. ***$500.00 PAID ON 9/17/91 INVOICE #91-MS-1022*** ****** REGULATORY ACTION (143 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/25/1991 Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTOR PROTECT*See FAQ #1* Date initiated: 04/12/1991 Docket/ Case Number: Allegations: RESPONDENT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH OFFICE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/25/1991 Sanctions Ordered: Resolution Details: RESPONDENT MERRILL LYNCH AGREES TO PAY THE FLORIDA DEPARTMENT OF BANKING AND FINANCE $3,000.00 PAYABLE TO THE ANTI-FRAUD TRUST FUND. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTOR PROTECTION Date initiated: 04/12/1991 Docket/ Case Number: Allegations: ALLEGATIONS THAT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH OFFICE. Current Status: Final NASD BrokerCheck October 17, 2005 Page 122 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution: Consent Resolution Date: 04/25/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Other Sanctions: RESPONDENT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH. RESPONDENT AGREES TO PAY THE FLORIDA DEPARTMENT OF BANKING AND FINANCE $3000.00, PAYABLE TO THE ANTI-FRAUD TRUST FUND. Resolution Details: RESPONDENT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH. RESPONDENT AGREES TO PAY THE FLORIDA DEPARTMENT OF BANKING AND FINANCE $3000.00, PAYABLE TO THE ANTI-FRAUD TRUST FUND. Summary: RESPONDENT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH. RESPONDENT AGREES TO PAY THE FLORIDA DEPARTMENT OF BANKING AND FINANCE $3000.00, PAYABLE TO THE ANTI-FRAUD TRUST FUND. ****** REGULATORY ACTION (144 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/23/1990 Initiated By: ILLINOIS Date initiated: 07/23/1990 Docket/ Case Number: 9000144 Allegations: ON 7/23/90, ILLINOIS ISSUED A NOTICE OF HEARING SEEKING AN ORDER OF SUSPENSION OR PROHIBITION AGAINST THE RESPONDENT BASED UPON ALLEGED MISREPRESENTATION AND THE FAILURE OF THE DEALER TO SUSPERVISE. HEARING IS SET FOR 9/19/90. Current Status: Pending Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 Initiated By: STATE OF ILLINOIS Date initiated: 07/23/1990 Docket/ Case Number: 9000144 Allegations: ILLINOIS ISSUED A NOTICE OF HEARING SEEKING AN ORDER OF PROHIBITION AGAINST THE RESPONDENT BASED UPON ALLEGED MISREPRESENTATION AND THE FAILURE OF THE DEALER TO SUPERVISE. Current Status: Final Resolution: Dismissed Resolution Date: 07/23/1990 Sanctions Ordered: Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH WAS DISMISSED. NO FURTHER ACTION. ****** REGULATORY ACTION (145 of 229) ****** NASD BrokerCheck October 17, 2005 Page 123 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Regulator (Form U-6) Date Reported: 02/15/1990 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/15/1990 Docket/ Case Number: MS-910-AWC(A) Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 06/07/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-910-AWC (A): LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED FEBRUARY 15, 1990 AGAINST RESPONDENT MEMBER MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ALLEGING VIOLATIONS OF ARTICLE III, SECTION1 AND 42 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN THAT RESPONDENT EXECUTED A SELL ORDER IN A SECURITY WHILE SUCH SECURITY WAS THE SUBJECT OF A TRADING HALT. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON APRIL 20, 1990 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON JUNE 7, 1990. $500 FINE. ****** REGULATORY ACTION (146 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/14/2003 Initiated By: VERMONT Date initiated: 01/08/1990 Docket/ Case Number: 89-0660-S Allegations: ON JANUARY 8, 1990, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., CONSENTED TO THE ENTRY OF AN ORDER WHICH FOUND THAT IT HAD VIOLATED THE VERMONT SECURITIES ACT BY THE SALE OF UNITS OF A UNIT INVESTMENT TRUST TO VERMONT RESIDENTS THAT EXCEEDED THE AMOUNT REGISTERED IN VERMONT BY APPROXIMATELY $200,000. RESPONDENT ACKNOWLEDGED THE VIOLATIONS AND HAS MODIFIED ITS COMPLIANCE PROCEDURES IN ORDER TO CURTAIL THE RECURRENCE OF OVERSALES. RESPONDENT AGREED TO PAY APPROXIMATELY $1,000 IN FEES AND INVESTIGATION COSTS TO THE STATE. DOCKET/CASE NO. 89-0660-S, DATED 1/8/90. Current Status: Final Resolution: Consent Resolution Date: 01/08/1990 Sanctions Ordered: Resolution Details: AGREED TO PAY $1,000 COSTS OF INVESTIGATION. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: VERMONT SECURITIES DIVISION NASD BrokerCheck October 17, 2005 Page 124 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 01/08/1990 Docket/ Case Number: 89-0660-S Allegations: VIOLATION OF THE VERMONT SECURITIES ACT BY THE SALE OF UNITS OF A UNIT INVESTMENT TRUST TO VERMONT RESIDENTS THAT EXCEEDED THE AMOUNT REGISTERED IN VERMONT BY APPROXIMATELY $200,000. Current Status: Final Resolution: Order Resolution Date: 01/08/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: FINE PAID AS OF 01/08/1990 Summary: MERRILL LYNCH ACKNOWLEDGED THE VIOLATIONS AND MODIFIED ITS COMPLIANCE PROCEDURES TO CURTAIL THE REOCCURRENCE OF OVERSALES. ****** REGULATORY ACTION (147 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/31/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/31/1989 Docket/ Case Number: NY-6099-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/31/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 Resolution Details: Summary: ON JANUARY 31, 1989, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NY-6099-AWC (DISTRICT NO. 12) SUBMITTED BY RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., ROBERT PILLITTERI, STEPHEN DIGILIO, DANIEL JAMES O'SHEA, STEPHEN JOHN WOOD, ROBERT F. HARRIS, JAMES P. IRWIN, JR., GLENN BACKUS, ROBERT W. OUTTRIM, JAY D. RICE, CLIFFORD A. RODD, PASQUALE E. FERRANTE AND LEWIS BRADLEY SIMMONS WAS ACCEPTED; THEREFORE, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. IS CENSURED AND FINED $7,500.00, ROBERT PILLITTERI IS CENSURED AND FINED $2,500.00, STEPHEN DIGILIO IS CENSURED AND FINED $2,000.00, DANIEL JAMES O'SHEA IS CENSURED AND FINED $2,000.00, STEPHEN JOHN WOOD IS CENSURED AND FINED $9,500.00, ROBERT F. HARRIS IS CENSURED AND FINED $4,500.00, JAMES P. IRWIN, JR. IS CENSURED AND FINED $1,000.00, GLENN BACKUS IS CENSURED AND FINED $1,000.00, ROBERT W. OUTTRIM IS CENSURED AND FINED $2,000.00, JAY D. RICE IS CENSURED AND FINED $1,500.00, CLIFFORD A. RODD IS CENSURED AND FINED $1,300.00, PASQUALE E. FERRANTE IS CENSURED AND FINED $2,500.00, AND LEWIS BRADLEY SIMMONS IS CENSURED AND FINED $1,000.00 (ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER, WITH REGARD TO THE PUBLIC DISTRIBUTION OF SHARES WHICH TRADED AT AN IMMEDIATE PREMIUM IN THE SECONDARY MARKET FROM ITS ALLOTMENT OF SHARES, AND ACTING THROUGH RESPONDENTS PILLITTERI, DIGILIO, O'SHEA, WOOD, HARRIS, IRWIN, BACKUS, OUTTRIM, RICE, RODD, FERRANTE AND SIMMONS, SOLD SUCH SHARES TO RESTRICTED PERSONS IN CONTRAVENTION OF THE BOARD OF GOVERNORS INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING). $7,500 PAID 3/15/89 - DEPOSIT #467 NASD BrokerCheck October 17, 2005 Page 125 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (148 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/30/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/30/1989 Docket/ Case Number: NY-7000-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/30/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,500.00 Resolution Details: Summary: ON JANUARY 30, 1989, THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. NY-7000-AWC (DISTRICT NO. 12) SUBMITTED BY RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., ROGER THOMAS PATCH, MALCOLM MURDOCH MATHESON, JOHN TRAINOR KURZAVA, JR., JOEL HERBERT MESHEL, PHILIP ROBERT DOSTER, SCOTT LANE RAIDER, MITCHELL PLAAT, MICHAEL JOSEPH SULLIVAN, STEPHEN GARDINER MANTIUS AND ALFRED HANS WALBRECKER, JR. WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $7,500.00, RESPONDENT PATCH IS CENSURED AND FINED $2,000.00; RESPONDENT MATHESON IS CENSURED AND FINED $1,500.00; RESPONDENT KURZAVA, JR. IS CENSURED AND FINED $1,000.00; RESPONDENT MESHEL IS CENSURED AND FINED $1,000.00; RESPONDENT DOSTER IS CENSURED AND FINED $1,000.00; RESPONDENT RAIDER IS CENSURED AND FINED $1,250.00; RESPONDENT PLAAT IS CENSURED AND FINED $1,250.00; RESPONDENT SULLIVAN IS CENSURED AND FINED $1,750.00; RESPONDENT WALBRECKER, JR. IS CENSURED AND FINED $1,250.00; AND RESPONDENT MANTIUS IS CENSURED AND FINED $1,250.00 (ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER, FROM ITS ALLOCATION OF SHARES WHICH TRADED AT AN IMMEDIATE PREMIUM IN THE SECONDARY MARKET AND ACTING THROUGH RESPONDENTS PATCH, MATHESON, KURZAVA, MESHEL, DOSTER, RAIDER, PLAAT, SULLIVAN, MANTIUS AND WALBRECKER, SOLD SHARES TO RESTRICTED PERSONS AT THE PUBLIC OFFERING PRICE IN CONTRAVENTION OF THE BOARD OF GOVERNORS INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING). $7,500 PAID 3/15/89 - DEPOSIT #467 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 01/31/1989 Docket/ Case Number: UNKNOWN Allegations: VIOLATIONS OF THE BOARD OF GOVERNOR'S FREE-RIDING AND WITHHOLDING INTERPRETATION, ARTICLE III, SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE REGARDING THE PUBLIC DISTRIBUTION OF SECURITIES ISSUED IN CONVERSION OFFERINGS BY CERTAIN SAVINGS AND LOAN ASSOCIATIONS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 01/31/1989 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $7,500.00 NASD BrokerCheck October 17, 2005 Page 126 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: FIRM CONSENTED TO A CENSURE AND FINE OF $7500.00. FINANCIAL CONSULTANTS CONSENTED TO CENSURES AND FINES RANGING FROM $1000 TO 9500. BRANCH MANAGER CONSENTED TO A CENSURE AND FINE OF $2500 BASED ON THE VIOLATION AND FOR FAILURE TO COMPLY WITH SECTION 27 OF THE RULES OF FAIR PRACTICE. Summary: ****** REGULATORY ACTION (149 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/29/1984 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/24/1984 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 06/29/1984 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: SUMMARY COMPLAINT NO. WA-426-SC FILED FEBRUARY 24, 1984 BY DISTRICT NO. 10 ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 IN THAT RESPONDENT MEMBER ERRONEOUSLY TRANSFERRED SHARES OUT OF A CUSTOMER'S ACCOUNT AND FAILED TO ACT PROMPTLY TO CORRECT THE ERRONEOUS TRANSFER. SUMMARY COMPLAINT ACCEPTED JUNE 29, 1984, WHEREIN RESPONDENT IS FINED $500.00. DECISION IS FINAL. $500 FINE PAID 7/5/84 ****** REGULATORY ACTION (150 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/25/1989 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/10/1987 Docket/ Case Number: LA-4154 Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/25/1989 Sanctions Ordered: Resolution Details: Summary: COMPLAINT NO. LA-4154 FILED NOVEMBER 10, 1987 BY DISTRICT NO. 2S AGAINST RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED, RONALD PATTERSON, BRADFORD JAMES UNDERDAHL AND DENNIS ANDREW COSTARAKIS ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENTS UNDERDAHL AND COSTARAKIS, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF SHARES WHICH TRADED AT AN IMMEDIATE PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO RESTRICTED ACCOUNTS; AND, NASD BrokerCheck October 17, 2005 Page 127 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) RESPONDENT MEMBER, ACTING THROUGH RESPONDENT PATTERSON, FAILED TO MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES CONCERNING THE FREE-RIDING INTERPRETATION. DECISION RENDERED SEPTEMBER 27, 1988, WHEREIN RESPONDENT MEMBER AND RESPONDENT PATTERSON ARE CENSURED, FINED $4,000.00, JOINTLY AND SEVERALLY AND ASSESSED COSTS OF $629.25 AND THIS DECISION SHALL SERVE AS A LETTER OF CAUTION FOR RESPONDENTS UNDERDAHL AND COSTARAKIS. IF NO FURTHER ACTION, DECISION IS FINAL NOVEMBER 11, 1988. NOVEMBER 8, 1988 - CALLED FOR REVIEW. BOARD OF GOVERNORS DECISION RENDERED APRIL 26, 1989, WHEREIN THE FINDINGS MADE AND SANCTIONS IMPOSED ARE MODIFIED; THEREFORE, THE FINDINGS ARE AFFIRMED WITH RESPECT TO CAUSE ONE, WITH RESPECT TO CAUSE TWO, THE DISTRICT COMMITTEE'S FINDINGS ARE AFFIRMED AS TO PATTERSON, BUT ARE DISMISSED AS TO RESPONDENT MEMBER; THE DECISION SHALL SERVE AS A LETTER OF CAUTION AS TO RESPONDENTS UNDERDAHL AND COSTARIKIS; RESPONDENT PATTERSON IS CENSURED AND FINED $1,000.00; THIS DECISION SHALL SERVE AS A LETTER OF CAUTION IN REGARD TO RESPONDENT MEMBER WITH RESPECT TO THE FIRM'S PROCEDURES FOR COMPLIANCE WITH THE FREE-RIDING INTERPRETATION; AND, RESPONDENTS MEMBER AND PATTERSON ARE ASSESSED COSTS OF $629.25. IF NO FURTHER ACTION, DECISION IS FINAL MAY 25, 1989. MAY 25, 1989 - DECISION IS FINAL. $629.25 COSTS PAID J&S 6/16/89 ****** REGULATORY ACTION (151 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/26/1982 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/26/1982 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 07/26/1982 Sanctions Ordered: Censure Resolution Details: Summary: ON JULY 26, 1982, THE COMMISSION ISSUED AN ORDER INSTITUTING PROCEEDINGS AND IMPOSING REMEDIAL SANCTIONS WHEREIN THE SEC ACCEPTED OFFERS OF SETTLEMENT SUBMITTED BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED AND VARIOUS PRESENT AND FORMER EMPLOYEES. THE FIRM AND ACCOUNT EXECUTIVES CONSENTED TO FINDINGS OF VIOLATIONS OF SECTION 17(a) OF THE SECURITIES ACT AND SECTION 10(b) OF THE EXCHANGE ACT AND RULE 10b-5 THEREUNDER IN CONNECTION WITH PURCHASES AND SALES OF LISTED OPTIONS DURING VARIOUS PERIODS OF TIME BETWEEN FEBRUARY, 1975 AND MARCH, 1979, THE FIRM'S MANAGERS CONSENTED TO FINDINGS OF FAILURE TO REASONABLY SUPERVISE THE RESPONDENT ACCOUNT EXECUTIVES UNDER THEIR RESPECTIVE SUPERVISION; AND RESPONDENT FIRM CONSENTED TO FINDINGS OF VIOLATION OF SECTION 17(a) OF THE SECURITIES ACT AND SECTION 10(b) OF THE EXCHANGE ACT AND RULE 10b-5 THEREUNDER AND FAILURE, TO REASONABLY SUPERVISE THE NAMED ACCOUNT EXECUTIVES. THE RESPONDENT ACCOUNT EXECUTIVES AGREED TO THE IMPOSITION OF SUSPENSIONS FROM ASSOCIATION WITH A REGISTERED BROKER/DEALER FOR VARIOUS PERIODS OF TIME. THE RESPONDENT MANAGERS AGREED TO THE IMPOSITION OF A CENSURE. A TEN-DAY PERIOD OF RETRAINING, AND REQUALIFICATION AS REGISTERED OPTIONS PRINCIPALS. FIRM AGREED TO A CENSURE AND AN UNDERTAKING REQUIRING THE FORMATION OF AN OPTIONS REVIEW COMMITTEE TO CONSIDER CERTAIN POLICIES AND PROCEDURES WITH RESPECT TO OPTIONS SELLING PRACTICES. SEA RELEASE NO. 18923 (JULY 26, 1982). (FORM BD: JD 03186, SEQUENCE NO 11464). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 07/26/1982 NASD BrokerCheck October 17, 2005 Page 128 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: SEA RELEASE #18923 Allegations: VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT AND SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER BY THE FIRM AND FAILURE TO SUPERVISE. Current Status: Final Resolution: Order Resolution Date: 07/26/1982 Sanctions Ordered: Censure Resolution Details: FIRM AGREED TO A CENSURE AND AN UNDERTAKING REQUIRING THE FORMATION OF AN OPTIONS REVIEW COMMITTEE TO CONSIDER POLICIES AND PROCEDURES WITH RESPECT TO OPTIONS SELLING PRACTICES. Summary: ****** REGULATORY ACTION (152 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/30/1975 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 06/30/1975 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 06/30/1975 Sanctions Ordered: Resolution Details: Summary: ON JUNE 30, 1975, THE COMMISSION INSTITUTED PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE EXCHANGE ACT AND SIMULTANEOUSLY THEREWITH ACCEPTED AN OFFER OF SETTLEMENT BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED MADE SOLELY FOR THE PURPOSE OF THAT PROCEEDING. THE COMMISSION'S ORDER, FINDINGS AND OPINION (SEE RELEASE NO. 11515) STATED THAT INFORMATION HAD COME TO ITS ATTENTION RELATING TO (1) TRANSACTIONS EXECUTED BY REGISTERED REPRESENTATIVES OF FIRM IN A CUSTOMER'S ACCOUNT IN SHORT, INTERMEDIATE AND LONG-TERM GOVERNMENT SECURITIES, INCLUDING GOVERNMENT NATIONAL MORTGAGE ASSOCIATION WHEN-ISSUED COMMITTMENTS AND (2) CERTAIN SELLING PRACTICES OF THE FIRM IN CONNECTION WITH SECURITIES WHICH WERE BEING OFFERED BY A COMPANY UNDER THE SPONSORSHIP OF AN AFFILIATE OF THE FIRM. THE COMMISSION ACCEPTED THE OFFER OF SETTLEMENT WHEREIN THE FIRM HAD UNDERTAKEN TO ADOPT CERTAIN SUPPLEMENTAL POLICIES AND PROCEDURES TO PREVENT THE RECURRENCE OF THE ALLEGED CONDUCT. (FORM BD: JD 12186, SEQUENCE NO 10106). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 06/30/1975 Docket/ Case Number: SEA RELEASE #11515 Allegations: ALLEGED CUSTOMER TRANSACTIONS WERE UNSUITABLE AND THAT TRADES WERE NOT PROPERLY REFLECTD ON FIRM RECORDS. NASD BrokerCheck October 17, 2005 Page 129 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Order Resolution Date: 06/30/1975 Sanctions Ordered: Resolution Details: Summary: FIRM HAS UNDERTAKEN TO ADOPT CERTAIN SUPPLEMENTAL POLICIES AND PROCEDURES TO PREVENT REOCCURANCE OF ALLEGED CONDUCT. ****** REGULATORY ACTION (153 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/19/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/19/1987 Docket/ Case Number: MS-491-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 07/29/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-491-AWC, FILED 2/19/87: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ALLEGES VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D IN THAT RESPONDENT (MERRILL LYNCH, PIERCE, FENNER & SMITH INC) FAILED TO REPORT ITS NASDAQ VOLUME. THE AWC WAS ACCEPTED BYTHE MARKET SURVEILLANCE COMMITTEE ON 3/23/87 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON 7/29/87. $500 FINE ******** NFC #237 - $500.00 FINE PAID 3/11/87 ********* ****** REGULATORY ACTION (154 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/03/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 01/15/1987 Docket/ Case Number: WA-511 Allegations: Current Status: Final Resolution: Settled Resolution Date: 06/03/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: NASD BrokerCheck October 17, 2005 Page 130 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: COMPLAINT NO. WA-511 FILED JANUARY 15, 1987 BY DISTRICT NO. 10 AGAINST RESPONDENT MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT FAILED TO TIMELY RESPOND TO THE ASSOCIATION'S REQUESTS FOR INFORMATION MADE PURSUANT TO ARTICLE IV, SECTION 5 OF THE RULES OF FAIR PRACTICE. DECISION RENDERED JUNE 3, 1987, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE RESPONDENT IS ACCEPTED; THEREFORE, THE FIRM IS FINED $1,500.00. ****** REGULATORY ACTION (155 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/17/1985 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/18/1985 Docket/ Case Number: MS-158-SC Allegations: Current Status: Final Resolution: Decision Resolution Date: 07/17/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Resolution Details: Summary: 2-4-86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-158-SC FILED: 6/18/85 ALLEGED VIOLATION(S): EXCESS SPREAD DECISION RENDERED 7/17/85: $250 FINE ****** REGULATORY ACTION (156 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/09/1985 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/09/1985 Docket/ Case Number: MS-117 Allegations: Current Status: Final Resolution: Settled Resolution Date: 10/17/1985 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $4,000.00 Resolution Details: Summary: 6/15/93: COMPLAINT #MS-117 WAS FILED BY THE MARKET SURVEILLANCE COMMITTEE ON ASPRIL 9, 1985 AND AMENDED ON APRIL 22, 1985 AND JUNE 18, 1985 TO INCLUDE NASDAQ VOLUME OMISSION THAT OCCURED AFTER THE COMPLAINT WAS FILED. MOTC ALLEGEDLY OMITTED VOLUME ON NOVEMBER 23, AND DECEMBER 21 AND DECEMBER 28, 1984; FEBRUARY 15, FEBRUARY 27, MARCH 8, APRIL 19, APRIL 26, AND MAY 3, 1985 IN VIOLATION OF PART I, SECTION C.3 (c) OF SCHEDULE D TO THE ASSOCITION'S BY LAWS. MOTC SUBMITTED AN OFFER OF SETTLEMENT ON JUNE 29, 1985 WHICH WAS ACCEPTED BY THE MSC ON NASD BrokerCheck October 17, 2005 Page 131 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) AUGUST 8, 1985 AND BY THE NBCC ON OCTOBER 17, 1985. IN THE OFFER, MOTC CONSENTED TO THE FOLLOWING SANCTIONS: CENSURED, FINED $4000. ****** REGULATORY ACTION (157 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/24/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/08/1985 Docket/ Case Number: CHI-861 Allegations: Current Status: Final Resolution: Settled Resolution Date: 04/24/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,000.00 Resolution Details: Summary: ENTERED 11/22/85: COMPLAINT NO. CHI-861 FILED 10/8/85 BY DISTRICT NO. 8 AGAINST MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC. AND KEITH JUDSON ALLEGING VIOLATIONS OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER, ACTING THROUGH RESPONDENT JUDSON, FAILED TO MAKE A BONA FIDE PUBLIC DISTRIBUTION OF SHARES WHICH TRADED AT AN IMMEDIATE PREMIUM IN THE SECONDARY MARKET IN THAT SHARES WERE SOLD TO A RESTRICTED ACCOUNT IN CONTRAVENTION OF THE BOARD OF GOVERNORS' INTERPRETATION WITH RESPECT TO FREE-RIDING AND WITHHOLDING; AND, RESPONDENT MEMBER SOLD SHARES IN SAID ACCOUNT WITHOUT FULL PAYMENT FOR THE PURCHASE HAVING BEEN MADE AND ISSUED A CHECK TO THE CUSTOMER WHICH CHECK INCLUDED THE PROFIT ON THE SAME DAY PURCHASE AND SALE. ENTERED 5/8/86: DECISION RENDERED APRIL 24, 1986, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS WAS ACCEPTED; THEREFORE, THEY ARE CENSURED AND FINED $2,000.00, JOINTLY AND SEVERALLY. ***5/19/86, FC# 9404, PAID IN FULL. ****** REGULATORY ACTION (158 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/19/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/26/1985 Docket/ Case Number: LA-4012 Allegations: Current Status: Final Resolution: Settled Resolution Date: 05/19/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: NASD COMPLAINT #LA-4012; FILED AUGUST 26, 1985; DISTRICT #2S: ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27 AND NASD BrokerCheck October 17, 2005 Page 132 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SECTION 19 OF APPENDIX E OF THE RULES OF FAIR PRACTICE IN THAT HILLYER B. BROWN, DURING A FIFTEEN MONTH PERIOD, TURNED OVER A CUSTOMER'S ACCOUNT 11.16 TIMES AND DURING A SIX MONTHS PERIOD, TURNED OVER THE CUSTOMER'S ACCOUNT 6.01 TIMES; AND, MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., C. DEE SIMPSON AND GERALD ERWIN MILLER FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF BROWN. DECISION RENDERED MAY 19, 1986, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE RESPONDENTS WAS ACCEPTED; THEREFORE, MEMBER IS CENSURED AND FINED $10,000.00, RESPONDENT BROWN IS CENSURED, FINED $5,000.00, SUSPENDED FROM ASSOCIATIONN WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY FOR SIXTY (60) DAYS AND BARRED FROM ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION AS A PRINCIPAL, AND THE DECISION IS TO SERVE AS A LETTER OF CAUTION WITH REGARD TO RESPONDENTS SIMPSON AND MILLER. *****$10,000.00 PAID IN FULL, AUGUST 27, 1986, FC#9459. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 05/19/1986 Docket/ Case Number: LA-4012 Allegations: THE ACCOUNT OF A PUBLIC CUSTOMER AS EXCESSIVELY TRADED DURING PERIODS JUNE 1982 THROUGH AUGUST 1083 BY AN ACCOUNT EXECUTIVE. FIRM FAILED TO REVIEW AND MONITOR ACTIVITY IN THE ACCOUNT. Current Status: Final Resolution: Settled Resolution Date: 05/19/1986 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: FIRM WAS CENSURED AND FINED. Summary: ****** REGULATORY ACTION (159 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/11/1985 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 09/11/1985 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 09/11/1985 Sanctions Ordered: Censure Resolution Details: Summary: SEC NEW DIGEST, ISSUE 85-176, SEPTEMBER 11, 1985: ORDER INSTITUTING PROCEEDINGS AND IMPOSING REMEDIAL SANCTIONS AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., OTHERS. THE SAN FRANCISCO BRANCH OFFICE ANNOUNCED THAT PUBLIC ADMINISTRATIVE PROCEEDINGS HAVE BEEN INSTITUTED AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., A REGISTERED BROKER-DEALER, ROBERT M. FISHER AND VICTOR G. MATL, FORMERLY OFFICE MANAGER AND REGISTERED REPRESENTATIVE OF MERRILL NASD BrokerCheck October 17, 2005 Page 133 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) LYNCH'S SAN FRANCISCO, CALIFORNIA OFFICE, RESPECTIVELY. SIMULTANEOUSLY WITH THE INSTITUTION OF THE PROCEEDINGS, THE COMMISSION ACCEPTED OFFERS OF SETTLEMENT SUBMITTED BY MERRILL LYNCH, FISHER AND MATL. WITHOUT ADMITTING OR DENYING THE VIOLATIONS ALLEGED, MERRILL LYNCH, FISHER AND MATL CONSENTED TO AN ORDER FINDING THAT MATL VIOLATED THE ANTIFRAUD PROVISIONS OF THE SECURITIES LAWS AND THAT MERRILL LYNCH AND FISHER FAILED REASONABLY TO SUPERVISE MATL. THE COMMISSION ORDERED THAT: (1) MATL BE BARRED FROM ASSOCIATION IN ANY CAPACITY WITH ANY BROKER, DEALER, INVESTMENT COMPANY, INVESTMENT ADVISER OR MUNICIPAL SECURITIES DEALER; (2) MERRILL LYNCH BE CENSURED AND COMPLY WITH CERTAIN UNDERTAKINGS TO ADOPT OR MAINTAIN PROCEDURES; AND (3) FISHER BE SUSPENDED FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT COMPANY, INVESTMENT ADVISOR OR MUNICIPAL SECURITIES DEALER FOR A PERIOD OF TIME AND THAT HE BE RETRAINED IN CERTAIN COMPLIANCE PROCEDURES. (REL. 34-22395). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 09/11/1985 Docket/ Case Number: UNKNOWN Allegations: FIRM FAILED TO PROPERLY SUPERVISE AN ACCOUNT EXECUTIVE. Current Status: Final Resolution: Order Resolution Date: 08/30/1983 Sanctions Ordered: Censure Resolution Details: THE FIRM ACCEPTED THE SANCTIONS WITHOUT ADMITTING OR DENYING THE SEC'S CHARGES. Summary: ****** REGULATORY ACTION (160 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/06/1982 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/06/1982 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 08/06/1982 Sanctions Ordered: Disgorgement/Restitution, Censure Resolution Details: Summary: SEC NEWS DIGEST, AUGUST 6, 1982, ISSUE 82-151 PUBLIC ADMINISTRATIVE PROCEEDINGS HAVE BEEN INSTITUTED AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH INC., A REGISTERED BROKER-DEALER WITH ITS PRINCIPAL OFFICES IN NEW YORK, NEW YORK, AND TEN EMPLOYEES OR FORMER EMPLOYEES OF FOUR OF MERRILL'S BRANCH OFFICES LOCATED IN CLEVELAND, OHIO, COLUMBUS, OHIO, SOUTHFIELD, MICHIGAN, AND DETROIT, MICHIGAN. THE TEN MERRILL EMPLOYEES ARE PAUL R. BUSCH, HARMON C. HURT, STEPHEN M. WIRT, AND JOAN LEE, FORMER REGISTERED REPRESENTATIVES AT MERRILL; ROLAND L. MEULEBROUCK AND ROBERT WILDS, REGISTERED NASD BrokerCheck October 17, 2005 Page 134 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) REPRESENTATIVES AT MERRILL; AND DEAN HUTTON, RICHARD BRANDT, FREDERICK PICKARD, AND FREDERIC MCCOMAS, CURRENT EMPLOYEES OF MERRILL WHO WERE MANAGERS OF MERRILL'S BRANCH OFFICES DURING THE PERIOD OF TIME THE VIOLATIVE CONDUCT DISCUSSED BELOW OCCURRED. THE ORDER FOR PROCEEDINGS ALLEGES THAT MERRILL, BUSCH, HURT, WIRT, MEULEBROUCK, LEE, AND WILDS WILFULLY VIOLATED THE ANTIFRAUD PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH THE OFFER AND SALE OF EXCHANGE LISTED OPTIONS. THE ORDER FURTHER ALLEGES THAT MERRILL, HUTTON, BRANDT, PICKARD AND MCCOMAS FAILED TO REASONABLY SUPERVISE EMPLOYEES UNDER THEIR SUPERVISION AND CONTROL. THE COMMISSION SIMULTANEOUSLY ACCEPTED OFFERS OF SETTLEMENT OF THE RESPONDENTS WHEREIN THEY CONSENTED TO FINDINGS OF WILFUL VIOLATIONS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE COMMISSION'S ORDER, AND THE SANCTIONS SET FORTH BELOW. THE COMMISSION'S ORDER ACCEPTING THE SETTLEMENTS CENSURES MERRILL, HUTTON, BRANDT, PICKARD AND MCCOMAS; SUSPENDS BUSCH FROM ASSOCIATION WITH ANY BROKER OR DEALER, FOR A PERIOD OF 12 MONTHS; AND SUSPENDS HURT, WIRT, MUELEBROUCK, WILDS, AND LEE FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT ADVISER, INVESTMENT COMPANY OR AFFILIATE FOR PERIODS OF SIX MONTHS, 60 DAYS, 20 DAYS, 10 DAYS AND 10 DAYS, RESPECTIVELY. ADDITIONALLY, IN ITS OFFER OF*See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/19/2004 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/06/1982 Docket/ Case Number: Allegations: ALLEGED TO HAVE VIOLATED PROVISIONS OF THE SECURITIES ACT OF 1933 AND THE SECURITIES EXCHANGE ACT OF 1934 IN CONNECTION WITH THE OFFER AND SALE OF EXCHANGE LISTED OPTIONS, INCLUDING FAILURE TO SUPERVISE EMPLOYEES. Current Status: Final Resolution: Consent Resolution Date: 08/06/1992 Sanctions Ordered: Disgorgement/Restitution, Censure Other Sanctions: ADOPT PROCEDURES Resolution Details: MERRILL LYNCH MADE OFFERS OF RESTITUTION TO CERTAIN CUSTOMERS. ADDITIONALLY, MERRILL LYNCH ADOPTED PROCEDURES TO IMPROVE ITS ABILITY TO SURVEY AND CONTROL OPTIOINS TRANSACTIONS. MERRILL LYNCH ESTABLISHED AN OPTIONS REVIEW COMMITTEE TO IMPLEMENT THE PROCEDURES AND ENSURE ALL PROCEDURES ARE IN COMPLIANCE WITH APPLICABLE RULES AND GUIDELINES. Summary: SEC ACCEPTED SETTLEMENT OFFERS CONSENTING TO FINDINGS WITHOUT ADMITTING OR DENYING ALLEGATIONS. CENSURE IMPOSED INCLUDING SUSPENSION FOR SEVERAL EMPLOYEES AS SPECIFIED IN THE ORDER. ADDITIONALLY, MERRILL LYNCH MADE OFFERS OF RESTITITION TO CERTAIN CUSTOMERS AND ESTABLISHED AN OPTIONS REVIEW COMMITTEE TO IMPLEMENT REVISED PROCEDURES TO ENSURE COMPLIANCE WITH APPLICABLE GUIDELINES. ****** REGULATORY ACTION (161 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/30/1981 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/30/1981 Docket/ Case Number: AWC-76 Allegations: Current Status: Final NASD BrokerCheck October 17, 2005 Page 135 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/30/1981 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $300.00 Resolution Details: Summary: COMPLAINT #AWC-76 FILED 12/30/81. DISTRICT #10 DECISION 12/30/81: CENSURED & FINED $300.00. 12/30/81: ALL RIGHTS WAIVED. 12/30/81: DECISION FINAL. FINES & COSTS FC #8133 PD 01/26/82 ****** REGULATORY ACTION (162 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/15/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/19/1995 Docket/ Case Number: CMS950055 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/15/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $9,500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950055 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED APRIL 19, 1995 AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (MLCO) ALLEGING VIOLATIONS OF SCHEDULE D TO THE ASSOCIATION'S BY-LAWS, PART X, SECTION 2(a)(8), PART XI, SECTION 2(a)(8) AND THE INTERPRETATION OF THE BOARD OF GOVERNORS CONCERNING THE OBLIGATIONS OF MEMBERS TO REPORT TRANSACTIONS WITHIN 90 SECONDS OF EXECUTION. THIS AWC ALSO CONSTITUTES VIOLATIONS OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. RESPONDENT MLCO REPORTED OR CAUSED TO BE REPORTED TO THE NASDAQ SYSTEM, TRADE REPORTS THAT WERE LATE AND IN EXCESS OF 90 SECONDS OF EXECUTION. THE AWC WAS ACCEPTED BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 15, 1995. RESPONDENT MLCO WAS CENSURED AND FINED $9,500. THE AWC BECAME FINAL ON AUGUST 15, 1995. **$9,500.00 PAID ON 9/12/95, INVOICE #95-MS.522** *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 04/19/1995 Docket/ Case Number: CMS 950055 Allegations: DURING ONE WEEK IN 1994, FIRM REPORTED 3.1% OF ITS TRADE REPORTS WITH A .SLD MODIFIER DESIGNATING A REPORT IN EXCESS OF 90 SECONDS. Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) NASD BrokerCheck October 17, 2005 Page 136 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Date: 09/08/1995 Sanctions Ordered: Monetary/Fine Monetary Amount: $9,500.00 Resolution Details: FIRM FILED A MITIGATION STATEMENT AND SETTLED THE MATTER WITHOUT ADMITTING OR DENYING THE CLAIMS ASSERTED. Summary: ****** REGULATORY ACTION (163 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/15/1995 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/24/1995 Docket/ Case Number: CMS950008 AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/15/1995 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT NO. CMS950008 AWC LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED FEBRUARY 24, 1995 AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (MLCO) ALLEGING VIOLATIONS OF RULE 10b-6A OF THE SECURITIES EXCHANGE ACT OF 1934 WITH REGARD TO PASSIVE MARKET MAKING IN THAT RESPONDENT MLCO EXCEEDED ITS 30% ADTV LIMIT AND FAILED TO REMOVE ITS QUOTES IN A TIMELY MANNER. THE AWC WAS ACCEPTED BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 15, 1995. RESPONDENT MLCO WAS CENSURED AND FINED $500. THE AWC BECAME FINAL ON AUGUST 15, 1995. **$500.00 PAID ON 9/12/95, INVOICE #95-MS.499** ****** REGULATORY ACTION (164 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/13/1996 Initiated By: CBOE Date initiated: 03/13/1996 Docket/ Case Number: 96-0004 Allegations: see summary Current Status: Final Resolution: Decision Resolution Date: 03/13/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,200.00 Resolution Details: fined $7,200 NASD BrokerCheck October 17, 2005 Page 137 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: was fined for exceeding Exchange position limit on one trade date. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Date initiated: 03/01/1996 Docket/ Case Number: 96-0004 Allegations: VIOLATION OF RULES 4.11 AN 24.4(A) REGARDING POSITION LIMITS THROUGH THE CONTROL OF SHORT CALL AND LONG PUT POSITION OF NDX OPTION CONTRACTS IN OCTOBER 1995. Current Status: Final Resolution: Consent Resolution Date: 04/09/1996 Sanctions Ordered: Monetary/Fine Monetary Amount: $7,200.00 Resolution Details: THE FIRM CONSENTED TO THE IMPOSITION OF A $7,200 FINE. Summary: ****** REGULATORY ACTION (165 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/16/1981 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/29/1980 Docket/ Case Number: NY-2019 Allegations: Current Status: Final Resolution: Settled Resolution Date: 12/16/1981 Sanctions Ordered: Resolution Details: Summary: COMPLAINT NO. NY-2019 FILED AUGUST 29, 1980 BY DISTRICT NO. 12 AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 8 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT MEMBER PAID HIGHER PRICES FOR DEBENTURES THAN THE FAIR MARKET PRICE OF SAID DEBENTURES AT THE TIME OF PURCHASE. DECISION RENDERED DECEMBER 16, 1981, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENT MEMBER WAS ACCEPTED; THEREFORE, THE DBCC HAS DECIDED TO IMPOSE NO PENALTY BECAUSE OF THE CONFUSION SURROUNDING THE RIGHTS AND DUTIES OF MEMBERS IN EXECUTING SWAP TRANSACTIONS PRIOR TO THE AMENDMENTS TO THE "PAPILSKY" RULES. ****** REGULATORY ACTION (166 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/05/1980 NASD BrokerCheck October 17, 2005 Page 138 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 12/05/1980 Docket/ Case Number: P-485 Allegations: Current Status: Final Resolution: Decision Resolution Date: 12/05/1980 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: Summary: COMPLAINT #P-485 FILED 12/05/80 DIST. #11 FINES & COSTS FC #8120 $2,500 PD. 03/03/82. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS Date initiated: 11/02/1981 Docket/ Case Number: UNKNOWN Allegations: FIRM FAILED TO REASONABLY SUPERVISE THE ACTION OF AN ACCOUNT EXECUTIVE WHO ALLEGEDLY ENGAGED IN UNSUITABLE TRANSACTIONS FOR AN ACCOUNT OF A CUSTOMER. Current Status: Final Resolution: Settled Resolution Date: 11/02/1981 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,500.00 Resolution Details: NASD ACCEPTED FIRMS' OFFER OF SETTLEMENT, CENSURE AND FINE. Summary: ****** REGULATORY ACTION (167 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/16/1979 Initiated By: ILLINOIS Date initiated: 03/01/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 07/16/1979 Sanctions Ordered: Resolution NASD BrokerCheck October 17, 2005 Page 139 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Details: Summary: STATE OF IL: MARCH 79 BULLETIN: ENFORCEMENT PROCEEDINGS HEARINGS TO BE HELD: 04/16/79. STATE OF IL: 07/16/79 SECURITIES DEPARTMENT BULLETIN JULY 1979 CONSENT ORDER OF PROHIBITION ENTERED. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/29/2005 Initiated By: STATE OF ILLINOIS Date initiated: 03/01/1979 Docket/ Case Number: Allegations: NO INFORMATION PROVIDED ON U6 Current Status: Final Resolution: Consent Resolution Date: 07/16/1979 Sanctions Ordered: Other Sanctions: NO INFORMATION PROVIDED ON U6 Resolution Details: SEE ITEM 13 Summary: STATE OF ILLINOIS: MARCH 79 BULLETIN: ENFORCEMENT PROCEEDINGS HEARINGS TO BE HELD: 04/16/1979. STATE OF IL: 07/16/79 SECURITIES DEPARTMENT BULLETIN JULY 1979 CONSENT ORDER OF PROHIBITION ENTERED. ****** REGULATORY ACTION (168 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/16/1979 Initiated By: ILLINOIS Date initiated: 03/01/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 07/16/1979 Sanctions Ordered: Resolution Details: Summary: STATE OF IL: MARCH 79 BULLETIN: ENFORCEMENT PROCEEDINGS HEARINGS TO BE HELD: 04/16/79. STATE OF IL: 07/16/79 SECURITIES DEPARTMENT BULLETIN JULY 1979 CONSENT ORDER OF PROHIBITION ENTERED. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 07/08/2005 Initiated By: STATE OF ILLINOIS Date initiated: 03/01/1979 Docket/ Case Number: NASD BrokerCheck October 17, 2005 Page 140 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: NO INFORMATION PROVIDED ON U6 Current Status: Final Resolution: Consent Resolution Date: 07/16/1979 Sanctions Ordered: Other Sanctions: NO INFORMATION PROVIDED ON U6 Resolution Details: SEE ITEM 13 Summary: STATE OF ILLINOIS: MARCH 79 BULLETIN: ENFORCEMENT PROCEEDINGS HEARINGS TO BE HELD: 04/16/1979. STATE OF IL: 07/16/79 SECURITIES DEPARTMETN BULLETIN JULY 1979 CONSENT ORDER OF PROHIBITION ENTERED. ****** REGULATORY ACTION (169 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/24/1979 Initiated By: FLORIDA Date initiated: 05/24/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/24/1979 Sanctions Ordered: Censure Resolution Details: Summary: FLORIDA CRIMINAL ACTION REPORT 05/24/79 PAGE 69 DEALER CENSURE LETTER. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/08/2005 Initiated By: THE STATE OF FLORIDA Date initiated: 05/24/1979 Docket/ Case Number: Allegations: UNABLE TO DETERMINE FROM INFORMATION PROVIDED ON U6 REGULATORY ACTION DRP. Current Status: Final Resolution: Decision Resolution Date: 05/24/1979 Sanctions Ordered: Censure Resolution Details: SEE ITEM 13 Summary: FLORIDA CRIMINAL ACTION REPORT 05/24/1979, PAGE 69 DEALER CENSURE LETTER - LEGISLATIVE LIBRAY UNABLE TO PRODUCE. NASD BrokerCheck October 17, 2005 Page 141 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (170 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/23/1978 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/31/1977 Docket/ Case Number: P-442 Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/23/1978 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $45,000.00 Resolution Details: Summary: COMPLAINT NO. P-442 FILED MAY 31, 1977 BY DISTRICT NO. 11 AGAINST MERRILL, LYNCH, PIERCE, FENNER & SMITH, INC., JACK MCNAIRY, ROBERT F. TURNER, AND JACK R. SIMPSON ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 27(a) AND (d) OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT SIMPSON MADE UNSUITABLE RECOMMENDATIONS TO A PUBLIC CUSTOMER; AND, RESPONDENTS MEMBER, MCNAIRY AND TURNER FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF RESPONDENT SIMPSON. DECISION RENDERED JULY 10, 1978, WHEREIN RESPONDENT MEMBER IS CENSURED, FINED 45,000 AND ASSESSED COSTS OF $2,745.25; RESPONDENT MCNAIRY IS CENSURED AND FINED $500; RESPONDENT TURNER IS CENSURED AND FINED $1,000; AND, RESPONDENT SIMPSON IS CENSURED AND FINED $1,000. IF NO FURTHER ACTION, DECISION IS FINAL AUGUST 23, 1978. AUGUST 23, 1978 - DECISION IS FINAL. FC #7121 - OCTOBER 18, 1978. ****** REGULATORY ACTION (171 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/18/1977 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 05/01/1977 Docket/ Case Number: W-328 Allegations: Current Status: Final Resolution: Settled Resolution Date: 11/18/1977 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: Summary: COMPLAINT NO. W-328 FILED MAY 10, 1977 BY DISTRICT NO. 10 AGAINST MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., WILLIAM F. WATERS AND ROBERT D. FAIRMAN ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT FAIRMAN MADE UNSUITABLE RECOMMENDATIONS TO A PUBLIC CUSTOMER BASED ON INFORMATION CONCERNING THE CUSTOMER'S OTHER SECURITIES HOLDINGS, HIS FINANCIAL SITUATION AND HIS INVESTMENT OBJECTIVES AND NEED;S AND, RESPONDENTS MEMBER AND WATERS FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES OF NASD BrokerCheck October 17, 2005 Page 142 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) RESPONDENT FAIRMAN. DECISION RENDERED OCTOBER 21, 1977, WHEREIN THE COMPLAINT IS DISMISSED AS TO RESPONDENT WATERS. IF NO FURTHER ACTION, DECISION IS FINAL DECEMBER 5, 1977. DECISION RENDERED NOVEMBER 18, 1977, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONENTS MEMBER AND FAIRMAN WAS ACCEPTED; THEREFORE, THEY ARE FINED $1,500, JOINTLY AND SEVERALLY. FC $6943 - JANUARY 19, 1978. ****** REGULATORY ACTION (172 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/05/1977 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/28/1975 Docket/ Case Number: D-369 Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/05/1977 Sanctions Ordered: Censure Resolution Details: Summary: COMPLAINT #D-369 FILED 03/28/75 DIST. #3 DECISION 11/19/76: CENSURED; ASSESSED COSTS $3,694.75. 01/03/77: TO BE FINAL. FINES & COSTS 12/20/77 FC#6872 PAID. APPEAL ACTION 12/03/76: APPEALED TO B/G; DBCC DEC. STAYED. 07/07/77: B/G AFFIRMED PENALITIES OF DBCC. CENSURED; ASSESSED COSTS $3,692.75 (DBCC) & $1,098.96 (B/G) 08/05/77: TO BE FINAL. 08/05/77: FINAL. ****** REGULATORY ACTION (173 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/17/1972 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/17/1972 Docket/ Case Number: P-SC-18 Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/18/1973 Sanctions Ordered: Monetary/Fine Resolution Details: Summary: COMP. #P-SC-18 FILED 11/17/72 AGAINST THE FIRM'S BRANCH OFFICE LOCATED AT 4 PENN CENTER PLAZA, PHILADELPHIA, PA. COMPLAINT FINAL 01/18/73 FINES AND COSTS PAID 12/07/72. ****** REGULATORY ACTION (174 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/22/1972 NASD BrokerCheck October 17, 2005 Page 143 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/22/1972 Docket/ Case Number: 432 Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/08/1973 Sanctions Ordered: Resolution Details: Summary: COMP. #432 FILED 02/22/72 AGAINST THE FIRM'S BRANCH OFFICE LOCATED AT 800 W. LOCUST STREET, DES MOINES, IOWA. COMPLAINT FINAL 01/08/73. ****** REGULATORY ACTION (175 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/14/1971 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/14/1971 Docket/ Case Number: C-147 Allegations: Current Status: Final Resolution: Settled Resolution Date: 10/14/1971 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: COMP. C-147 FILED. DECISION RENDERED 10/14/71. MEMBER IS CENSURED, FINED $1,000.00. COMPLAINT FINAL 10/14/71. OFFER OF SETTLEMENT. FINE PAID 10/29/71. $11600. ****** REGULATORY ACTION (176 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/11/1971 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 02/11/1971 Docket/ Case Number: C-SC-13 Allegations: Current Status: Final Resolution: Decision Resolution Date: 03/14/1971 Sanctions Ordered: Monetary/Fine NASD BrokerCheck October 17, 2005 Page 144 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: Summary: COMP. #C-SC-13 FILED 02/11/71 AGAINST THE FIRM'S CLEVELAND, OHIO BRANCH OFFICE. COMPLAINT FINAL 03/14/71. FINES PAID. ****** REGULATORY ACTION (177 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/11/1970 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/11/1970 Docket/ Case Number: NY-1123 Allegations: Current Status: Final Resolution: Decision Resolution Date: 04/11/1970 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: Summary: COMP. NV-SC-44 FILED 11/14/68. 12/31/68 S/C REJECTED. COMP. #NY-1123, FORMAL COMPLAINT FILED. DECISION 09/05/69 MEMBER IS CENSURED, FINED $500 AND ASSESSED COSTS OF $160.80. 09/24/69, B/G CALLED COMPLAINT FOR REVIEW. DBCC DECISION STAYED. 03/12/70, B/G ON REVIEW INCREASED PENALITIES; MEMBER IS FINED $2,000 AND ASSESSED COSTS OF $160.80. COMPLAINT FINAL 04/11/70. ****** REGULATORY ACTION (178 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/27/1968 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 08/27/1968 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 08/20/1972 Sanctions Ordered: Resolution Details: Summary: ADMINISTRATIVE PROCEEDINGS, SEC 68-168 08/27/68. #70-26 SEC FILED COMPLAINT IN THE DISTRICT COURT OF NEW YORK CITY VIA INVESTMENT CO. OCTOBER. FINAL 08/20/72. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/29/2005 Initiated By: SECURITIES AND EXCHANGE COMMISSION NASD BrokerCheck October 17, 2005 Page 145 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 08/27/1968 Docket/ Case Number: Allegations: NO INFORMATION PROVIDED ON U6 Current Status: Final Resolution: Decision Resolution Date: 08/20/1972 Sanctions Ordered: Other Sanctions: NO INFORMATION PROVIDED ON U6 Resolution Details: SEE ITEM 13 Summary: ADMINISTRATIVE PROCEEDINGS, SEC 68-168 08/27/68. #70-26 SEC FILED COMPLAINT IN THE DISTRICT COURT OF NEW YORK CITY VIA INVESTMENT CO. OCTOBER. FINAL 08/20/1972. ****** REGULATORY ACTION (179 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/13/1968 Initiated By: INDIANA Date initiated: 02/13/1968 Docket/ Case Number: Allegations: Current Status: Pending Summary: STATE PROCEEDING INSTITUTED FOR THE STATE OF INDIANA. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: THE STATE OF INDIANA Date initiated: 02/13/1968 Docket/ Case Number: Allegations: UNABLE TO DETERMINE FROM INFORMATION PROVIDED ON U6 REGULATORY DRP. Current Status: Final Resolution: Other Resolution Date: 02/13/1968 Sanctions Ordered: Other Sanctions: RESOLUTION DETAIL NOT KNOWN. Resolution Details: SEE ITEM 13 Summary: INDIANA DEPARTMENT OF FINANCIAL INSTITUTIONS STATES THAT ALL INFORMATION PERTAINING TO THIS MATTER HAS BEEN DESTROYED. ****** REGULATORY ACTION (180 of 229) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 17, 2005 Page 146 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/12/1963 Docket/ Case Number: A-232 Allegations: Current Status: Final Resolution: Decision Resolution Date: 01/08/1964 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (181 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/16/1966 Docket/ Case Number: TEX-109 Allegations: Current Status: Final Resolution: Decision Resolution Date: 11/16/1966 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (182 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 NASD BrokerCheck October 17, 2005 Page 147 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 03/25/1966 Docket/ Case Number: ATL-345 Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/30/1966 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (183 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/05/1965 Docket/ Case Number: A-288 Allegations: Current Status: Final Resolution: Decision Resolution Date: 11/17/1965 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (184 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 17, 2005 Page 148 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 12/04/1954 Docket/ Case Number: LA-37 Allegations: Current Status: Final Resolution: Decision Resolution Date: 12/04/1954 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (185 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/28/1978 Docket/ Case Number: A-389 Allegations: Current Status: Pending Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (186 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/04/1964 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/04/1964 Docket/ Case Number: P-269 Allegations: Current Status: Final Resolution: NASD BrokerCheck October 17, 2005 Page 149 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Date: 11/14/1965 Sanctions Ordered: Resolution Details: Summary: LISTED BELOW ARE SEVERAL COMPLAINTS WHICH WERE FILED AGAINST MERRILL LYNCH BRANCH OFFICES: (1) COMP. #P-269 FILED 11/04/64(YORK, PA). FINAL 11/14/65. (2) COMP. #133 FILED 12/07/64 (SEATTLE, WA). FINAL 11/07/65 (3) COMP. P-278 FILED 12/29/64 (PHILADELPHIA, PA). DISMISSED ON APPEAL. (4) COMP. A-389 FILED 10/28/70 (SAN FRANCISCO, CA). (5) COMP. LA-37, DIST. 2, (LOS ANGELES, CA). FINAL 12/04/54. (6) COMP. A-288 FILED 04/05/65 (LOS ANGELES, CA) FINAL 11/17/65. (7) ATL-345 FILED 03/25/66 (ORLANDO, FL.). FINAL 10/30/66 (8) TEX-109 FILED (AUSTIN, TX.). FINAL 11/16/66. (9) COMP. #106 FILED 02/14/63 (PORTLAND, OR.) DISMISSED AND FINAL 05/02/63. (11.) COMP. A-232 FILED 08/12/63((LA JOLLA, CA). FINAL 01/08/64. ****** REGULATORY ACTION (187 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/17/1962 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/04/1961 Docket/ Case Number: NY-488 Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/17/1962 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: COMP. NY-488 FILED 10/04/61. DECISION RENDERED 04/17/62, RESPONDENT IS FINED $1,000. COMPLAINT FINAL 05/17/62. CHECK RECEIVED FOR $1,000. RE: MEMO 05/29/62. ****** REGULATORY ACTION (188 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/18/2004 Initiated By: ILLINOIS SECURITIES DEPARTMENT Date initiated: 06/19/1990 Docket/ Case Number: 8900697 Allegations: ILLINOIS HAS ISSUED AN AMENDED NOTICE OF HEARING TO ADD TWO COUNTS, ONE TO ALLEGE THAT HOFFMAN MISREPRESENTED OR OMITTED TO STATE MATERIAL FACTS IN RECOMMENDING AND PURCHASING CERTAIN SECURITIES AND THE SECOND COUNT TO ALLEGE UNSUITABLE RECOMMENDATIONS. HEARING IS SET FOR AUGUST 15, 1990. Current Status: Pending Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/30/2005 NASD BrokerCheck October 17, 2005 Page 150 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: ILLINOIS SECURITIES DEPARTMENT Date initiated: 06/19/1990 Docket/ Case Number: 8900697 Allegations: IT IS ALLEGED THAT MERRILL LYNCH FINANCIAL ADVISOR HOFFMAN MISREPRESENTED OR OMITTED MATERIAL FACTS IN RECOMMENDING AND PURCHASING CERTAIN SECURITIES AND THE SECOND COUNT TO ALLEGE UNSUITABLE RECOMMENDATIONS. Current Status: Final Resolution: Dismissed Resolution Date: 08/30/1991 Sanctions Ordered: Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH WAS DISMISSED. NO FURTHER ACTION. ****** REGULATORY ACTION (189 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/17/1994 Initiated By: NYSE HEARING PANEL Date initiated: 05/21/1992 Docket/ Case Number: 93-29 Allegations: Not Provided Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/02/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $90,000.00 Resolution Details: JUNE 2, 1994 -- DECISION ISSUED BY THE NYSE BOARD OF DIRECTORS -- FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING AND WITHOUT THE FIRM ADMITTING OR DENYING ANY OF THE FACTS SET FORTH THEREIN, THE DIVISION AND THE FIRM HEREBY REQUEST THE BOARD TO INCORPORATE THE CONTENT OF HEARING PANEL DECISION #93-29 EXCEPT FOR THE ENTIRE SUMMARY HEADNOTE ON PAGE ONE THEREOF AND THE THIRD PARAGRAPH ON PAGE 9 (PENALTY SECTION) THEREOF IN THE BOARD'S DECISION RESOLVING THE DIVISION'S AND THE FIRM'S REQUESTS FOR REVIEW. WITHOUT ADMITTING OR DENYING THE FACTS OR FINDINGS SET FORTH HEREIN, THE FIRM CONSENTS TO: (1) THE BOARD INCORPORATING IN ITS DECISION FINDINGS THAT THE FI RM, DURING THE PERIOD 1985 THROUGH SEPTEMBER 1988: a. VIOLATED REGULATION 240.17a-3 PROMULGATED UNDER THE SECURITIES EXCHANGE ACT OF 1934 (THE "ACT") IN THAT IT MAINTAINED INACCURATE ACCOUNT STATEMENTS; AND b. VIOLATED REGULATION 240.10b-10 PROMULGATED UNDER THE ACT IN THAT IT FAILED TO CONFIRM TO ITS CUSTOMERS CERTAIN TRANSACTIONS WHICH HAD TAKEN PLACE. (2) THE IMPOSITION BY THE BOARD OF THE PENALTY OF A CENSURE AND A FINE OF $90,000 AND THE REQUIREMENTS THAT THE FIRM: a. COMPLY WITH ITS VOLUNTARY UNDERTAKINGS AS SET FORTH BELOW: i. TO USE ITS BEST EFFORTS TO PROVIDE TO THOSE CUSTOMERS WHO DID NOT TAKE ADVANTAGE OF THE MORE VALUABLE CONVERSION OPPORTUNITY (THE "CUSTOMERS") ALL PROFITS GENERATED BY THESE FORMER CONVERSION PRACTICES TOGETHER WITH INTEREST FROM THE DATES OF THE GENERATION OF THE PROFITS. ii. TO PAY TO THE SECURITIES INVESTORS PROTECTION CORPORATION OR TO SUCH OTHER ORGANIZATION FOR THE BENEFIT OF INVESTORS WHICH IS ACCEPTABLE TO THE EXCHANGE ALL SUMS OTHERWISE PAYABLE TO THOSE CUSTOMERS WHOM THE FIRM CANNOT LOCATE DESPITE ITS BEST EFFORTS. iii. TO MAKE ALL SUCH PAYMENTS ON OR BEFORE SIX MONTHS FOLLOWING THE ISSUANCE OF THE NASD BrokerCheck October 17, 2005 Page 151 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) BOARD'S DECISION IN THIS MATTER; b. CAUSE ITS OUTSIDE INDEPENDENT AUDITORS (THE "AUDITORS") TO CONDUCT A REVIEW OF TH*See FAQ #1* Summary: THE DECISION IS FINAL. CONTACT: PEGGY GERMINO -- (212) 656-8450. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: NEW YORK STOCK EXCHANGE Date initiated: 05/21/1992 Docket/ Case Number: 93-29 Allegations: VIOLATION OF RLE 476(A)(6), REGULATIONS 240.17A-3.15C3-3, 240.17A-5,240.10B-10. FIRM'S COVERSION PRATICES BETWEEN 1985 & 1988 WERE INCONSISTENT WITH JUST AND EQUITABL PRINCIPLES OF TRADE. Current Status: Final Resolution: Consent Resolution Date: 06/02/1994 Sanctions Ordered: Monetary/Fine Monetary Amount: $90,000.00 Other Sanctions: UNDERTAKING TO USE BEST EFFORTS TO PROVIDE TO CUSTOMER ALL PROFITS GENERATED FROM CONVERSION OPPORTUNITIES. FIRM AGREED TO HAVE OUTSIDE AUDITORS REVIEW. Resolution Details: FIRM AGREED TO A CENSURE AND FINE. FIRM WAS EXONERATED OF THE CHARGES THAT IT VIOLATED (I)NYSE RULE 476(A)(6) JUST AND EQUITABLE PRINCIPLES OF TRADE STANDARD, (II) REGUALTION 240.145C3-3-3 RESERVE BANK ACCOUNT REQUIREMENTS AN (III) REGULATION 240.17A 5 FOCUS REPORT REQUIREMENTS. FIRM WAS FOUND TO HAVE ACTED IN GOOD FAITH AND THAT THE INTENT OF THE CUSTOMERS WAS FULFILLED AND NO CUSTOMER WAS HARMED OR PLACED AT RISK BY FIRMS' PRACTICES. Summary: ****** REGULATORY ACTION (190 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/22/1988 Initiated By: COMMODITY FUTURES TRADE COMMISSION Date initiated: 03/22/1988 Docket/ Case Number: 88-13 Allegations: Current Status: Final Resolution: Settled Resolution Date: 03/22/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $150,000.00 Resolution Details: Summary: +08/12/97+ CFTC PROCEEDINGS BULLETIN DATED DECEMBER 31, 1996, PAGE 197, DISCLOSES; MERRILL LYNCH, PIERCE, FENNER & SMITH INC ("MLPFS") VIOLATED CFTC ACTS 4b(A), 4g(1) AND REGULATIONS 1.31(a)(1), 1.31(a)(2), 1.35(a), 1.35(a-1)(1) & (2) AND 166.3. NASD BrokerCheck October 17, 2005 Page 152 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) MLPFS WAS ISSUED A CEASE AND DESIST ORDER AND PENALIZED IN THE AMOUNT OF $150,000 JOINTLY OWED. DOCKET/CASE NO. 88-13, DATED 03/22/88. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMODITY FUTURES TRADING COMMISSION Date initiated: 03/22/1988 Docket/ Case Number: 88-13 Allegations: FIRM CHARGED WITH VARIOUS BOOKKEEPING VIOLATIONS. FIRM ALSO CHARGED WITH BEING LIABLE FOR THE FINANCIAL CONSULTANT'S CONDUCT. Current Status: Final Resolution: Settled Resolution Date: 03/22/1988 Sanctions Ordered: Monetary/Fine, Cease and Desist/Injunction Monetary Amount: $150,000.00 Resolution Details: WITHOUT ADMITING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CIVIL PENALTY OF $150,000 AND WAS ORDERED TO CEASE AND DESIST FROM VIOLATIONS. Summary: ****** REGULATORY ACTION (191 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/16/1994 Initiated By: AMEX Date initiated: 12/15/1993 Docket/ Case Number: 93-D-08 Allegations: A STIPULATION OF FACTS AND CONSENT TO PENALTY WAS SUBSEQUENTLY ENTERED INTO BETWEEN THE EXCHANGE AND MERRILL LYNCH AND WAS ACCEPTED BY AN EXCHANGE DISCIPLINARY PANEL AT A HEARING HELD ON DECEMBER 15, 1993. MERRILL LYNCH CONSENTED TO A FINDING THAT IT ENGAGED IN CONDUCT OR PROCEEDING INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADES, IN VIOLATION OF ARTICLE V, SECTION 4(h) OF THE EXCHANGE CONSTITUTION, IN THAT IT ENGAGED IN FRONTRUNNING, BY EFFECTING TRANSACTIONS IN CHEMICAL BANKING CORPORTION PUT OPTIONS FOR ITS PROPRIETARY ACCOUNT AT A TIME WHEN IT HAD KNOWLEDGE OF LARGE PENDING TRANSACTION IN THE UNDERLYING STOCK. Current Status: Final Resolution: Settled Resolution Date: 02/16/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: MERRILL LYNCH WAS CENSURED, FINED $10,000 AND REQUIRED THAT IT RE-CIRCULATE TO ALL ITS TRADERS EXCHANGE INFORMATION CIRCULARS 79-12 AND 80-36. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 153 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: Initiated By: AMERICAN STOCK EXCHANGE Date initiated: 07/21/1993 Docket/ Case Number: 93-D-08 Allegations: VIOLATION OF ARTICLE V SECTION 4(H) OF THE AMEX CONSTITUTION BY EFFECTING TRANSACTIONS IN AN OPTION WHEN HAVING KNOWLEDGE OF A PENDIG TRANSACTION IN UNDERLYING STOCK. Current Status: Final Resolution: Consent Resolution Date: 04/01/1994 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONSENTED TO THE IMPOSITION OF A FINE AND CENSURE AND AGREED TO DISTRIBUTE CERTAIN AMEX RELEASES TO ITS PERSONNEL. Summary: ****** REGULATORY ACTION (192 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/23/1993 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/23/1993 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/23/1993 Sanctions Ordered: Censure, Cease and Desist/Injunction Resolution Details: Summary: +1/7/93 SEC NEWS DIGEST, ISSUE 93-246, DATED DECEMBER 23, 1993, ENFORCEMENT ACTIONS DISCLOSES; "MERRILL LYNCH, PIERCE & SMITH INC., FREDERICK ROEMER AND ROBERT PLUNKETT SANCTIONED"; THE COMMISSION HAS ISSUED AN ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, ACCEPTING OFFERS OF SETTLEMENT, MAKING FINDINGS, IMPOSING REMEDIAL SANCTIONS AND ORDERING RESPONDENTS TO CEASE AND DESIST AGAINST MERRILLY LYNCH, PIERCE, FENNER & SMITH INC., FREDERICK J. ROEMER AND ROBERT J. PLUNKETT. SIMULTANEOUSLY, THE COMMISSION ACCEPTED OFFERS OF SETTLEMENT, WHEREBY, EACH RESPONDENT CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED THEREIN. ON THE BASES OF THE ORDER AND THE OFFERS OF SETTLEMENT, THE COMMISSION FOUND THAT MERRILL LYNCH WILLFULLY VIOLATED SECTION 17(a) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17a-3 THEREUNDER BASED ON THE FIRM'S FAILURE TO RECORD PROPERLY ON ITS BOOKS AND RECORDS CERTAIN SECURITIES TRANSACTIONS IN TWO SEPARATE MATTERS. IN CONNECTION WITH ONE OF THOSE MATTERS, THE COMMISSION ALSO FOUND THAT BOEMER AND PLUNKETT WILLFULLY AIDED AND ABETTED AND CAUSED MERRILL LYNCH'S VIOLATIONS PURSUANT TO THE ORDER AND THE OFFERS OF SETTLEMENT, MERRILL LYNCH WAS REQUIRED TO ADOPT AND IMPLEMENT CERTAIN PROCEDURES. IN ADDITION, EACH RESPONDENT WAS CENSURED AND ORDERED TO CEASE AND DESIST. (REL 34-33367) NASD BrokerCheck October 17, 2005 Page 154 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/19/2004 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/23/1993 Docket/ Case Number: UNAVAILABLE Allegations: SEC ALLEGES THAT MERRILL LYNCH VIOLATED SECTIONS OF THE SECURITIES EXCHANGE ACT OF 1934. IT WAS ALLEGED THAT THE FIRM FAILED TO PROPERLY RECORD SECURITIES TRANSACTIONS ON ITS BOOKS AND RECORDS. Current Status: Final Resolution: Decision & Order of Offer of Settlement Resolution Date: 12/23/1993 Sanctions Ordered: Censure, Cease and Desist/Injunction Resolution Details: SEE ITEM 13 Summary: MERRILL LYNCH MADE AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. THE SEC ACCEPTED THE OFFER OF SETTLEMENT. THE FIRM WAS CENSURED AND ORDERED TO CEASE AND DESIST. THE FIRM WAS REQUIRED TO IMPLEMENT CERTAIN PROCEDURES TO ENSURE PROPER RECORDKEEPING. ****** REGULATORY ACTION (193 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/24/1993 Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTOR PROTECT*See FAQ #1* Date initiated: 09/24/1993 Docket/ Case Number: 1938-S-9/93 Allegations: Not Provided Current Status: Final Resolution: Stipulation and Consent Resolution Date: 09/24/1993 Sanctions Ordered: Cease and Desist/Injunction Resolution Details: ON SEPTEMBER 24, 1993 THE FLORIDA DEPARTMENT OF BANKING AND FINANCE ENTERED INTO A STIPULATION AND CONSENT AGREEMENT WITH FINAL ORDER WITH RESPONDENT MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC. WITHOUT ADMITTING OR DENYING LIABILITY, RESPONDENT AGREES TO REIMBURSE THE DEPARTMENT FOR INVESTIGATIVE COSTS IN THE AMOUNT OF $5,000. IN CONSIDERATION OF THE FOREGOING, THE DEPARTMENT WILL GRANT RESPONDENT'S REQUEST TO REGISTER TWO BRANCH OFFICES THAT WERE OPERATING PRIOR TO REGISTRATION. RESPONDENT AGREES TO CEASE AND DESIST FROM ALL VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES. Summary: CONTACT: ALISA GOLDBERG (904) 488-9805 *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: FLORIDA DIVISION OF SECURITIES Date initiated: 09/24/1993 Docket/ Case Number: 1938-S-9/93 NASD BrokerCheck October 17, 2005 Page 155 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: OPERATING THREE BRANCH OFFICES IN THE STATE OF FLORIDA THAT WERE NOT LICENSED WITH THE DEPARTMENT. Current Status: Final Resolution: Order Resolution Date: 09/24/1993 Sanctions Ordered: Resolution Details: Summary: STATE AND FIRM ENTERED INTO A STIPULATION AND CONSENT AGREEMENT. FINAL ORDER DATED 9/24/1993. ****** REGULATORY ACTION (194 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/28/1992 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 03/09/1992 Docket/ Case Number: S90-0012 Allegations: PURSUANT TO AN INVESTIGATION INTO THE CERTAIN ALLEGED ACTIVITIES OF JOEL EDWARD PORTER, A FORMER EMPLOYEE IN THE MERRILL LYNCH OFFICE IN BIRMINGHAM, AL. A SETTLEMENT AGREEMENT WAS ENTERED INTO BY MERRILL LYNCH= AND THE STATE OF ALABAMA WHEREIN MERRILL LYNCH AGREED TO SUBMIT TO A FULL COMPLIANCE REVIEW OF ITS BIRMINGHAM, AL OFFICE. IT IS TO BE CONDUCTED BY A "BIG-SIX" ACCOUNTING FIRM AT THE EXPENSE OF MERRILL LYNCH; MERRILL LYNCH AGREED TO REIMBURSE EIGHT CUSTOMERS OF PORTER'S A TOTAL OF $322,028.00. MERRILL LYNCH AGREED TO PAY COSTS OF INVESTIGATION, TO WIT: $300,000.00 TO THE OFFICE OF THE ATTORNEY GENERAL, AND $154,000.00 TO THE ALABAMA SECURITIES COMMISSION; AND MERRILL LYNCH AGREED TO PAY TO THE STATE OF ALABAMA, GENERAL FUND, AN ADMINISTRATIVE ASSESSMENT OF $646,000.00. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 08/28/1992 Sanctions Ordered: Disgorgement/Restitution Resolution Details: NOTE: A COPY OF THE COMPLETE SETTLEMENT AGREEMENTE MAY BE OBTAINED FROM THE ALABAMA SECURITIES COMMISSION UPON REQUEST. Summary: SAME AS ALLEGATIONS *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/10/2004 Initiated By: ALABAMA SECURITIES COMMISSION Date initiated: 03/09/1992 Docket/ Case Number: S90-0012 Allegations: PURSUANT TO AN INVESTIGATION INTO THE ACTIVITIES OF JOEL EDWARD PORTER, A FORMER EMPLOYEE IN THE BIRMINGHAM, AL, OFFICE, A SETTLEMENT AGREEMENT WAS ENTERED INTO BY MERRILL LYNCH. Current Status: Final Resolution: Settled Resolution Date: 08/28/1992 NASD BrokerCheck October 17, 2005 Page 156 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Disgorgement/Restitution Other Sanctions: AGREED TO PAY $300,000 FOR THE COST OF INVESTIGATION TO THE ATTORNEY GENERAL AND $154,000 TO THE ALABAMA SECURITIES COMMISSION, AGREED TO PAY AN ADMINISTRATIVE ASSESSMENT OF $646,000 TO THE STATE GENERAL FUND, AND AGREED TO A COMPLIANCE REVEIEW OF THE BIRMINGHAM, AL, OFFICE. Resolution Details: ALL AMOUNTS REFERRED TO IN B ABOVE WERE PAID AS OF 8/28/1992. Summary: PURSUANT TO AN INVESTIGATION INTO THE ACTIVITIES OF JOEL EDWARD PORTER, A FORMER EMPLOYEE IN THE BIRMINGHAM, AL, OFFICE, A SETTLEMENT AGREEMENT WAS ENTERED INTO BY MERRILL LYNCH. THIS IS AN AGREEMENT RATHER THAN AN ORDER. PLEASE REMOVE. ****** REGULATORY ACTION (195 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/29/1992 Initiated By: VERMONT SECURITIES DIVISION Date initiated: 03/29/1992 Docket/ Case Number: 92-015-S Allegations: RESPONDENT FAILED TO MAINTAIN CONTINUOUS SURETY BOND AS REQUIRED UNDER THE VERMONT SECURITIES ACT. Current Status: Final Resolution: Consent Resolution Date: 03/29/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: RESPONDENT ENTERED INTO A CONSENT ORDER WITH THE STATE OF VERMONT, WITHOUT ADMITTING THE VIOLATION, WHEREBY RESPONDENT AGREED TO PAY $1,000 IN SETTLEMENT OF THIS MATTER AND $500 FOR COSTS OF INVESTIGATION. THE PARTIES AGREED THAT THE CONSENT ORDER IS NOT INTENDED TO RESULT IN THE DISQUALIFICATION OF RESPONDENT FROM PARTICIPATION IN ANY OFFERING OF SECURITIES OR FROM ANY EXEMPTION FROM SECURITIES REGISTRATION. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VERMONT COMMISSIONER OF BANKING, INSURANCE & SECURITIES. Date initiated: 03/26/1992 Docket/ Case Number: UNKNOWN Allegations: A REPLACEMENT BOND FILING WAS OVERLOOKED IN 1989 IN VIOLATION OF THE VERMONT SECURITIES ACT. Current Status: Final Resolution: Order Resolution Date: 03/26/1992 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: FIRM CONSENTED TO THE ENTRY OF AN ORDER ASSESSING $1,000.00 IN NASD BrokerCheck October 17, 2005 Page 157 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SETTLEMENT OF AN INQUIRY AND AN ADDITIONAL $500.00 IN COSTS. Summary: ****** REGULATORY ACTION (196 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/24/1991 Initiated By: VIRGINIA - STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 09/24/1991 Docket/ Case Number: SEC910112 Allegations: VIOLATED RULE 602 III C OF THE COMMISSION'S SECURITIES ACT RULES BY FAILING TO EVIDENCE THE MAINTENANCE OF A RECORD OF THE INFORMATION WHICH INDICATED THAT PARTICIPANT, MET SUITABILITY STANDARDS EMPLOYED IN CONNECTION WITH THE INVESTMENT. Current Status: Final Resolution: Decision Resolution Date: 09/24/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $800.00 Resolution Details: FIRM FINED $800.00 FOR ALLEGED 602 III C. VIOLATIONS AND INVESTIGATION COSTS. Summary: CONTACT HAZEL B. CHEATHAM, BROKER-DEALER EXAMINER, 804-371-2685. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: COMMONWEALTH OF VIRGINIA Date initiated: 09/01/1991 Docket/ Case Number: UNKNOWN Allegations: VIOLATION OF STATE RULES RELATING TO THE MAINTENANCE OF RECORDS FOR REAL ESTATE PROGRAMS. Current Status: Final Resolution: Order Resolution Date: 09/01/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $800.00 Resolution Details: FIRM CONSENTED WITHOUT ADMITTING OR DENYING ALLEGATIONS. Summary: ****** REGULATORY ACTION (197 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/21/1977 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 06/25/1973 NASD BrokerCheck October 17, 2005 Page 158 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 11/21/1977 Sanctions Ordered: Disgorgement/Restitution, Censure Resolution Details: Summary: ND 73-122 06/25/73 REL. 34-10233 ADMINISTRATIVE PROCEEDINGS ORDERED ALLEGING VIOLATIONS OF ANTIFRAUD PROVISIONS IN THE MAKING OF UNTRUE STATEMENTS (OR OMISSIONS) CONCERNING THE FUTURE PRICE OF SHARES, THE LIKELIHOOD OF SUCH SHARES BEING LISTED ON A NATIONAL EXCHANGE, COMPARISONS IN THE COMPANY'S GROWTH TO WELL ESTABLISHED COMPANIES; IN THE MISUSE OF INSIDE INFORMATION; AND FOR FAILURE TO REASONABLY SUPERVISE. REGISTRANT FAILED TO VERIFY INFORMATION THROUGH INDEPENDENT ANALYSIS OR INQUIRY CONCERNING SHARES IT WAS RECOMMENDING FOR PURCHASE. ND 77-218 11/11/77 REL 34-14149 06/22/73 COMMISSION INSTITUTED PROCEEDING. HEARING - MARCH 1974 THRU JUNE 1976. EFFECTIVE 11/21/77 IT IS ORDERED THAT: 1) FIRM IS CENSURED. 2) SUBJECT TO THE TERMS, CONDITIONS AND UNDERTAKINGS IN ITS OFFER OF SETTLEMENT, FIRM SHALL: A) PAY A SUM OF UP TO $1,600,000 TO COMPENSATE ITS CUSTOMERS. B) REVIEW ITS GUIDELINES AND, WHERE APPROPRIATE, ADOPT NEW GUIDELINES RELATING TO ITS RESEARCH AND SALES ACTIVITIES DESIGNED TO PREVENT FURTHER VIOLATIONS. C) REVIEW AND, WHERE NECESSARY, STRENGTHEN ITS ACCOUNT EXECUTIVE TRAINING PROGRAMS TO PREVENT FURTHER VIOLATIONS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 11/19/2004 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 06/25/1973 Docket/ Case Number: ND 73-122 Allegations: ALLEGED VIOLATES OF ANTIFRAUD PROVISIONS INCLUDING MAKING UNTRUE STATEMENTS OR OMISSIONS CONCERNING FUTURE PRICE OF SHARES, THE COMPARISON OF THE COMPANY'S GROWTH TO OTHER WELL ESTABLISHED COMPANIES AND THE LIKELIHOOD OF THE SHARES BEING LISTED ON A NATIONAL EXCHANGE. ADDITIONALLY, IT WAS ALLEGED THAT THERE WAS MISUSEOF INSIDE INFORMATION AND A FAILURE TO REASONABLY SUPERVISE. Current Status: Final Resolution: Decision Resolution Date: 11/21/1977 Sanctions Ordered: Disgorgement/Restitution, Censure Resolution Details: SEE ITEM 13 Summary: CENSURED; UNDERTAKING PURSUANT TO OFFER OF SETTLEMENT INCLUDING (1) PAY RESTITUTION TO CUSTOMERS, (2) REVIEW AND REVISE PROCEDURES AS APPROPRIATE RELATING TO RESEARCH AND SALES ACTIVITIES AND (3) REVIEW AND REVISE AS APPROPRIATE THE ACCOUNT EXECUTIVE TRAINING PROGRAMS. ****** REGULATORY ACTION (198 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/20/1985 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD BrokerCheck October 17, 2005 Page 159 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date initiated: 09/20/1985 Docket/ Case Number: MS-181 Allegations: Current Status: Final Resolution: Decision Resolution Date: 10/28/1985 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: 12/5/85: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-181 SC-SUMMARY COMPLAINT FILED ON SEPTEMBER 20, 1985 ALLEGING VIOLATIONS OF PART I, SECTION C.3.(a) OF SCHEDULE D OF THE ASSOCIATON'S BY-LAWS IN THAT RESPONDENT ENTERED QUOTATIONS INTO THE NASDAQ SYSTEM ON JUNE 1985 THAT WERE NOT REASONABLY RELATED TO THE PREVAILING MARKET. SUMMARY COMPLAINT ACCEPTED 10/28/85. $1,000 FINE PAID 11/5/85. ***11/6/85, NFC# 23, PAID IN FULL. ****** REGULATORY ACTION (199 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/30/1984 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/30/1982 Docket/ Case Number: NEW-346 Allegations: Current Status: Final Resolution: Settled Resolution Date: 11/30/1982 Sanctions Ordered: Resolution Details: Summary: COMPLAINT #NEW-346, FILED 11/30/82, DIST. #5, ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 33, APPENDIX E, SECTIONS 19 AND 20 AND SECTION 27)a) OF THE RULES OF FAIR PRACTICE - RESPONDENT MEMBER, ACTING THRU ROBERT D. SHERMAN FAILED TO PROPERLY DISCHARGE SUPERVISORY RESPONSIBILITIES. THE COMPLAINT WAS DISMISSED WITH REGARD TO RESPONDENT GEORGE C. BOLTON IN THAT THE COMMITTEE DETERMINED THAT HE HAD NO SUPERVISORY RESPONSIBILITIES. ****DECISION RENDERED 11/30/84, WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY RESPONDENTS WAS ACCEPTED; THEREFORE, MEMBER AND SHERMAN ARE CENSURED AND MEMBER IS ASSESSED COSTS OF $90. ALL RIGHTS OF APPEAL AND REVIEW HAVE BEEN WAIVED, THIS DECISION WAS FINAL 11/30/84. ***3/21/85, FC# 8985, PAID IN FULL. ****** REGULATORY ACTION (200 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/25/1991 Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTOR PROTECT*See FAQ #1* Date initiated: 04/25/1991 Docket/ NASD BrokerCheck October 17, 2005 Page 160 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Case Number: 1041-S-2/89 Allegations: RESPONDENT MERRILL LYNCH ALLOWED UNREGISTERED ASSOCIATED PERSONS TO SELL SECURITIES TO FLORIDA RESIDENTS FROM ITS MANCHESTER, NEW HAMPSHIRE BRANCH OFFICE. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 04/25/1991 Sanctions Ordered: Resolution Details: RESPONDENT MERRILL LYNCH AGREES TO PAY THE FLORIDA DEPARTMENT OF BANKING AND FINANCE $3,000.00 PAYABLE TO THE ANTI-FRAUD TRUST FUND. Summary: Not Provided *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: FLORIDA DEPARTMENT OF BANKING AND FINANCE Date initiated: 04/12/1991 Docket/ Case Number: UNKNOWN Allegations: TWO UNREGISTERED ASSOCIATED PERSONS ENGAGED IN SALES OF SECURITIES TO RESIDENTS OF THE STATE OF FLORIDA PRIOR TO SEPTEMBER 1988. Current Status: Final Resolution: Order Resolution Date: 04/25/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: A CONSENT FINAL ORDER WAS DOCKETED WHICH REQUIRED PAYMENT OF $3,000 AS AN ADMINISTRATIVE FEE BY THE FIRM. THE ORDER WAS BASED ON A STIPULATION AND CONSENT DATED 4/12/91. Summary: ****** REGULATORY ACTION (201 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 03/29/1991 Initiated By: VIRGINIA - STATE CORPORATION COMMISSION DIVISION OF SECURITIES Date initiated: 03/29/1991 Docket/ Case Number: SEC890037 Allegations: ALLEGED THAT MERRILL LYNCH EMPLOYED AN UNREGISTERED AGENT WHO OFFERED AND SOLD SECURITIES IN THIS COMMONWEALTH. Current Status: Final Resolution: Consent Resolution Date: 03/29/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 NASD BrokerCheck October 17, 2005 Page 161 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Resolution Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH, AGREED TO PAY A PENALTY OF $1,000 AND TO REEMPHASIZE THE FIRM'S POLICY ABOUT REASSIGNMENT OF ACCOUNTS TO REPSENTATIVES WHO WERE PROPERLY REGISTERED. Summary: MERRILL LYNCH REASSIGNED A VIRGINIA ACCOUNT TO A REPRESENTATIVE NOT REGISTERED IN VIRGINIA. REPRESENTATIVE SUBSEQUENTLY SOLD SECURITIES TO THE VIRGINIA INVESTOR. CONTACT DAN APPLEWHITE, CHIEF EXAMINER, 804-786-7751. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VIRGINIA STATE CORPORATION COMMISSION Date initiated: 03/29/1991 Docket/ Case Number: UNKNOWN Allegations: FIRM EMPLOYED AN UNREGISTERED AGENT. Current Status: Final Resolution: Order Resolution Date: 03/29/1991 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: WITHOUT ADMITTING OR DENYING ALLEGATIONS FIRM CONSENTED TO THE ENTRY OF AN ORDER BY THE VIRGINIA STATE CORPORATION COMMISSION. Summary: ****** REGULATORY ACTION (202 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/20/1990 Initiated By: VERMONT SECURITIES DIVISION Date initiated: 06/20/1990 Docket/ Case Number: 89-0880-S Allegations: SALES OF SECURITIES BY UNREGISTERED SALES REPRESENTATIVES IN THE STATE OF VERMONT. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 06/20/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $9,000.00 Resolution Details: ON JUNE 20, 1990, THE VERMONT SECURITIES DIVISION ENTERED A CONSENT ORDER AGAINST RESPONDENT MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. IN SETTLEMENT OF THIS MATTER, RESPONDENT AGREED TO PAY $9,000 AND TO CONTINUE TO ADDRESS THE PROBLEM OF REGISTRATION OF ITS SALES REPRESENTATIVES WITH A VIEW TO PREVENTING FUTURE VIOLATIONS OF THE VERMONT SECURITIES ACT. Summary: CERTAIN SALES REPRESENTATIVES EMPLOYED BY RESPONDENT AT VARI0US BRANCH OFFICES OUTSIDE OF VERMONT EFFECTED SALES OF SECURITIES FOR VERMONT CUSTOMERS WITHOUT BEING REGISTERED IN COMPLIANCE WITH THE VERMONT SECURITIES ACT. *********************************** NASD BrokerCheck October 17, 2005 Page 162 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: VERMONT SECURITIES DIVISION Date initiated: 06/20/1990 Docket/ Case Number: 89-0880-S Allegations: SALES OF SECURITIES BY UNREGISTERED SALES REPRESENTATIVES IN THE STATE OF VERMONT. Current Status: Final Resolution: Order Resolution Date: 06/20/1990 Sanctions Ordered: Monetary/Fine Monetary Amount: $9,000.00 Resolution Details: VERMONT SECURITIES DIVISION ENTERED A CONSENT ORDER AGAINST THE FIRM. IN SETTLEMENT OF THE MATTER, FIRM AGREED TO PAY A FINE AND TO CONTINUE TO ADDRESS THE PROBLEM OF REGISTRATION OF ITS SALES REPRESENTATIVES WITH A VIEW TO PREVENTING FUTURE VIOLATIONS OF THE SECURITIES ACT. Summary: ****** REGULATORY ACTION (203 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 02/27/1991 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 11/01/1989 Docket/ Case Number: C8A890003 Allegations: Current Status: Final Resolution: Settled Resolution Date: 02/27/1991 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $2,500.00 Resolution Details: Summary: COMPLAINT NUMBER CHI-1239 (DISTRICT NO. 8) FILED NOVEMBER 1, 1989 AGAINST RESPONDENTS MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., JAMES ALLEN BELL, ROBERT DOUGLAS KNAPP AND FRED DWAYNE BOSTELMAN ALLEGING VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND 27 OF THE RULES OF FAIR PRACTICE IN THAT RESPONDENT BELL RECOMMENDED THE PURCHASE OF HIGH YIELD BONDS TO CUSTOMERS WITHOUT HAVING REASONABLE GROUNDS TO BELIEVE THAT SUCH RECOMMENDATIONS WERE SUITABLE FOR THE CUSTOMERS'; AND, RESPONDENT MEMBER, ACTING THROUGH RESPONDENTS KNAPP AND BOSTELMAN, FAILED TO MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES OR TO OTHERWISE PROPERLY AND ADEQUATELY SUPERVISE RESPONDENT BELL. DECISION RENDERED FEBRUARY 27, 1991, C8A890003 (CHI-1239) WHEREIN THE OFFER OF SETTLEMENT SUBMITTED BY THE RESPONDENTS WAS ACCEPTED; THEREFORE, RESPONDENT MEMBER IS CENSURED AND FINED $2,500 AND RESPONDENT BELL IS CENSURED AND FINED $1,000. THE COMPLAINT WAS DISMISSED AS TO RESPONDENT KNAPP IN THAT THE COMMITTEE DETERMINED THAT GIVEN THE LIMITED TIME HE SERVED AS BRANCH OFFICE MANAGER, IT COULD NOT BE CONCLUDED THAT HE FAILED TO REASONABLE SUPERVISE BELL. THE COMPLAINT WAS DISMISSED AS TO RESPONDENT BOSTELMAN IN THAT THE COMMITTEE DETERMINED THAT HE DID NOT HAVE SPECIFIC SUPERVISORY DUTIES CONCERNING THE ACTIVITIES OF RESPONDENT BELL. NASD BrokerCheck October 17, 2005 Page 163 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ***$2,500.00 PAID ON 3/25/91 INVOICE #91-8A-314*** ****** REGULATORY ACTION (204 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/18/2004 Initiated By: VERMONT Date initiated: 04/25/1989 Docket/ Case Number: 88-0405-S Allegations: RESPONDENT EFFECTED TWO TRANSACTIONS FOR THE ACCOUNTS OF A VERMONT RESIDENT THROUGH AN UNREGISTERED AGENT. Current Status: Final Resolution: Consent Resolution Date: 04/25/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: THE VERMONT SECURITIES DIVISION ENTERED A CONSENT ORDER WITH RESPECT TO RESPONDENT MERRILL LYNCH, PIERCE, FENNER AND SMITH INC. RESPONDENT CONSENTED TO ENTRY OF THE ORDER WHILE DENYING ANY VIOLATION OF VERMONT LAW, AND AGREED TO PAY $1,500 IN SETTLEMENT OF THE MATTER. Summary: *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 12/09/2004 Initiated By: VERMONT COMMISSIONER OF BANKING AND INSURANCE Date initiated: 04/25/1989 Docket/ Case Number: 88-0405-S Allegations: A SALES PERSON EMPLOYED BY FIRM ENGAGED IN TWO TRANSACTIONS IN VERMONT WITHOUT BEING REGISTERED. Current Status: Final Resolution: Consent Resolution Date: 04/25/1989 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,500.00 Resolution Details: WHILE FIRM DENIED VIOLATION OF ANY VERMONT SECURITIES LAW OR REGULATION, AN ORDER ASSESSING COSTS AND FEES ON CONSENT WAS ENTERED. Summary: ****** REGULATORY ACTION (205 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/11/1988 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/19/1988 NASD BrokerCheck October 17, 2005 Page 164 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Docket/ Case Number: MS-696-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/11/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $250.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-696-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT FILED APRIL 19, 1988 AGAINST RESPONDENT MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ALLEGING VIOLATIONS OF PART VI, SECTION 4(a) OF SCHEDULE D IN THAT RESPONDENT FAILED TO REPORT ITS NASDAQ VOLUME. THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JUNE 28, 1988 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON AUGUST 11, 1988. $250 FINE $250 FINE PAID 5/26/88 ****** REGULATORY ACTION (206 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/05/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/05/1987 Docket/ Case Number: MS-623-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 03/03/1988 Sanctions Ordered: Monetary/Fine Monetary Amount: $2,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-623-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) FILED OCTOBER 5, 1987 ALLEGING VIOLATIONS OF PART VI, SECTION 2(d) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON JANUARY 29, 1988 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON MARCH 3, 1988. $2,000 FINE ***$2,000 FINE PAID 12/1/87 ****** REGULATORY ACTION (207 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/26/1987 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 10/26/1987 Docket/ Case Number: 87-0047 Allegations: NASD BrokerCheck October 17, 2005 Page 165 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Settled Resolution Date: 10/26/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: Summary: 12/29/87-CBOE DECISION ACCEPTING OFFER OF SETTLEMENT IN THE MATTER OF: MERRILL LYNCH, PIERCE, FENNER AND SMITH, INC., AND WALTER STORER, RESPONDENTS; FILE NO.87-0047. THIS PROCEEDING WAS INSTITUTED BY THE BUSINESS CONDUCT COMMITTEE OF THE CBOE AS A RESULT OF AN INVESTIGATION BY THE STAFF OF THE EXCHANGE, WHICH INDICATED THAT THERE WAS PROBABLE CAUSE FOR FINDING A VIOLATION WITHIN THE DISCIPLINARY JURISDICTION OF THE EXCHANGE. IN SUBMITTING THIS OFFER OF SETTLEMENT, THE RESPONDENTS NEITHER ADMIT NOR DENY THE VIOLATIONS ALLEGED IN THE STATEMENT OF CHARGES. ON THE BASIS OF THE STATEMENT OF CHARGES AND OFFER OF SETTLEMENT, THE COMMITTEE HAS DETERMINED TO ACCEPT THE RESPONDENTS' OFFER OF SETTLEMENT BASED UPON ITS FINDING OF THE FOLLOWING FACTS: DURING ALL RELEVANT PERIODS HEREIN, THE RESPONDENT, MERRILL LYNCH, WAS A MEMBER OF THE EXCHANGE; RESPONDENT WALTER STORER WAS EMPLOYED BY AND ASSOCIATED WITH MERRILL LYNCH AS A FINANCIAL CONSULTANT. DURING ALL RELEVANT PERIODS, THE APPLICABLE POSITION LIMIT IN THE STANDARD & POOR'S 100 STOCK INDEX ("OEX") CLASS OF OPTION CONTRACTS WAS 15,000 CONTRACTS ON THE SAME SIDE OF THE MARKET. ON JULY 14, 1986, A PUBLIC CUSTOMER OF MERRILL LYNCH AND STORER, CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF 16,860 OEX OPTION CONTRACTS. ON JULY 15, 1986, A PUBLIC CUSTOMER OF MERRILL LYNCH AND STORER, CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF 17,580 OEX OPTION CONTRACTS. ON JULY 16, 1986, A PUBLIC CUSTOMER OF MERRILL LYNCH AND STORER, CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF 17,580 OEX OPTION CONTRACTS. ON JULY 17, 1986, A PUBLIC CUSTOMER OF MERRILL LYNCH AND STORER, CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF 17,215 OEX OPTION CONTRACTS. ON JULY 18, 1986, A PUBLIC CUSTOMER OF MERRILL LYNCH AND STORER, CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF 18,909 OEX OPTION CONTRACTS. THE COMMITTEE HAS DETERMINED TO ACCEPT THE RESPONDENTS' OFFER OF *See FAQ #1* *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: THE CHICAGO BOARD OF OPTIONS EXCHANGE ("CBOE") Date initiated: 10/26/1987 Docket/ Case Number: UNKNOWN Allegations: FOR A FIVE DAY PERIOD IN JULY, 1986 A PUBLIC CUSTOMER AND A FINANCIAL CONSULTANT CONTROLLED AN AGGREGATE LONG CALL, SHORT PUT POSITION OF OEX OPTION CONTRACTS IN EXCESS OF THOSE PERMITTED BY CBOE RULES. Current Status: Final Resolution: Settled Resolution Date: 10/26/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $3,000.00 Resolution Details: THE CBOE ACCEPTED A JOINT OFFER OF SETTLEMENT ON BEHALF OF THE FIRM AND ITS FINANCIAL CONSULTANT. Summary: ****** REGULATORY ACTION (208 of 229) ****** Reporting Source: Regulator (Form U-6) NASD BrokerCheck October 17, 2005 Page 166 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 07/13/1987 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 07/13/1987 Docket/ Case Number: MS-507-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/05/1987 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-507-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ALLEGES VIOLATIONS OF PART I, SECTION C.3.(a) OF SCHEDULE D FOR ENTERING NASDAQ QUOTATIONS CONTAINING EXCESS SPREADS. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON 9/22/87 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON 10/5/87. $1,000 FINE PAID. ****** REGULATORY ACTION (209 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/11/1981 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 12/12/1978 Docket/ Case Number: Allegations: Current Status: Final Resolution: Settled Resolution Date: 05/11/1981 Sanctions Ordered: Censure Resolution Details: Summary: BY A CONSENT ORDER ISSUED ON DECEMBER 20, 1978, A PROCEEDING INSTITUTED BY THE SEC ON DECEMBER 12, 1978 WAS SETTLED. THE PROCEEDING INVOLVED THE HANDLING OF U.S. GOVERNMENT SECURITIES ARBITRAGE TRANSACTIONS IN TWO CUSTOMER ACCOUNTS SERVICED BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. THE ORDER OF SETTLEMENT STATED THAT THE SEC CONCLUDED THAT THE FIRM HAD VIOLATED SECTION 10(b) OF THE EXCHANGE ACT AND RULE 10b-5 IN CONNECTION WITH THE PURCHASE AND SALE OF U.S. TREASURY NOTES AND FURTHER, THAT FIRM AND THE MANAGER OF THE BRANCH OFFICE WHERE THE ACCOUNTS WERE MAINTAINED FAILED TO REASONABLY SUPERVISE THE ACCOUNT EXECUTIVE SERVICING THE ACCOUNTS. FIRM AND THE BRANCH OFFICE MANAGER AGREED TO THE SETTLEMENT. THE ORDER PROVIDED FOR THE ACCEPTANCE OF A CENSURE BY FIRM AND THE BRANCH OFFICE MANAGER AND AN AGREEMENT BY FIRM TO ADOPT AND IMPLEMENT CERTAIN NEW PROCEDURES RELATED TO THE OPENING, REVIEWING AND HANDLING OF GOVERNMENT SECURITIES ACCOUNTS IN ITS INSTITUTIONAL OFFICES. FIRM CONSENTED TO FINDINGS THAT THE FIRM FAILED TO SUPERVISE ONE ACCOUNT EXECUTIVE IN REGARD TO THE OFFER AND SALE OF COMMON STOCK OF HARNISCHFEGER CORP. NO PENALTY WAS ASSESSED AGAINST THE FIRM; HOWEVER, THE FIRM UNDERTOOK TO REVISE SOME OF ITS PROCEDURES REGARDING THE DISTRIBUTION OF TENDER MATERIALS TO ITS CUSTOMERS. ON MAY 11, 1981, THE SEC ISSUED AN ORDER WHICH INCORPORATED THE TERMS OF THE OFFER OF SETTLEMENT. SEA RELEASE NO. 17793 (MAY 11, 1981). NASD BrokerCheck October 17, 2005 Page 167 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) (FORM BD: JD 03186, SEQUENCE NO 11464). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 12/12/1978 Docket/ Case Number: UNKNOWN Allegations: VIOLATIONS OF SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 AND THAT FIRM AND A MANAGER FAILED TO REASONABLY SUPERVISE AN ACCOUNT EXECUTIVE. Current Status: Final Resolution: Order Resolution Date: 12/20/1978 Sanctions Ordered: Censure Resolution Details: AGREEMENT TO ADOPT AND IMPLEMENT CERTAIN NEW PROCEDURES RELATED TO THE OPENING, REVIEWING AND HANDLING OF GOVERNMENT SECURITIES ACCOUNTS IN ITS INSTITUTIONAL OFFICES. Summary: ****** REGULATORY ACTION (210 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/21/1971 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 04/12/1969 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 12/21/1971 Sanctions Ordered: Suspension Resolution Details: Summary: A PRIVATE PROCEEDING WAS COMMENCED BY AN SEC ORDER DATED APRIL 12, 1969 RELATED TO THE SALE OF 10,000 SHARES OF THE COMMON STOCK OF MOUNTAIN STATES DEVELOPMENT COMPANY THROUGH MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. ON DECEMBER 21, 1971, THE HEARING OFFICER FILED AND SERVED INITIAL FINDINGS CONCLUDING THAT FIRM AND ONE OF ITS SALESMEN VIOLATED SECTION 5(a) AND (c) OF THE SECURITIES ACT BY THE SALE OF NON- EXEMPT UNREGISTERED STOCK AND THAT THE MANAGER OF THE FIRM'S SALES OFFICE IN QUESTION VIOLATED SECTION 15(b) OF THE EXCHANGE ACT IN THAT HE FAILED TO EXERCISE REASONABLE SUPERVISION TO PREVENT SUCH VIOLATIONS. ON PETITION FOR REVIEW, THE COMMISSION ISSUED FINDINGS, OPINION AND ORDER (SEE RELEASE NO. 9959) AFFIRMING THE INITIAL DECISIONS OF THE HEARING OFFICER AND ORDERING THAT THE FIRM'S BRANCH OFFICE IN SALT LAKE CITY BE SUSPENDED FROM CONDUCTING ANY SECURITIES BUSINESS FOR FIVE BUSINESS DAYS AND THAT THE FIRM'S SALESMAN AND MANAGER BE SUSPENDED FOR PERIODS OF TEN AND FIVE BUSINESS DAYS RESPECTIVELY. (FORM BD: JD 12186, SEQUENCE NO 10106). *********************************** Reporting Source: Brokerage Firm (Form BD) NASD BrokerCheck October 17, 2005 Page 168 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Date Reported: 08/09/2004 Initiated By: SECURITIES & EXCHANGE COMMISSION 002 Date initiated: 04/12/1969 Docket/ Case Number: SEA RELEASE # 9959 Allegations: FIRM AND ONE SALESMAN VIOLATED SECTION 5(A) & (C) OF THE ACT BY SALES OF NON-EXEMPT UNREGISTERED STOCK. Current Status: Final Resolution: Order Resolution Date: 12/21/1971 Sanctions Ordered: Suspension Resolution Details: BRANCH OFFICE WAS SUSPENDED FROM CONDUCTING SECURITIES BUSINESS FOR FIVE BUSINESS DAYS. SALESMAN AND MANAGER SUSPENDED FOR TEN AND FIVE BUSINESS DAYS, RESPECTIVELY. Summary: ****** REGULATORY ACTION (211 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/19/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 08/19/1986 Docket/ Case Number: MS-390-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/08/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-390-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS FILED ON AUGUST 19, 1986, ALLEGING VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT FAILED TO REPORT ITS NASDAQ VOLUME IN ONE SECURITY ON 5/22/86. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON NOVEMBER 13, 1986 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON DECEMBER 8, 1986. $500 FINE RECEIVED 9/26/86 ****** REGULATORY ACTION (212 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/25/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/25/1986 Docket/ Case Number: MS-421-AWC Allegations: NASD BrokerCheck October 17, 2005 Page 169 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 12/08/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-421-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC WAS FILED ON SEPTEMBER 25, 1986, ALLEGING VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCAITION'S BY-LAWS IN THAT RESPONDENT (MERRILL LYNCH, PIERCE, FENNER & SMITH INC.) FAILED TO REPORT ITS NASDAQ VOLUME IN EIGHTY-SIX (86) SECURITIES ON 7/21/86. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON NOVEMBER 13, 1986 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON DECEMBER 8, 1986. $500 FINE RECEIVED 10/20/86 ****** REGULATORY ACTION (213 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 06/11/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 06/11/1986 Docket/ Case Number: MS-339-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 09/10/1986 Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: 9/24/86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-339-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WAS FILED ON 6/11/86, ALLEGING VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT (MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATE) FAILED TO REPORT ITS NASDAQ VOLUME IN FIVE SECURITIES ON 4/8/86. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON 8/6/86 AND BY THE NBCC ON 9/10/86. 11/18/86: $500 FINE PAID 7/16/86 ****** REGULATORY ACTION (214 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1986 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 04/23/1986 Docket/ Case Number: MS-310-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 08/13/1986 NASD BrokerCheck October 17, 2005 Page 170 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Sanctions Ordered: Monetary/Fine Monetary Amount: $500.00 Resolution Details: Summary: 8/29/86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-310-AWC: LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) ISSUED ON 4/23/86 ALLEGING VIOLATIONS OF PART I, SECTION C.3.(c) OF SCHEDULE D OF THE ASSOCIATION'S BY-LAWS IN THAT RESPONDENT FAILED TO REPORT ITS NASDAQ VOLUME IN ONE SECURITY ON 12/24/85, TWO SECURITIES ON 1/13/86, AND ONE SECURITY ON 1/16/86 AND 1/29/86. THE AWC WAS ACCEPTED BY THE MARKET SURVEILLANCE COMMITTEE ON 6/27/86 AND BY THE NATIONAL BUSINESS CONDUCT COMMITTEE ON 8/13/86. $500 FINE RECEIVED 5/22/86 ****** REGULATORY ACTION (215 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/30/1982 Initiated By: WISCONSIN Date initiated: 09/30/1982 Docket/ Case Number: Allegations: Current Status: Final Resolution: Order Resolution Date: 09/30/1982 Sanctions Ordered: Censure Resolution Details: Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MERRILL LYNCH ACCEPTED A CENSURE IN AN ORDER SIGNED BY THE COMMISSIONER OF SECURITIES OF THE STATE OF WISCONSIN ON 9/30/82. THE STAFF HAD ALLEGED A FAILURE TO DETECT AND PREVENT UNAUTHORIZED TRANSACTIONS IN A CUSTOMER'S ACCOUNT AND A FAILURE TO FILE A COPY OF A CIVIL COMPLAINT AND ANSWER AS REQUIRED BY WISCONSIN BLUE SKY REGULATION 4.04(2). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: WISCONSIN SECURITIES COMMISSION Date initiated: 09/30/1982 Docket/ Case Number: UNKNOWN Allegations: FIRM FAILED TO DETECT AND PREVENT UNAUTHORIZED TRANSACTIONS IN A CUSTOMER'S ACCOUNT AND FAILED TO FILE A COPY OF A CIVIL COMPLAINT AND ANSWER. Current Status: Final Resolution: Order Resolution Date: 09/30/1982 Sanctions Ordered: Censure Resolution Details: FIRM ACCEPTED A CENSURE ON SEPTEMBER 30, 1982 IN AN ORDER SIGNED BY THE COMMISSIONER OF SECURITIES Summary: NASD BrokerCheck October 17, 2005 Page 171 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) ****** REGULATORY ACTION (216 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 10/23/1985 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 09/26/1985 Docket/ Case Number: MS-183-AWC Allegations: Current Status: Final Resolution: Acceptance, Waiver & Consent(AWC) Resolution Date: 10/23/1985 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $4,000.00 Resolution Details: Summary: 2/5/86: MARKET SURVEILLANCE COMMITTEE COMPLAINT #MS-183-AWC FILED: 9/26/85 ALLEGED VIOLATION(S): NO VOLUME DECISION RENDERED 10/23/85: $4,000 & CENSURE *11/6/85, NFC# 25, PAID IN FULL. ****** REGULATORY ACTION (217 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/21/1983 Initiated By: MISSOURI Date initiated: 07/21/1983 Docket/ Case Number: AO-83-44 Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/21/1983 Sanctions Ordered: Disgorgement/Restitution Resolution Details: Summary: IN THE MATTER OF MERRILL LYNCH. STATE OF MISSOURI, OFFICE OF THE SECRETARY OF STATE, CONSENT ORDER FILE NO. AO-83-44 JULY 21, 1983. ON JULY 21, 1983, THE COMMISSIONER OF SECURITIES ENTERED INTO A CONSENT ORDER WITH RESPONDENT WHEREBY RESPONDENT AGREED TO OFFER TO MAKE RESTITUTION TO THE MISSOURI INVESTOR INVOLVED. RESPONDENT ALSO AGREED THAT THEY WILL NOT SEND OUT MATERIAL SUGGESTING INVESTORS CONTACT PERSONS WHO ARE NOT REGISTERED IN MISSOURI. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MISSOURI DIVISION OF SECURITIES Date initiated: 07/13/1983 Docket/ NASD BrokerCheck October 17, 2005 Page 172 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Case Number: UNKNOWN Allegations: AN UNREGISTERED EMPLOYEE ACCEPTED AN ORDER TO SELL SECURITIES FROM A PUBLIC CUSTOMER. Current Status: Final Resolution: Order Resolution Date: 09/30/1982 Sanctions Ordered: Resolution Details: Summary: AS PART OF THE CONSENT ORDER, FIRM AGREED TO CERTAIN UNDERTAKINGS WITH RESPECT TO PROCEDURES INVOLVING CUSTOMER COMMUNICATIONS WITH NON-REGISTERED EMPLOYEES. ****** REGULATORY ACTION (218 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 05/19/1981 Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Date initiated: 10/21/1976 Docket/ Case Number: TEX-272 Allegations: Current Status: Final Resolution: Decision Resolution Date: 05/19/1981 Sanctions Ordered: Monetary/Fine, Censure Monetary Amount: $10,000.00 Resolution Details: Summary: COMPLAINT TEX-272 10/21/76 DIST 6. DECISION 05/19/81: CENSURED; FINE $10,000. 05/19/81: ALL RIGHTS WAIVED. 05/19/81: FINAL. FINES & COSTS 08/19/81 FC#7996 PD. ****** REGULATORY ACTION (219 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 01/21/1981 Initiated By: ARKANSAS Date initiated: 09/02/1980 Docket/ Case Number: Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 01/21/1981 Sanctions Ordered: Resolution Details: NASD BrokerCheck October 17, 2005 Page 173 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: STATE OF AR: 09/02/80 COMPLAINT FILED 09/02/80, HEARING TO BE HELD ON 10/28/80 TO CONSIDER WHETHER REGISTRATION OF RESPONDENT SHOULD BE SUSPENDED OR REVOKED OR OTHER APPROPRIATE ACTION TAKEN, 01/21/81 UNDERTAKES AND AGREE TO MAINTAIN A PROPER COMPLAINT FILE AS REQUIRED BY RULE 5.01(F) OF THE ARKANSAS SECURITIES COMMISSIONER'S RULES, AGREE AND UNDERTAKES THAT THIS CONSENT ORDER SHALL BE DISCLOSED IN ALL APPLICABLE B/D OR AGENT RE-REGISTRATION OR RENEWAL APPLICATIONS AS AN ADMINISTRATIVE ORDER INVOLVING AN ASPECT OF THE SECURITIES BUSINESS. THEREFORE AGREED THAT THIS CONSENT ORDER SETTLEMENT AGREEMENT AND UNDERTAKING SHALL FULLY AND COMPLETELY RESOLVE ALL MATTERS REFERRED TO IN THE DEPARTMENT'S COMPLAINT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: ARKANSAS SECURITIES COMMISSION Date initiated: 09/04/1980 Docket/ Case Number: UNKNOWN Allegations: FRAUD, MISREPRESENTATION, CHURNING AND FAILURE TO SUPERVISE IN CONNECTION WITH TRADING IN TWO ACCOUNTS. Current Status: Final Resolution: Settled Resolution Date: 01/21/1981 Sanctions Ordered: Resolution Details: Summary: ARKANSAS INSTITUTED AN ADMINISTRATIVE PROCEEDING AGAINST THE FIRM, BRANCH MANAGER AND A FORMER ACCOUNT EXECUTIVE. ON 1/21/1981 WITHOUT ADMITTING OR DENYING THE ALLEGATIONS THE FIRM AGREED TO AN UNDERTAKING IN RESOLUTION OF THE MATTER. ****** REGULATORY ACTION (220 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 09/25/1980 Initiated By: OKLAHOMA Date initiated: 11/30/1979 Docket/ Case Number: Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 09/25/1980 Sanctions Ordered: Resolution Details: Summary: APRIL 1979: STATE OF OK: AN INVESTIGATION HAS BEEN BEGUN REGARDING THE AGENT IN OKLAHOMA CITY OFFICE. ORDER OF INVESTIGATION WAS ISSUED ALLEGING POSSIBLE VIOLATIONS OF THE SECURITIES ACT. STATE OF OK: 01/31/80 STATE BULLETIN APRIL 1980 ORDER SETTING RESPONDENT'S MOTION FOR DISQUALIFICATION OF HEARING EXAMINER DUE TO PREJUDICE SIGNED BY ADMINISTRATOR. 02/13/80 - NOTICE OF HEARING. 03/20/80 - ADMINISTRATOR DISQUALIFIED IN HEARING BEFORE THE OKLAHOMA SECURITIES COMMISSION. HEARING SET FOR MAY 22, 1980.******ON SEPTEMBER 25, 1980, THE OKLAHOMA SECURITIES COMMISSION ISSUED AN AMENDED FINAL ORDER REVOKING THE PREVIOUS ORDER SUSPENDING THE OKLAHOMA CITY BRANCH OFFICE OF MERRILL LYNCH, PIERCE, FENNER & NASD BrokerCheck October 17, 2005 Page 174 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) SMITH INCORPORATED AND ACCEPTING THE FILING OF CERTAIN UNDERTAKINGS, DOCUMENT PROCEDURES AND INTERNAL CONTROLS IN FINAL SETTLEMENT OF AN ADMINISTRATIVE PROCEEDING THAT HAD BEEN INITIATED AGAINST THE FIRM ON NOVEMBER 30,1979. THE MATTER HAD INVOLVED THE COMPLAINT OF ONE CUSTOMER OF THE OKLAHOMA CITY BRANCH OFFICE WHEN ALLEGED LACK OF SUITABILITY AND EXCESSIVE TRADING. (FORM BD: JD 03186, SEQUENCE NO 11464). *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: OKLAHOMA SECURITIES COMMSSION Date initiated: 11/30/1979 Docket/ Case Number: UNKNOWN Allegations: CUSTOMER COMPLAINT ALLEGING LACK OF SUITABILITY AND EXCESSIVE TRADING. Current Status: Final Resolution: Order Resolution Date: 09/25/1980 Sanctions Ordered: Resolution Details: Summary: OKLAHOMA COMMISSION ISSUED AN AMENDED FINAL ORDER REVOKING THE PREVIOUS ORDER SUSPENDING THE BRANCH OFFICE OF THE FIRM AND ACCEPTED THE FILING OF CERTAIN UNDERTAKINGS, DOCUMENT PROCEDURES AND INTERNAL CONTROLS. ****** REGULATORY ACTION (221 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 04/23/1979 Initiated By: CHICAGO BOARD OF OPTION EXCHANGE Date initiated: 04/23/1979 Docket/ Case Number: 78-0152 Allegations: Current Status: Final Resolution: Settled Resolution Date: 04/23/1979 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: Summary: CBOE FILE NO. 78-0152. 04/23/79 CONSENTS TO FINE OF $1,000. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: CHICAGO BOARD OPTIONS EXCHANGE ("CBOE") Date initiated: 04/23/1979 Docket/ Case Number: UNKNOWN NASD BrokerCheck October 17, 2005 Page 175 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: VIOLATED SECTIONS 9.7 AND 9.8 OF THE CBOE RULES. Current Status: Final Resolution: Settled Resolution Date: 04/23/1979 Sanctions Ordered: Monetary/Fine Monetary Amount: $1,000.00 Resolution Details: CBOE RULES REQUIRE WRITTEN APPROVAL BY A MANAGER/REGISTERED OPTIONS PRINCIPAL PRIOR TO THE ENTRY OF ANY ORDER IN AN OPTION ACCOUNT. CBOE ACCEPTED FIRM'S OFFER OF SETTLEMENT AND IMPOSED THE AGREED UPON FINE OF $1,000. Summary: ****** REGULATORY ACTION (222 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 12/26/1978 Initiated By: MASSACHUSETTS Date initiated: 12/26/1978 Docket/ Case Number: Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/26/1978 Sanctions Ordered: Suspension Resolution Details: Summary: STATE OF MASS., 12/26/78. ORDER SUSPENDING BROKER-DEALER REGISTRATION, STIPULATION, AND CONSENT. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: MASSACHUSETTS SECURITIES COMMISSION Date initiated: 12/29/1978 Docket/ Case Number: UNKNOWN Allegations: FIRM VIOLATED CERTAIN PROVISIONS OF THE MASSACHUSETTS UNIFORM SECURITIES ACT AND CERTAIN RULES THEREUNDER. Current Status: Final Resolution: Stipulation and Consent Resolution Date: 12/29/1978 Sanctions Ordered: Suspension Resolution Details: WITHOUT ADMITTING OR DENYING ANY OF THE CHARGES THE FIRM AGREED TO ACCEPT A TEN DAY SUSPENSION OF ITS BROKER DEALER REGISTRATION. THE SUSPENSION WAS CANCELLED CONDITIONED UPON THE FIRM'S FURTHER AGREEMENT TO DISTRIBUTE TO ITS BRANCH OFFICES A STATEMENT OF POLICY SETTING FORTH PROCEDURES TO PREVENT FURTHER VIOLATIONS NASD BrokerCheck October 17, 2005 Page 176 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Summary: ****** REGULATORY ACTION (223 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/25/1977 Initiated By: WISCONSIN Date initiated: 07/21/1977 Docket/ Case Number: Allegations: Current Status: Final Resolution: Decision Resolution Date: 07/21/1977 Sanctions Ordered: Suspension Resolution Details: Summary: NO DATE (JULY '77 BULL.) STATE OF WI: BROKER-DEALER LICENSE SUSPENDED IN WI. FOR FIVE BUSINESS DAYS COMMENCING 07/25/77, UNLESS THE FIRM PREPARES REVISED INTERNAL OPERATING PROCEDURES PRIOR TO THAT DATE. 07/21/77, STATE OF WI: (BULL. AUG. '77) PETITION FOR REVIEW. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 03/10/2005 Initiated By: THE STATE OF WISCONSIN Date initiated: 07/21/1977 Docket/ Case Number: 455-691 & 158-194 Allegations: ALLEGATION THAT FINANCIAL ADVISOR WAS NOT LICENSED IN STATE OF WISCONSIN. Current Status: Final Resolution: Decision Resolution Date: 07/21/1977 Sanctions Ordered: Other Sanctions: MERRILL LYNCH ORDERED TO PREPARE REVISED INTRENAL OPERATING PROCEDURES PRIOR TO THAT DAY (JULY 25, 1977) AND DISTRIBUTE THEM TO EACH OF ITS LICENSED AGENTS IN WISCONSIN. Resolution Details: SEE ITEM 13 Summary: DECISION ENTERED STATING THAT AN AGENT PROVIDING ESSENTIAL SERVICES TO THE ACCOUNT OF A WISCONSIN INVESTOR MUST COMPLY WITH THE LICENSING REQUIREMENTS OF THE WISCONSIN SECURITIES LAW, NOTWITHSTANDING THE FACT THAT THE ACCOUNT IS CARRIED UNDER THE NAME OF A WISCONSIN LICENSED AGENT WHO ALSO PROVIDES CERTAIN SERVICES TO THE ACCOUNT. MERRILL LYNCH ORDERED TO PREPARE REVISED INTERNAL OPERATING PROCEDURES AND DISTRIBUTE THEM TO EACH OF ITS WISCONSIN AGENTS. ****** REGULATORY ACTION (224 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 08/17/1983 NASD BrokerCheck October 17, 2005 Page 177 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 05/20/1981 Docket/ Case Number: Allegations: Current Status: Final Resolution: Consent Resolution Date: 08/17/1983 Sanctions Ordered: Censure Resolution Details: Summary: 05/20/81-ND 81-97, REL. 34-17792 AND 34-17793: 05/20/81 COMMISSION ANNOUNCED INSTITUTION OF PUBLIC ADMINISTRATIVE PROCEEDINGS AGAINST THE FIRM. COMMISSION SIMULTANEOUSLY ISSUED AN ORDER IN WHICH IT FOUND THAT THE FIRM HAD FAILED REASONABLE TO SUPERVISE JAMES F. NOVAK. COMMISSION ORDERED THE FIRM TO COMPLY WITH ITS UNDERTAKING TO IMPLEMENT CERTAIN PROCEDURES. THE FIRM CONSENTED TO FINDINGS AND ORDER WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS. SEC DOCKET, VOLUME 28, NO. 11, AUGUST 30, 1983. RELEASE NO. 20097, AUGUST 17, 1983, ADMINISTRATIVE PROCEEDING NO. 3-6278) THE COMMISSION HAS ACCEPTED AN OFFER OF SETTLEMENT FROM THE FIRM IN CONJUNCTION WITH ADMINISTRATIVE PROCEEDINGS BROUGHT AGAINST THE FIRM. MERRILL LYNCH CONSENTED TO FINDINGS THAT IT WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER BY FAILING TO ACCURATELY MAKE AND KEEP CERTAIN OF ITS STOCK LOAN BOOKS AND RECORDS; AND FAILED TO REASONABLY SUPERVISE A PERSON SUBJECT TO ITS SUPERVISION WITH A VIEW TOWARDS PREVENTING VIOLATIONS OF THE ANTIFRAUD AND RECORDKEEPING PROVISIONS OF THE ACT. THE FIRM CONSENTED TO A CENSURE AND TO UNDERTAKINGS CONCERNING ITS INTERNAL STOCK LOAN PROCEDURES. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: Initiated By: SECURITIES & EXCHANGE COMMISSION Date initiated: 05/11/1981 Docket/ Case Number: SEA RELEASE #17793 Allegations: FIRM FAILED TO SUPERVISE AN ACCOUNT EXECUTIVE IN REGARD TO THE OFFER AND SALE OF COMMON STOCK OF HARNISCHFEGER CORP. Current Status: Final Resolution: Settled Resolution Date: 05/11/1981 Sanctions Ordered: Censure Resolution Details: THE FIRM UNDERTOOK TO REVISE SOME OF ITS PROCEDURES REGARDING THE DISTRIBUTION OF TENDER MATERIALS TO ITS CUSTOMERS. Summary: ****** REGULATORY ACTION (225 of 229) ****** Reporting Source: Regulator (Form U-6) Date Reported: 07/19/1977 Initiated By: SECURITIES AND EXCHANGE COMMISSION Date initiated: 07/19/1977 Docket/ Case Number: NASD BrokerCheck October 17, 2005 Page 178 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 REGULATORY ACTIONS(cont.) Allegations: Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/19/1977 Sanctions Ordered: Resolution Details: Summary: ND 77-138 07/19/77. REL 34-13770, 13769. PUBLIC ADMINISTRATIVE PROCEEDINGS ORDERED. FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS TO FINDINGS THAT IT VIOLATED THE BOOKS AND RECORDS PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 AND HAS BEEN ORDERED BY THE COMMISSION TO INSTITUTE CERTAIN RECORDKEEPING PROCEDURES TO AVOID A REPETITION OF THIS TYPE OF SITUATION. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/09/2004 Initiated By: U.S. SECURITIES & EXCHANGE COMMISSION Date initiated: 07/19/1977 Docket/ Case Number: SEC REL. 13769, SEC REL. 13770 Allegations: VIOLATIONS OF SEC RULE 17A3 Current Status: Final Resolution: Stipulation and Consent Resolution Date: 07/19/1977 Sanctions Ordered: Other Sanctions: ADOPT AND MAINTAIN CERTAIN RECORDKEEPING PROCEDURES. Resolution Details: FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO FINDING THAT IT FIOLATED RULE 17A3 AND HAS BEEN ORDERED BY THE SEC TO INSTITUTE CERTAIN RECORDKEEPING PROCEDURES TO AVOID A REPETITION OF THIS TYPE OF SITUATION. Summary: FIRM CONSENTED, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, TO FINDING THAT IT FIOLATED RULE 17A3 AND HAS BEEN ORDERED BY THE SEC TO INSTITUTE CERTAIN RECORDKEEPING PROCEDURES TO AVOID A REPETITION OF THIS TYPE OF SITUATION. NASD BrokerCheck October 17, 2005 Page 179 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 ******************************************************************************** CIVIL JUDICIAL ACTIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains information regarding civil judicial actions that were reported to CRD. These actions are disclosable through NASD BrokerCheck and include injunctions issued by a foreign or domestic court in connection with investment-related activity, a finding by a domestic or foreign court of a violation of any investment-related statute(s) or regulation(s), and actions dismissed by a domestic or foreign court pursuant to a settlement agreement. Some of the fields in this section of the report may be blank if the information was not provided to CRD. ** OCCURRENCE COUNTS ** 3 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Reporting Source: The form through which details of the civil judicial action was reported to CRD. * Date Reported: The date the civil judicial action was reported to CRD. * Initiated By: The party that initiated the civil judicial action (e.g., regulator, foreign financial regulatory authority, self-regulatory organization, commodities exchange, etc.). * Date Initiated: Date the civil judicial action was initiated or filed. * Court Details: Details regarding the court the action was brought in (e.g., name and location of court, docket/case number, etc.). * Employing Brokerage Firm: Brokerage Firm where individual broker was employed when activity occurred that led to the civil judicial action. * Allegations: Allegations made against the individual broker leading to the civil judicial action. * Current Status: The current status of the civil judicial action (i.e., pending, on appeal or final). * Resolution: The resolution of the civil judicial action (e.g., consent, dismissed, judgment rendered, settled, withdrawn, etc.). * Resolution Date: The date the civil judicial action was resolved. * Sanction Details: Additional details regarding any sanctions ordered. * Summary: Details of the circumstances related to the civil judicial action. ******************************************************************************** ****** CIVIL JUDICIAL ACTION (1 of 3) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/08/2004 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date Initiated: 04/28/2003 Court Details: UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK NO.03 CIV.2941. Allegations: THE SEC ALLEGED, AND MLPFS NEITHER ADMITTED NOR DENIED THE ALLEGATIONS, THAT MLPFS VILOATED SECTION 15(C) OF THE EXCHANGE ACT AND RULE 15C1-2 THEREUNDER, AS WELL AS NASD RULED 2110, 2210 AND 3010, AND NYSE RULES 342, 401, 472, AND 476 IN CONNECTION WITH ITS INVESTIGATION INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST. Current Status: Final Resolution: Judgment Rendered NASD BrokerCheck October 17, 2005 Page 180 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 CIVIL JUDICIAL ACTIONS(cont.) Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine Monetary Amount: $100,000,000.00 Resolution Details: PLEASE REFER TO ITEM 14 BELOW. Summary: AS PART OF A JOINT SETTLEMENT WITH THE SEC, THE NASD AND THE NYSE ARISING FROM A JOINT INVESTIGATION BY THE SEC, NASD AND NYSE INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST, MLPFS ENTERED INTO A SETTLEMENT WITH THE SEC. PURSUANT TO THE TERMS OF THE SETTLEMENT WITH THE SEC, MLPFS, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE SEC'S COMPLAINT, CONSENTED TO THE ENTRY OF A FINAL JUDGMENT PERMANENTLY ENJOINING MLPFS FROM CERTAIN VIOLATIONS OF SECTION 15(C)OF THE EXCHANGE ACT AND RULE 15 C1-2 THEREUNDER, AS WELL AS NASD RULES 2110, 2210 AND 3010 AND NYSE RULES 342, 401, 472, AND 476. IN ADDITION, MLPFS AGREED TO A PAYMENT OF : (I) $100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE STATE OF NEW YORK AND OTHER STATES; (II) $75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (III) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. SIMILAR DISCLOSURE HAS BEEN MADE WITH RESPECT TO THE DETAILS OF THE RELATED SETTLEMENTS WITH THE NASD AND THE NYSE ARISING FROM THE JOINT INVESTIGATION. ****** CIVIL JUDICIAL ACTION (2 of 3) ****** Reporting Source: Regulator (Form U-6) Date Reported: 11/03/2003 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date Initiated: 04/28/2003 Court Details: UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK 03 CV 2941 (WHP) (S.D.N.Y.) Allegations: SEC LITIGATION RELEASE 18115, APRIL 28, 2003; MERRILL LYNCH PUBLISHED RESEARCH REPORTS ON INTERNET COMPANIES THAT VIOLATED ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS, AND PUBLISHED RESEARCH REPORTS ON OTHER INTERNET COMPANIES THAT EXPRESSED VIEWS INCONSISTENT WITH THE ANALYSTS' PRIVATELY EXPRESSED NEGATIVE VIEWS IN VIOLATION OF NASD'S AND NYSE'S ADVERTISING RULES. ALLOWED ITS INVESTMENT BANKING FUNCTION TO EXERCISE UNDUE INFLUENCE OVER RESEARCH ANALYSTS, THEREBY RESULTING IN CONFLICTS OF INTEREST FOR ITS RESEARCH ANALYSTS, AND IT FAILED TO MANAGE THESE CONFLICTS IN AN ADEQUATE OR APPROPRIATE MANNER. MERRILL LYNCH'S POLICIES AND PROCEDURES THAT WERE INTENDED TO MAINTAIN THE INDEPENDENCE OF RESEARCH ANALYSTS FROM INVESTMENT BANKING WERE INADEQUATE TO ENSURE ITS RESEARCH ANALYSTS ISSUED OBJECTIVE RESEARCH AND WERE NOT COMPROMISED BY THE CONFLICTS OF INTEREST DESCRIBED ABOVE. AS A RESULT, MERRILL LYNCH FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES AND CONDUCT OF ITS RESEARCH ANALYSTS. Current Status: Final Resolution: Judgment Rendered Resolution Date: 10/31/2003 Sanctions Ordered: Monetary/Fine , Cease and Desist/Injunction Monetary Amount: $100,000,000.00 Other Sanctions: UNDERTAKING Resolution Details: SEC LITIGATION RELEASE 18438, OCTOBER 31, 2003; RESPONDENT, HIS AGENTS, SERVANTS, EMPLOYEES, ATTORNEYS AND ALL PERSONS IN ACTIVE CONCERT OR PARTICIPATION WITH THEM WHO RECEIVE ACTUAL NOTICE OF THIS FINAL JUDGMENT BY PERSONAL SERVICE OR OTHERWISE, CONSENTED TO THE ENTRY OF THIS FINAL JUDGMENT WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OF THE COMPLAINT, THEREFORE THE FIRM IS PERMANENTLY RESTRAINED AND ENJOINED FROM VIOLATING SECTION 15(C)OF THE EXCHANGE ACT AND RULE 15C1-2 PROMULGATED THEREUNDER; NASD RULES 2110, 2210 AND 3010; NYSE NASD BrokerCheck October 17, 2005 Page 181 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 CIVIL JUDICIAL ACTIONS(cont.) RULES 342, 401, 472, 476; DEFENDANT SHALL PAY A TOTAL AMOUNT OF $200,000,000 WHICH INCLUDES, $100,000,000 AS A PENALTY; $75,000,000, TO BE USED FOR THE PROCUREMENT OF INDEPENDENT RESEARCH, $25,000,000 TO BE USED FOR INVESTOR EDUCATION FUND. IT IS FURTHER ORDERED, ADJUDGED AND DECREED THAT, FOR A PERIOD OF FIVE YEARS FROM THE EFFECTIVE DATE OF THIS FINAL JUDGMENT OR SUCH SHORTER OR LONGER PERIOD AS THE COURT MAY ORDER, DEFENDANTS ARE HEREBY ENJOINED FROM DESTROYING, MUTILATING, CONCEALING, ALTERING, OR DISPOSING OF ANY DOCUMENTS FILED WITH THE COMMISSION OR ANY OTHER REGULATORY AUTHORITY RELATING TO THIS COMPLAINT. Summary: MERRILL LYNCH HAS AGREED TO PAY $100 MILLION IN PENALTIES, TO BE DEEMED SATISFIED BY MERRILL LYNCH'S $100 MILLION PAYMENT TO STATE SECURITIES REGULATORS LAST YEAR ARISING FROM SIMILAR CONDUCT. MERRILL LYNCH ALSO WILL PAY, OVER FIVE YEARS, $75 MILLION TO PROVIDE THE FIRM'S CLIENTS WITH INDEPENDENT RESEARCH, AND $25 MILLION TO BE USED FOR INVESTOR EDUCATION. IN THE SEC ACTION, MERRILL LYNCH HAS AGREED TO A FEDERAL COURT ORDER THAT WILL ENJOIN THE FIRM FROM FUTURE VIOLATIONS OF THE FEDERAL SECURITIES LAWS AND NASD AND NYSE RULES, AND REQUIRE THE FIRM TO MAKE CHANGES IN THE OPERATIONS OF ITS EQUITY RESEARCH AND INVESTMENT BANKING DEPARTMENTS. *********************************** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/06/2003 Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date Initiated: 04/28/2003 Court Details: UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK, NO.03 CIV.2941. Allegations: THE SEC ALLEGED, AND MLPFS NEITHER ADMITTED NOR DENIED THE ALLEGATIONS, THAT MLPFS VIOLATED SECTION 15(C) OF THE EXCHNAGE ACT AND RULE 15C1-2 THEREUNDER, AS WELL AS NASD RULES 2110, 2210 AND 3010 AND NYSE RULES 342, 401, 472, AND 476 IN CONNECTION WITH ITS INVESTIGATION INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST. Current Status: Pending Summary: AS PART OF A JOINT SETTLEMENT WITH THE SEC, THE NASD AND THE NYSE ARISING FROM A JOINT INVESTIGATION BY THE SEC, THE NASD AND THE NYSE INTO RESEARCH ANALYSTS CONFLICTS OF INTEREST, MLPFS ENTERED INTO A SETTLEMETN WITH THE SEC. THE SEC SETTLEMENT HAS BEEN FILED IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK AND WILL BECOME FINAL ONCE THE COURT ENTERS THE FINAL JUDGMENT. PURSUANT TO THE TERMS OF THE SETTLEMENT WITH THE SEC, MLPFS, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE SEC'S COMPLAINT, CONSENTED TO THE ENTRY OF A FINAL JUDGMENT PERMANENTLY ENJOINING MLPFS FROM CERTAIN VIOLATIONS OF SECTION 15(C)OF THE EXCHANGE ACT AND RULE 15 C1-2 THEREUNDER, AS WELL AS NASD RULES 2110, 2210 AND 3010 AND NYSE RULES 342, 401, 472, AND 476. IN ADDITION, MLPFS AGREED TO A PAYMENT OF : (I) $100 MILLION, WHICH WAS OFFSET IN ITS ENTIRETY BY THE AMOUNT ALREADY PAID BY MLPFS IN THE RELATED PROCEEDING WITH THE STATE OF NEW YORK AND OTHER STATES; (II) $75 MILLION TO FUND THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS; AND (III) $25 MILLION TO PROMOTE INVESTOR EDUCATION. THE PAYMENTS FOR THE PROVISION OF INDEPENDENT RESEARCH TO INVESTORS AND TO PROMOTE INVESTOR EDUCATION ARE REQUIRED TO BE MADE OVER THE COURSE OF THE NEXT FIVE YEARS. SIMILAR DISCLOSURE HAS BEEN MADE WITH RESPECT TO THE DETAILS OF THE RELATED SETTLEMENTS WITH THE NASD AND THE NYSE ARISING FROM THE JOINT INVESTIGATION. ****** CIVIL JUDICIAL ACTION (3 of 3) ****** Reporting Source: Brokerage Firm (Form BD) Date Reported: 06/24/2002 Initiated By: NEW YORK ATTORNEY GENERAL #171 Date Initiated: 04/08/2002 Court Details: SUPREME COURT OF THE STATE OF NEW YORK, INDEX NO. 02401522 Allegations: A PRELIMINARY INJUNCTION WAS GRANTED ON AN EX PARTE MOTION BY NYAG TO ENJOIN MERRILL LYNCH AND ALL ITS AFFILIATES FROM NASD BrokerCheck October 17, 2005 Page 182 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 CIVIL JUDICIAL ACTIONS(cont.) VIOLATIONS OF THE MARTIN ACT AND FROM PRODUCING RESEARCH REPORTS WITHOUT ADDITIONAL SPECIFIED DISCLOSURES. Current Status: Final Resolution: Other Resolution Date: 04/18/2002 Sanctions Ordered: Resolution Details: Summary: THE PRELIMINARY INJUNCTION WAS GRANTED ON APRIL 8, 2002 UPON AN EX PARTE MOTION BY THE NYAG. THE INJUNCTION WAS STAYED LATER THE SAME DAY UNTIL APRIL 11, 2002. THE STAY WAS EXTENDED UNTIL APRIL 19, 2002 AND IT WAS VACATED ON APRIL 18, 2002. ON MAY 21, 2002, THE STAY WAS PERMANENTLY VACATED AND THE ACTION BY THE NYAG WAS DISMISSED. NASD BrokerCheck October 17, 2005 Page 183 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 ******************************************************************************** BROKERAGE FIRM ARBITRATIONS ******************************************************************************** DISCLOSURE INFORMATION This section contains summary information regarding arbitration awards rendered in a forum administered by NASD that involve securities or commodities disputes between NASD member firms and public customers. Some of the fields in this section of the report may be blank if the information was not provided to CRD. Unlike the arbitration information required to be reported by individual brokers via Form U-4, brokerage firm arbitration information is not required to be reported on Form BD and is therefore disclosed through NASD BrokerCheck via a slightly different mechanism. Summary information regarding NASD arbitration awards involving securities and commodity disputes between public customers and NASD member firms is updated and disclosed on brokerage firm NASD BrokerCheck reports generally within 10-15 days after the arbitration award is signed and served to all parties. The full text of arbitration awards issued by arbitrators at NASD and at other forums is available online as a cooperative arrangement between NASD Dispute Resolution and the Securities Arbitration Commentator (SAC) at www.nasdadr.com. The awards are generally available within one month after the arbitration award is signed and served to all parties. To access the arbitration award information it is suggested that you first view the summary information available via NASD BrokerCheck, and then use the case number included in NASD BrokerCheck report to access the full text of the award at www.nasdadr.com. ** OCCURRENCE COUNTS ** 1602 Record(s) ******************************************************************************** ** FIELD DEFINITIONS ** * Type of Event: Type of disclosure event (e.g., arbitration) that details pertain to. * Update: An indication (i.e., yes or no) as to whether the information is an update to earlier information reported about the arbitration proceeding. * Arbitration Forum: Forum that administered the arbitration proceeding. * Case Served Date: Date case was served on respondent(s). * Case Number: Case number assigned to the arbitration proceeding. * Allegations: Allegations made by the customer(s) which lead to the arbitration proceeding. * Type of Securities: Type of securities allegations relate to. * Relief Asked: Alleged dollar amount of compensatory damages sought by the customer(s). * Disposition: Disposition of the arbitration proceeding. * Disposition Date: Date of disposition. * Relief Awarded: Details related to the relief awarded to the parties involved in the arbitration proceeding. ******************************************************************************** ** BROKERAGE FIRM ARBITRATION (1 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/2004 Case Number: 04-01961 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $312,660.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 184 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/2005 Relief Awarded: Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $150,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (2 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/16/2004 Case Number: 04-05033 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract; Account Related-Negligence Type of Securities: Mutual Funds;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $120,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $62,714.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (3 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/15/2004 Case Number: 04-04736 NASD BrokerCheck October 17, 2005 Page 185 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Annuities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (4 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/08/2003 Case Number: 03-05482 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Churning Type of Securities: Common Stock Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $50,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/11/2005 Relief Awarded: Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 186 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/11/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $145,996.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $58,398.00; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $25,000.00; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $22,000.00; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full ** BROKERAGE FIRM ARBITRATION (5 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/05/2004 Case Number: 04-04860 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Executions-Failure to Execute Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $800,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $1,200,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $203,400.00; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 187 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (6 of 1602) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/2004 Case Number: 04-04209 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/07/2005 8c. Relief Awarded: Attorney's Fees, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $100,000.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Other costs, Relief has been awarded (partial or full, Award Amount $7,872.00; Other costs, Relief has been awarded (partial or full ** BROKERAGE FIRM ARBITRATION (7 of 1602) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2004 Case Number: 03-08929 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other Type of Securities: Unknown type of securities NASD BrokerCheck October 17, 2005 Page 188 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $90,000,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, NASD BrokerCheck October 17, 2005 Page 189 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (8 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/02/2004 Case Number: 04-07438 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $273,414.53 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $546,829.06 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $96,844.66; Treble Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $22,337.22; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01 7c. Relief Asked: Other Non-Monetary Relief, ASKED AMOUNT SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 10/04/2005 8c. Relief Awarded: Other Non-Monetary Relief, Relief has been awarded (partial or full, Award Amount ** BROKERAGE FIRM ARBITRATION (9 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 190 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/09/2004 Case Number: 04-03650 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (10 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02051 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $36,138.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $72,276.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $11,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (11 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 191 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/21/2003 Case Number: 03-08214 Allegations: Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $780,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (12 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/25/2004 Case Number: 04-02659 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $569,467.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $50,000.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (13 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2003 Case Number: 03-04291 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Unknown type of securities;Unknown type of securities;Unknown type of securities;Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $143,547.88 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, NASD BrokerCheck October 17, 2005 Page 192 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $430,643.64 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (15 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/11/2004 Case Number: 04-03409 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $156,006.55; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been NASD BrokerCheck October 17, 2005 Page 193 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (16 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2005 Case Number: 05-01863 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (17 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/29/2004 Case Number: 04-02034 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (18 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/08/2005 Case Number: 05-00422 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $509,325.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 194 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (19 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/24/2004 Case Number: 04-06723 Allegations: Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Mutual Funds;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $199,999.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $200,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (20 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/15/2004 Case Number: 03-09039 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $230,005.07 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 195 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $92,000.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (21 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-01584 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $44,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $15,000.00; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (22 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/26/2004 Case Number: 04-05503 NASD BrokerCheck October 17, 2005 Page 196 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Common Stock;Municipal Bond Funds;Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $122,611.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (23 of 1602) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/02/2004 Case Number: 04-04826 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $748,679.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $2,246,037.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $160,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (24 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/18/2004 Case Number: 04-05423 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account NASD BrokerCheck October 17, 2005 Page 197 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Related-Negligence; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $188,280.56 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/23/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $188,281.00; Interest, Relief has been awarded (partial or full, Award Amount $13,180.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (25 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/2004 Case Number: 04-00650 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/17/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $72,900.00; Other costs, Relief has been awarded (partial or full, Award Amount $300.00 ** BROKERAGE FIRM ARBITRATION (26 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/21/2005 Case Number: 05-01165 Allegations: Account Related-Negligence; Account Related-Transfer; Account Related-Other Type of Securities: NASD BrokerCheck October 17, 2005 Page 198 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $8,367.57 SEVERALLY ; Interest, ASKED AMOUNT $575.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $150.00 SEVERALLY ; Other costs, ASKED AMOUNT $575.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $162.50 ** BROKERAGE FIRM ARBITRATION (27 of 1602) ** Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/2005 Case Number: 05-00451 Allegations: Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract; Account Related-Errors-charges Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $769.13 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $769.13 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/17/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $25.00 ** BROKERAGE FIRM ARBITRATION (28 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2004 Case Number: 04-03681 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Suitability; Account Related-Other Type of Securities: Annuities;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $27,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 199 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (29 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2004 Case Number: 04-07999 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,121.67 SEVERALLY ; Interest, ASKED AMOUNT $3,112.88 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $5,493.33; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (30 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/13/2004 Case Number: 04-03416 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Trading Disputes-Manipulation Type of Securities: Annuities;Limited Partnerships Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $140,385.00 SEVERALLY ; Other Non-Monetary Relief, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2005 Relief Awarded: Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Non-Monetary Relief, Relief has been awarded (partial or full, Award Amount ** BROKERAGE FIRM ARBITRATION (31 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/26/2004 NASD BrokerCheck October 17, 2005 Page 200 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 04-01066 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $664,139.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $120,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (32 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/02/2004 Case Number: 04-07954 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $15,137.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $5,000.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (33 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/02/2004 Case Number: 03-09131 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Other Type of Securities: Annuities;Municipal Bond Funds;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $49,104.34 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 201 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (34 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/27/2004 Case Number: 04-05281 Allegations: Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $671,166.51 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $3,000,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (35 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2004 Case Number: 04-08183 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Account Related-Negligence Type of Securities: Mutual Funds;Other types of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in NASD BrokerCheck October 17, 2005 Page 202 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 08/04/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (36 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/2005 Case Number: 05-01710 Allegations: Account Related-Breach of Contract; Executions-Execution Price; Fraudulent Activity-Brch of Fiduciary Dt; Trading Disputes-Mark-ups Type of Securities: Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,678.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $11,678.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $9,972.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00 ** BROKERAGE FIRM ARBITRATION (37 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-06876 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $5,450,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Treble Damages, ASKED AMOUNT $10,900,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (38 of 1602) ** NASD BrokerCheck October 17, 2005 Page 203 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/02/2004 Case Number: 04-07585 Allegations: Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Suitability Type of Securities: Preferred Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $42,335.00 SEVERALLY ; Other costs, ASKED AMOUNT $625.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (39 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-01637 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $39,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (40 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/23/2005 Case Number: 05-01528 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Unauthorized Trading; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise NASD BrokerCheck October 17, 2005 Page 204 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Certificate of Deposit;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $283.33; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (41 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/23/2005 Case Number: 05-00714 Allegations: Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $24,271.00; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief has been awarded (partial or full, Award Amount $281.75 ** BROKERAGE FIRM ARBITRATION (42 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/16/2004 Case Number: 04-05026 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 205 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $81,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (43 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/30/2004 Case Number: 04-03090 Allegations: Executions-Failure to Execute; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $174,074.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (44 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/08/2004 Case Number: 04-08283 Allegations: Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $140,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, NASD BrokerCheck October 17, 2005 Page 206 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (45 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/23/2004 Case Number: 04-04363 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,075,164.17 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $244,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (46 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/24/2003 Case Number: 03-05313 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in NASD BrokerCheck October 17, 2005 Page 207 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/15/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $105,300.00 ** BROKERAGE FIRM ARBITRATION (47 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/11/2004 Case Number: 04-03034 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $174,266.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (48 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/20/2004 Case Number: 03-08413 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $52,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $337,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $52,000.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 208 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Actual/Compensatory Damages, ASKED AMOUNT $40,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $290,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $1,750,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $80,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $70,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $91,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $2,639.00; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (49 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/16/2003 Case Number: 03-00053 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity - Omission of Facts Type of Securities: Annuities;Mutual Funds;Corporate Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $210,354.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $862.50; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (50 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/13/2005 NASD BrokerCheck October 17, 2005 Page 209 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 05-00158 Allegations: Account Related - Failure to Supervise; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $16,778.00 SEVERALLY ; Interest, ASKED AMOUNT $2,020.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 07/11/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $212.50 ** BROKERAGE FIRM ARBITRATION (51 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/18/2004 Case Number: 04-04274 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $480,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $84,529.68; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (52 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/2004 Case Number: 04-01898 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,669.15 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 210 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (53 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/21/2004 Case Number: 04-05161 Allegations: Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $233,209.33 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $233,209.33 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (54 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/13/2002 Case Number: 02-06447 Allegations: Account Related-Breach of Contract; Account Related-Margin Calls; Account Related-Negligence; Account Related - Failure to Supervise Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 17, 2005 Page 211 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (55 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/26/2004 Case Number: 04-02634 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $25,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (56 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/07/2003 Case Number: 03-05673 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,400,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 212 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $236,786.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $66,707.00; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (57 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/25/2003 Case Number: 03-02609 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (58 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/09/2003 Case Number: 03-01425 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Unauthorized Trading; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 213 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $46,398.00; Interest, Relief has been awarded (partial or full, Award Amount $27,838.00; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $2,205.00; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $18,559.00 7c. Relief Asked: Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/17/2005 8c. Relief Awarded: Punitive/Exemplary Damages, Relief has been awarded (partial or full, Award Amount $225,000.00; Other costs, Relief has been awarded (partial or full, Award Amount $300.00 ** BROKERAGE FIRM ARBITRATION (59 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/01/2004 Case Number: 04-01273 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Account Related-Breach of Contract; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,400,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; Treble Damages, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $275,301.50; Interest, Relief Request has been denied in full; Treble Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/13/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $1,560,041.80 ** BROKERAGE FIRM ARBITRATION (60 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/09/2004 Case Number: 03-07452 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Other types of securities NASD BrokerCheck October 17, 2005 Page 214 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $996,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/08/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $400,000.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (61 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/04/2004 Case Number: 04-03904 Allegations: Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $48,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (62 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/23/2004 Case Number: 03-08777 Allegations: Fraudulent Activity-Unauthorized Trading Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,088.17 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 215 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $67,702.15 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $7,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (63 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/04/2003 Case Number: 03-03967 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $275,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $61,875.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $111,168.75 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.01 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/03/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $300.00 ** BROKERAGE FIRM ARBITRATION (64 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/11/2005 Case Number: 04-08637 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 216 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (65 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/12/2004 Case Number: 03-09125 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $250,000.00; Interest, Relief has been awarded (partial or full, Award Amount $37,612.00; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (66 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/17/2003 Case Number: 03-04255 Allegations: Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $3,300,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 217 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $3,300,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $3,300,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $3,300,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/01/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; NASD BrokerCheck October 17, 2005 Page 218 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 06/01/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $35,000.00 ** BROKERAGE FIRM ARBITRATION (67 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/27/2003 Case Number: 03-01604 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $11,270.44 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (68 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/24/2004 Case Number: 04-01915 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $329,132.01 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $329,132.01 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $30,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (69 of 1602) ** NASD BrokerCheck October 17, 2005 Page 219 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/18/2003 Case Number: 03-08796 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (70 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/13/2003 Case Number: 03-05688 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $75,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Specific Performance, ASKED AMOUNT SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Declaratory Judgement, ASKED AMOUNT SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,411.38; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $22,411.38; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, NASD BrokerCheck October 17, 2005 Page 220 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief has been awarded (partial or full, Award Amount $2,501.15; Other costs, Relief has been awarded (partial or full; Declaratory Judgement, Relief Request has been denied in full; Declaratory Judgement, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (71 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/28/2004 Case Number: 04-07518 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $802,058.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $802,058.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/25/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $186,457.00 ** BROKERAGE FIRM ARBITRATION (72 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/17/2004 Case Number: 04-00911 Allegations: Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (73 of 1602) ** NASD BrokerCheck October 17, 2005 Page 221 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/08/2003 Case Number: 03-07176 Allegations: Fraudulent Activity-Other; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,300,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (74 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/21/2004 Case Number: 03-09146 Allegations: Account Related-Breach of Contract; Account Related-Errors-charges; Account Related-Margin Calls; Account Related-Negligence Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $253,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/18/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 222 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ** BROKERAGE FIRM ARBITRATION (75 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2004 Case Number: 04-02046 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $345,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $255,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (76 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/08/2003 Case Number: 03-08494 Allegations: Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,200,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,200,000.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/17/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $17,068.59 ** BROKERAGE FIRM ARBITRATION (77 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 223 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/11/2003 Case Number: 03-07913 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Corporate Bonds;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $816,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/16/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (78 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/18/2004 Case Number: 04-07935 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $19,805.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (79 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/27/2004 Case Number: 04-02917 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract; Fraudulent Activity-Suitability; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $40,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 224 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $24,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $11,082.17; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $15,000.00; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/13/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $175.00 ** BROKERAGE FIRM ARBITRATION (80 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02025 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $21,999.38 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (81 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/01/2003 Case Number: 03-08444 Allegations: Account Related-Exchanges; Account Related - Failure to Supervise; Account Related-Negligence; Account Related-Transfer Type of Securities: Mutual Funds;Municipal Bonds NASD BrokerCheck October 17, 2005 Page 225 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/13/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (82 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-02547 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $140,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (83 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/17/2004 Case Number: 04-01648 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $563,947.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED NASD BrokerCheck October 17, 2005 Page 226 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other NASD BrokerCheck October 17, 2005 Page 227 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (84 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/20/2003 Case Number: 03-03015 Allegations: Account Related-Breach of Contract; Account Related-Errors-charges; Account Related-Margin Calls; Account Related-Negligence Type of Securities: Common Stock;Mutual Funds;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,000,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $18,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 228 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $800,000.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/05/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $800,000.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01 ** BROKERAGE FIRM ARBITRATION (85 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/09/2003 Case Number: 03-02386 Allegations: Account Related-Breach of Contract; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $403,029.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 229 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/06/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $172,999.00 ** BROKERAGE FIRM ARBITRATION (86 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/03/2003 Case Number: 03-04709 Allegations: Fraudulent Activity-Churning; Fraudulent Activity-Suitability; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,650,517.06 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $50,000,000.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (87 of 1602) ** NASD BrokerCheck October 17, 2005 Page 230 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/26/2001 Case Number: 01-05581 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $96,000.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/04/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, NASD BrokerCheck October 17, 2005 Page 231 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 05/04/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $81,851.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $32,740.00; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Attorney's Fees, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full ** BROKERAGE FIRM ARBITRATION (88 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/2003 Case Number: 03-04781 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Fraudulent Activity-Other Type of Securities: Annuities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,000,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 232 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/02/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (89 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/17/2004 Case Number: 04-05622 Allegations: Account Related-Breach of Contract; Account Related - Failure to Supervise; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $25,000.00; Interest, Relief Request has been denied in full; Attorney's Fees, Relief has been awarded (partial or full, Award Amount $10,000.00; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/29/2005 8c. Relief Awarded: Other costs, Relief has been awarded (partial or full, Award Amount $425.00 ** BROKERAGE FIRM ARBITRATION (90 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-01908 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Account Related-Negligence; Fraudulent Activity-Misrepresentation NASD BrokerCheck October 17, 2005 Page 233 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 04/22/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $85,000.00; Other costs, Relief has been awarded (partial or full, Award Amount $300.00; Other costs, Relief has been awarded (partial or full, Award Amount $5,400.00 ** BROKERAGE FIRM ARBITRATION (91 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/07/2004 Case Number: 04-06710 Allegations: Fraudulent Activity-Suitability Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $12,930.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $10,000.00 SEVERALLY ; Interest, ASKED AMOUNT $1,631.00 SEVERALLY ; Other costs, ASKED AMOUNT $425.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $750.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $12,930.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (92 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/11/2004 Case Number: 04-02609 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts NASD BrokerCheck October 17, 2005 Page 234 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,638.60 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (93 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/02/2004 Case Number: 04-02178 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,266.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (94 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2004 Case Number: 04-02137 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Account Related-Other Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $13,629.84 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 235 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (95 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/14/2004 Case Number: 03-08869 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Misrepresentation; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $21,476.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (96 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/12/2004 Case Number: 03-08073 NASD BrokerCheck October 17, 2005 Page 236 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Account Related-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $6,006.14 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $162.50; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (97 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/04/2003 Case Number: 03-06704 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Churning Type of Securities: Common Stock;Options Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Specific Performance, ASKED AMOUNT JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/20/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Specific Performance, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been NASD BrokerCheck October 17, 2005 Page 237 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full ** BROKERAGE FIRM ARBITRATION (98 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/2004 Case Number: 04-02376 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $94,347.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $250,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Non-Monetary Relief, ASKED AMOUNT SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $57,108.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $12,193.00; Other costs, Relief has been awarded (partial or full, Award Amount $12,425.00; Other Non-Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $300.00 ** BROKERAGE FIRM ARBITRATION (99 of 1602) ** Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/2003 Case Number: 03-04685 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Churning; Fraudulent Activity-Suitability Type of Securities: Common Stock;Mutual Funds;Municipal Bonds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 238 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 04/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (100 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2004 Case Number: 04-06872 Allegations: Account Related-Negligence; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,843.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $575.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (101 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02021 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $17,311.50 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $7,600.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 239 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $17,311.50; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (102 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/26/2002 Case Number: 02-05623 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Common Stock;Annuities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/07/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (103 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2004 Case Number: 04-08080 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $25,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 240 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (104 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-07049 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Misrepresentation; Fraudulent Activity-Other Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $28,254.87 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (105 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/14/2003 Case Number: 03-04586 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $1,568,783.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (106 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 241 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 11/25/2003 Case Number: 03-08350 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Account Related-Negligence; Account Related-Breach of Contract Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $10,919.53 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $10,919.53; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $0.01; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $425.00; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $0.01; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (107 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/07/2002 NASD BrokerCheck October 17, 2005 Page 242 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-05078 Allegations: Fraudulent Activity-Unauthorized Trading; Account Related - Failure to Supervise; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/28/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (108 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08801 Allegations: Fraudulent Activity-Unauthorized Trading Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $19,600.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $5,400.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (109 of 1602) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 17, 2005 Page 243 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/31/2003 Case Number: 03-07777 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Executions-Failure to Execute Type of Securities: Options;Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (110 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/11/2003 Case Number: 03-00444 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/2004 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (111 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/03/2004 Case Number: 03-08989 Allegations: Account Related-Breach of Contract; Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence; Fraudulent Activity-Churning Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $212,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 244 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (112 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/31/2003 Case Number: 03-08844 Allegations: Fraudulent Activity-Suitability; Account Related-Negligence; Fraudulent Activity-Misrepresentation; Account Related-Breach of Contract Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $428,279.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $99,000.00; Interest, Relief has been awarded (partial or full, Award Amount $3,750.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (113 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/07/2004 Case Number: 04-02338 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $22,846.05 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 245 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (114 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/05/2004 Case Number: 04-00643 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Churning Type of Securities: Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $800,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $10,000,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (115 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/15/2003 Case Number: 03-00066 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Account Related-Negligence Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $12,600,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/21/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (116 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/05/2004 Case Number: 04-01414 NASD BrokerCheck October 17, 2005 Page 246 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $14,914.20 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (117 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/21/2003 Case Number: 03-08219 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Brch of Fiduciary Dt; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $105,000.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/17/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (118 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/18/2003 Case Number: 03-08181 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $2,529,854.82 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 247 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $51,112.76 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $47,427.00; Attorney's Fees, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $4,843.00; Attorney's Fees, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (119 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/15/2003 Case Number: 03-04494 Allegations: Fraudulent Activity-Suitability; Fraudulent Activity-Other; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Misrepresentation Type of Securities: Common Stock;Mutual Funds Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $875,000.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Actual/Compensatory Damages, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/15/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full NASD BrokerCheck October 17, 2005 Page 248 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (120 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2004 Case Number: 04-02640 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $200,000.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (121 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/14/2003 Case Number: 03-02554 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Suitability; Fraudulent Activity-Misrepresentation; Account Related-Negligence Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $4,000,000.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Actual/Compensatory Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other costs, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Attorney's Fees, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; Other Monetary Relief, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 249 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $3,762,935.00; Actual/Compensatory Damages, Relief has been awarded (partial or full; Actual/Compensatory Damages, Relief has been awarded (partial or full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Interest, Relief has been awarded (partial or full; Interest, Relief has been awarded (partial or full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (122 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/27/2003 Case Number: 03-01666 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity-Other; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Unknown type of securities Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $500,000.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $0.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Other costs, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (123 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/12/2004 Case Number: 04-04172 Allegations: Account Related-Negligence; Fraudulent Activity-Brch of Fiduciary Dt; Trading Disputes-Sell outs Type of Securities: Limited Partnerships Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,892.70 NASD BrokerCheck October 17, 2005 Page 250 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; Interest, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Interest, Relief Request has been denied in full 7c. Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $7,892.70 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY 8a. Current Status: AWARD AGAINST PARTY 8b. Status Date: 03/11/2005 8c. Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $2,600.00; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $325.00 * BROKERAGE FIRM ARBITRATION (124 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/28/2004 Case Number: 04-03051 Allegations: Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Fraudulent Activity-Suitability; Fraudulent Activity-Other Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $18,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $575.00 SEVERALLY ; Other costs, ASKED AMOUNT $1,500.00 SEVERALLY ; Interest, ASKED AMOUNT $3,600.00 SEVERALLY ; Attorney's Fees, ASKED AMOUNT $8,100.00 SEVERALLY ; Other Monetary Relief, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/11/2005 Relief Awarded: Actual/Compensatory Damages, Relief Request has been denied in full; Punitive/Exemplary Damages, Relief Request has been denied in full; Other costs, Relief has been awarded (partial or full, Award Amount $212.50; Other costs, Relief Request has been denied in full; Interest, Relief Request has been denied in full; Attorney's Fees, Relief Request has been denied in full; Other Monetary Relief, Relief Request has been denied in full * BROKERAGE FIRM ARBITRATION (125 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/15/2003 Case Number: 03-08737 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $350,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 251 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (126 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/02/2004 Case Number: 04-02207 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,900.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (127 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/02/2004 Case Number: 04-00999 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUNICIPAL BONDS;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 252 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (128 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/30/2003 Case Number: 03-07770 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $231,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/28/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $110,000.00 * BROKERAGE FIRM ARBITRATION (129 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/31/2003 Case Number: 03-07737 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $215,939.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 253 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (130 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/05/2004 Case Number: 04-00388 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,978.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (131 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07584 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,507.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (132 of 1602) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 17, 2005 Page 254 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/30/2003 Case Number: 03-01265 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (133 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/11/2002 Case Number: 02-06518 Allegations: Fraudulent Activity-Misrepresentation; Fraudulent Activity-Brch of Fiduciary Dt; Fraudulent Activity - Omission of Facts; Account Related - Failure to Supervise Type of Securities: Common Stock Relief Asked: Actual/Compensatory Damages, ASKED AMOUNT $95,000.00 SEVERALLY ; Punitive/Exemplary Damages, ASKED AMOUNT $250,000.00 SEVERALLY ; Interest, ASKED AMOUNT $0.00 SEVERALLY ; Other costs, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2005 Relief Awarded: Actual/Compensatory Damages, Relief has been awarded (partial or full, Award Amount $39,500.00; Punitive/Exemplary Damages, Relief Request has been denied in full; Interest, Relief has been awarded (partial or full, Award Amount $0.01; Other costs, Relief has been awarded (partial or full, Award Amount $300.00 * BROKERAGE FIRM ARBITRATION (134 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/30/2004 Case Number: 04-02521 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; NASD BrokerCheck October 17, 2005 Page 255 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,945.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/2005 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (135 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/2004 Case Number: 04-00700 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED NASD BrokerCheck October 17, 2005 Page 256 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $195,717.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (136 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/25/2003 Case Number: 03-01923 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $552,777.58 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 257 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (137 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/10/2003 Case Number: 03-08100 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (138 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06839 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; TRADING DISPUTES-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $188,443.83 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 258 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/23/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $164,842.57; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (139 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/07/2003 Case Number: 03-07932 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $159,836.49 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (140 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/17/2004 Case Number: 04-07905 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS;MUNICIPAL BOND FUNDS;OPTIONS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED NASD BrokerCheck October 17, 2005 Page 259 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/17/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (141 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/30/2004 Case Number: 04-02605 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,500.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (142 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/23/2004 Case Number: 04-02592 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,561.82 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (143 of 1602) * NASD BrokerCheck October 17, 2005 Page 260 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/24/2003 Case Number: 03-06758 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $158,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/17/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $995.60; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $141.60; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (144 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06176 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 261 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $730,909.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (145 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/11/2003 Case Number: 03-01346 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,600.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $144,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 262 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (146 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/01/2002 Case Number: 02-04039 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,360,003.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $850,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (147 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/21/2004 Case Number: 04-00600 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,768.04 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; REGULAR INJUNCTIVE RELIEF, ASKED AMOUNT SEVERALLY NASD BrokerCheck October 17, 2005 Page 263 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 02/15/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; REGULAR INJUNCTIVE RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (148 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/31/2003 Case Number: 03-05367 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $96,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/11/2005 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (149 of 1602) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 17, 2005 Page 264 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/05/2004 Case Number: 04-02239 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $499,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (150 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/22/2004 Case Number: 04-01490 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,301.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (151 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2002 NASD BrokerCheck October 17, 2005 Page 265 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-05739 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,800,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,400,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (152 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/31/2004 Case Number: 04-02103 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $243,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $198,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (153 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/18/2004 Case Number: 03-09088 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 266 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/08/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $129,195.00 * BROKERAGE FIRM ARBITRATION (154 of 1602) * NASD BrokerCheck October 17, 2005 Page 267 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06283 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $192,618.31 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $385,236.62 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/03/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (155 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 02/22/2002 Case Number: 02-00206 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS;PREFERRED STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $160,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 268 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 02/03/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (156 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/12/2004 Case Number: 04-02405 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,171.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (157 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2004 Case Number: 04-01448 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,514.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 269 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (158 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/12/2004 Case Number: 04-01363 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/02/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,478.72; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (159 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2003 Case Number: 03-06483 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $84,255.75; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/31/2005 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,959.10 NASD BrokerCheck October 17, 2005 Page 270 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (160 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06281 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (161 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/28/2003 Case Number: 03-06020 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $112,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 271 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (162 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/29/2003 Case Number: 03-03126 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $299,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (163 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/05/2004 Case Number: 04-02450 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,046.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/27/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (164 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 272 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: YES Arbitration Forum: NASD Case Served Date: 02/21/2002 Case Number: 02-00205 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/27/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (165 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/27/2000 Case Number: 00-03119 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/26/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/26/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81,338.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,444.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 NASD BrokerCheck October 17, 2005 Page 273 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (166 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06175 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/24/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $55,950.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (167 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-05648 Allegations: TRADING DISPUTES-OTHER; TRADING DISPUTES-MANIPULATION; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: CERTIFICATE OF DEPOSIT;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,095.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 274 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $63.75 * BROKERAGE FIRM ARBITRATION (168 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/11/2003 Case Number: 03-06227 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/20/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (169 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01251 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,500.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,260.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $300.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/20/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 275 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (170 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/13/2003 Case Number: 03-05840 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,632.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/19/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (171 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/02/2003 Case Number: 03-04661 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $355,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 276 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/19/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (172 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/15/2003 Case Number: 03-02513 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/19/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,693.02; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,892.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 277 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/19/2005 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (173 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-02590 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (174 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01492 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 278 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (175 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-07026 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,706.38 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/18/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (176 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/23/2002 Case Number: 02-03664 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/14/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 279 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/14/2005 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (177 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/2004 Case Number: 04-02524 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,435.73 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 17, 2005 Page 280 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $62.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (178 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 03/30/2004 Case Number: 04-02020 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,220.41 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/11/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (179 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 07/08/2004 Case Number: 04-04797 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,754.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,245.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/10/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 281 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (180 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/05/2003 Case Number: 03-07760 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $915,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/07/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,994.77; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (181 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/22/2003 Case Number: 03-06726 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $190,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/06/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 282 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (182 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/28/2003 Case Number: 03-06147 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/06/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (183 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/2004 Case Number: 04-02523 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,573.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/04/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/04/2005 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (184 of 1602) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 17, 2005 Page 283 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/12/2003 Case Number: 03-03717 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,078,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $91,619.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,820.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $77,259.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/04/2005 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (185 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/02/2003 Case Number: 03-06560 Allegations: ACCOUNT RELATED-EXCHANGES; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 17, 2005 Page 284 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,480.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $271,440.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (187 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 01/20/2004 Case Number: 03-09194 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; TRADING DISPUTES-BUY IN; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/27/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 285 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL * BROKERAGE FIRM ARBITRATION (188 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-02598 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (189 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 11/20/2003 Case Number: 03-08104 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $340,669.21 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $340,669.21 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $44,286.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $160,880.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (190 of 1602) * NASD BrokerCheck October 17, 2005 Page 286 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/25/2003 Case Number: 03-06490 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: INJUNCTION, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/2004 Relief Awarded: INJUNCTION, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $148,000.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (191 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 05/29/2003 Case Number: 03-03301 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $604,828.59 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $304,634.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (192 of 1602) * NASD BrokerCheck October 17, 2005 Page 287 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-02444 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,750.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (193 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/03/2002 Case Number: 02-05790 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $820,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 288 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (194 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 12/17/2003 Case Number: 03-08095 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,196.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (195 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07362 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;CERTIFICATE OF DEPOSIT Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (196 of 1602) * Type of Event: ARBITRATION Update: YES NASD BrokerCheck October 17, 2005 Page 289 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/28/2004 Case Number: 04-02581 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,573.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (197 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 04/01/2004 Case Number: 04-01557 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (198 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 09/18/2003 Case Number: 03-06617 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;PREFERRED STOCK;GOVERNMENT SECURITIES;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,700,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,500,000.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 290 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (199 of 1602) * Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 06/11/2003 Case Number: 03-03977 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $465,091.31 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (200 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/2003 Case Number: 03-06367 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,823.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 291 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (201 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/2003 Case Number: 03-05601 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,610.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $625.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (202 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/2003 Case Number: 03-04002 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $356,187.18 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $712,374.36 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $118,729.06 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (203 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 292 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/13/2003 Case Number: 03-03375 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (204 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2003 Case Number: 03-01583 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BOND FUNDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $267,045.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $267,045.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/14/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (205 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/2002 Case Number: 02-07632 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 293 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $433,990.90 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $867,981.80 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $108,497.72 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $144,663.63 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (206 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/2002 Case Number: 02-06589 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.01 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (207 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/2003 Case Number: 03-06996 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,416.17 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 294 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (208 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/2003 Case Number: 03-01866 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, NASD BrokerCheck October 17, 2005 Page 295 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (209 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2003 Case Number: 03-05809 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (210 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/2003 Case Number: 03-02100 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO NASD BrokerCheck October 17, 2005 Page 296 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,361.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,044.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,443.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,566.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,032.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,876.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,291.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,093.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,264.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $304,491.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,348.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (211 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2003 Case Number: 03-05822 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 297 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (212 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/2002 Case Number: 02-05327 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (213 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2002 Case Number: 02-01877 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $680,553.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, NASD BrokerCheck October 17, 2005 Page 298 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (214 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/2003 Case Number: 03-00784 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $94,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (215 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/2003 Case Number: 03-08406 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 299 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (216 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06222 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (217 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/14/2004 Case Number: 04-02443 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,260.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (218 of 1602) * NASD BrokerCheck October 17, 2005 Page 300 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01493 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,100.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (219 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/01/2004 Case Number: 04-01259 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (220 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/24/2003 Case Number: 03-01044 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 17, 2005 Page 301 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,825,519.64 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $407,788.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/30/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, NASD BrokerCheck October 17, 2005 Page 302 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (221 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/31/2003 Case Number: 03-01984 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,203.71 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (222 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/2002 Case Number: 02-07652 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 303 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/29/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (223 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2003 Case Number: 03-06681 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $313,278.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $195,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/26/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (224 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/2003 Case Number: 03-07912 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUNICIPAL BONDS;CORPORATE BONDS NASD BrokerCheck October 17, 2005 Page 304 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,673.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (225 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/03/2003 Case Number: 03-07783 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-MARGIN CALLS Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (226 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/2004 Case Number: 03-07035 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $407,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/24/2004 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT NASD BrokerCheck October 17, 2005 Page 305 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (227 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2003 Case Number: 03-06393 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (228 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/2003 Case Number: 03-04994 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $1,600,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (229 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 306 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/21/2003 Case Number: 03-02294 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $497,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (230 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2003 Case Number: 03-03209 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,400.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (231 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/2004 Case Number: 04-01767 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 307 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,986.09 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (232 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2003 Case Number: 03-07824 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,897.36 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (233 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/2003 Case Number: 03-06904 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,124.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 308 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (234 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2003 Case Number: 03-02159 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/12/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (235 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/2004 Case Number: 04-00880 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,158.96 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 309 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/12/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (236 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/2003 Case Number: 03-05554 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $305,396.97; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (237 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2003 Case Number: 03-07687 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,356.29 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,356.29; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 310 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (238 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/26/2003 Case Number: 03-06949 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (239 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/2003 Case Number: 03-02704 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,400,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 311 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (240 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/25/2004 Case Number: 04-02579 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (241 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01497 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,330.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (242 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2003 NASD BrokerCheck October 17, 2005 Page 312 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-06920 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00 * BROKERAGE FIRM ARBITRATION (243 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/2003 Case Number: 03-02877 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,511,233.77 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 313 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $399,145.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (244 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01496 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,025.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (245 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-01491 NASD BrokerCheck October 17, 2005 Page 314 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (246 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/2003 Case Number: 03-08209 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,184.95 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,360.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (247 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/04/2003 Case Number: 03-05605 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,595.53 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 315 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (248 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/13/2004 Case Number: 04-02596 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (249 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06723 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,488.13 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 NASD BrokerCheck October 17, 2005 Page 316 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (250 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/05/2003 Case Number: 03-05667 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $728,857.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,025.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $181,303.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (251 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/2003 Case Number: 03-01737 NASD BrokerCheck October 17, 2005 Page 317 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK;MUTUAL FUNDS * BROKERAGE FIRM ARBITRATION (252 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/26/2004 Case Number: 04-02177 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,425.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (253 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/2004 Case Number: 04-01495 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,285.45 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,680.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (254 of 1602) * NASD BrokerCheck October 17, 2005 Page 318 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/2004 Case Number: 04-01452 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (255 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00889 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,293.68 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,263.98; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/25/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (256 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2003 NASD BrokerCheck October 17, 2005 Page 319 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-03902 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $975.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (257 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2002 Case Number: 02-05001 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (258 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/2003 Case Number: 03-01513 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $490,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 320 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,430.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $490,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/21/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,430.00 * BROKERAGE FIRM ARBITRATION (259 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/2004 Case Number: 04-00453 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,944.35 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (260 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/2004 Case Number: 03-08572 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 321 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (261 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2003 Case Number: 03-05704 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,198.20 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (262 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-06867 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $388,539.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 322 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (263 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2003 Case Number: 03-05444 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (264 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/2004 Case Number: 04-02256 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,571.65 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, NASD BrokerCheck October 17, 2005 Page 323 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (265 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/30/2004 Case Number: 04-02210 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (266 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/2004 Case Number: 04-02251 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,231.48 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (267 of 1602) * NASD BrokerCheck October 17, 2005 Page 324 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/2003 Case Number: 03-08426 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $501,714.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,505,142.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (268 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/2003 Case Number: 03-04263 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,800.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (269 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 325 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/03/2003 Case Number: 03-01121 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/08/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,475.00 * BROKERAGE FIRM ARBITRATION (270 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/2003 Case Number: 03-07490 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $141,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (271 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/2004 Case Number: 04-01355 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-INCORRECT QUANTITY Type of Securities: COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 326 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $2,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $22.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,364.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,250.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/30/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $160.00 * BROKERAGE FIRM ARBITRATION (272 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00890 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,240.30 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (273 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/2002 Case Number: 02-06659 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $319,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 327 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/30/2004 8C. RELIEF AWARDED: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (274 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 03-07620 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (275 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/2003 Case Number: 03-03829 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY NASD BrokerCheck October 17, 2005 Page 328 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (276 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/2004 Case Number: 04-01455 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,915.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (277 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 329 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/26/2003 Case Number: 03-04426 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/27/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (278 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/2003 Case Number: 03-08469 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,414.43 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 330 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 09/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (279 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/31/2003 Case Number: 03-02107 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,200,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $68,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $80,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $77,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: NASD BrokerCheck October 17, 2005 Page 331 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/22/2004 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (280 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2004 Case Number: 04-02174 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,529.33 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (281 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/29/2000 Case Number: 00-03411 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: NASD BrokerCheck October 17, 2005 Page 332 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (282 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2004 Case Number: 04-00656 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,560.97 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (283 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2003 Case Number: 03-00581 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 333 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,828.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,899.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,601.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY NASD BrokerCheck October 17, 2005 Page 334 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (284 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/2004 Case Number: 04-01499 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,263.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (285 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/2004 Case Number: 04-01494 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (286 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 335 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2004 Case Number: 04-01415 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,468.24 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (287 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/2004 Case Number: 04-01105 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,056.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (288 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00896 NASD BrokerCheck October 17, 2005 Page 336 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,413.30 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,400.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (289 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/06/2004 Case Number: 04-00004 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,054.33 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (290 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/05/2003 Case Number: 03-05603 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,916.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 337 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (291 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/05/2003 Case Number: 03-02539 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $197,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (292 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/2003 Case Number: 03-03293 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $188,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, NASD BrokerCheck October 17, 2005 Page 338 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,749.71; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $38,750.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,073.72; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (293 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/2003 Case Number: 03-06582 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,169.56; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,717.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,835.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/10/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 * BROKERAGE FIRM ARBITRATION (294 of 1602) * NASD BrokerCheck October 17, 2005 Page 339 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/2003 Case Number: 03-05353 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (295 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2003 Case Number: 03-07755 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,069.43 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (296 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/2002 Case Number: 02-05604 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $582,220.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 340 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/09/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,637.51; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,056.71; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (297 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/2001 Case Number: 01-04488 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,609.14; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (298 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/2003 Case Number: 03-04302 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 17, 2005 Page 341 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $158,292.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,577.47; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,980.16; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (299 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00891 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,850.28 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (300 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2002 Case Number: 02-02717 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;ANNUITIES NASD BrokerCheck October 17, 2005 Page 342 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $280,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $72,034.46; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $160,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (301 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/02/2004 Case Number: 04-00170 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,639.32 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,639.32; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (302 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-04374 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $102,500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $307,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 343 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (303 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/2003 Case Number: 03-01954 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (304 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/2003 Case Number: 03-00598 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; NASD BrokerCheck October 17, 2005 Page 344 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $193,307.93 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/30/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (305 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/03/2004 Case Number: 04-00363 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CERTIFICATE OF DEPOSIT;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (306 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/17/2003 Case Number: 03-08786 NASD BrokerCheck October 17, 2005 Page 345 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,920.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,756.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (307 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2003 Case Number: 03-05520 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $778,961.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $80,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,700.46; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (308 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/31/2003 Case Number: 03-02110 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 17, 2005 Page 346 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (309 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/2003 Case Number: 03-09038 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,173.67 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,173.67; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (310 of 1602) * NASD BrokerCheck October 17, 2005 Page 347 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/2002 Case Number: 02-03804 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,100,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $9,300,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (311 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/2004 Case Number: 04-00771 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,084.37 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (312 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/2003 NASD BrokerCheck October 17, 2005 Page 348 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 03-02393 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $736,362.62 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,209,087.80 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $833,849.03 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,501,547.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (313 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/2003 Case Number: 03-03497 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 17, 2005 Page 349 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (314 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/2003 Case Number: 03-08489 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,480.78 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (315 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2003 Case Number: 03-03208 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $275,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (316 of 1602) * NASD BrokerCheck October 17, 2005 Page 350 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/2003 Case Number: 03-00759 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $138,426.81 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,055.89; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/16/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 * BROKERAGE FIRM ARBITRATION (317 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2003 Case Number: 03-03474 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $495,000.00 NASD BrokerCheck October 17, 2005 Page 351 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (318 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/14/2003 Case Number: 03-02457 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,574,967.60; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (319 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 352 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/25/2003 Case Number: 02-06201 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $820,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (320 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/2004 Case Number: 04-00263 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,349.49 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (321 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/10/2003 Case Number: 03-07602 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT NASD BrokerCheck October 17, 2005 Page 353 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,805.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (322 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/10/2003 Case Number: 03-07576 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,004.22 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (323 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2003 Case Number: 03-01720 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 17, 2005 Page 354 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $96,100.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (324 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/2003 Case Number: 03-03624 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,096.54 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (325 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/2003 Case Number: 02-06288 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 355 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (326 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00892 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,117.23 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (327 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/2003 Case Number: 03-08069 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,728.45 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (328 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/19/2003 Case Number: 03-07758 NASD BrokerCheck October 17, 2005 Page 356 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $87.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (329 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/2003 Case Number: 03-02910 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $620,796.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (330 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/2003 Case Number: 03-04401 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,297.70 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 357 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,097.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (331 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/12/2003 Case Number: 03-03313 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,435.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (332 of 1602) * NASD BrokerCheck October 17, 2005 Page 358 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/2003 Case Number: 03-04054 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $623,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $158,244.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (333 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00895 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NASD BrokerCheck October 17, 2005 Page 359 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (334 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/2003 Case Number: 03-03089 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $571,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (335 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/2003 Case Number: 03-02185 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $191,716.47 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (336 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 360 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00894 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,026.32 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (337 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/2003 Case Number: 03-05970 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,043.25 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (338 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2004 Case Number: 04-00888 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,647.50 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 361 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (339 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/2003 Case Number: 03-01537 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,700.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (340 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/10/2002 Case Number: 02-05223 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $205,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $615,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 362 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (341 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/30/2003 Case Number: 03-07455 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (342 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/08/2002 Case Number: 02-03857 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,495.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 363 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (343 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/2002 Case Number: 02-00381 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (344 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/2002 Case Number: 02-02816 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $12,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 364 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (345 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/2003 Case Number: 03-07091 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,856.33 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (346 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/2001 Case Number: 01-06382 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED NASD BrokerCheck October 17, 2005 Page 365 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/09/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $900,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,090.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER NASD BrokerCheck October 17, 2005 Page 366 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (347 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/2003 Case Number: 03-08940 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,850.65 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (348 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-07058 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,796.41 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (349 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 367 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/19/2003 Case Number: 03-04358 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,381.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (350 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/2003 Case Number: 03-08002 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,568.52 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (351 of 1602) * NASD BrokerCheck October 17, 2005 Page 368 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/22/2003 Case Number: 03-07525 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS;GOVERNMENT SECURITIES;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,572.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/07/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (353 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 369 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/11/2002 Case Number: 02-05197 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/2004 Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 07/06/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (354 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/2003 Case Number: 03-08118 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,035.96 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (355 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/2003 Case Number: 03-07293 Allegations: ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 370 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/02/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (356 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/2003 Case Number: 03-00479 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,836.17 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (357 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/2003 Case Number: 03-01464 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,539.19 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,267.55 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $975.00 SEVERALLY ; OTHER NASD BrokerCheck October 17, 2005 Page 371 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/01/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,539.19; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,267.55; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (358 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/2003 Case Number: 03-07591 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (359 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/2003 Case Number: 03-02931 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/2004 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 372 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $217,338.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/29/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $172,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (360 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2003 Case Number: 03-01691 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,708.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/29/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,648.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (361 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2003 Case Number: 03-02925 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS * BROKERAGE FIRM ARBITRATION (362 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 373 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 11/10/2003 Case Number: 03-07521 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,755.79 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (363 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/02/2003 Case Number: 03-07089 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,555.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (364 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/2003 Case Number: 03-06725 NASD BrokerCheck October 17, 2005 Page 374 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (365 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/29/2003 Case Number: 03-03573 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,736.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (366 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/2003 Case Number: 03-00433 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $413,763.17 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $58,134.71 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 375 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,500.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/22/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (367 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/2002 Case Number: 02-02969 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,625,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,875,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (368 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 376 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-03020 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,334.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (369 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/2003 Case Number: 03-08099 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,081.72 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (370 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/2003 Case Number: 03-07854 NASD BrokerCheck October 17, 2005 Page 377 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,983.41 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (371 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/04/2003 Case Number: 03-03926 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $225,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (372 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 378 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/08/2002 Case Number: 02-01910 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,700,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $292,462.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/14/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $107,538.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (373 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/2003 Case Number: 03-07603 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (374 of 1602) * NASD BrokerCheck October 17, 2005 Page 379 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2003 Case Number: 03-07038 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,122.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,061.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (375 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/24/2003 Case Number: 03-01023 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900,000.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (376 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 380 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/11/2002 Case Number: 02-03158 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (377 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/19/2002 Case Number: 01-01030 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,584,411.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $792,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (378 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 381 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/04/2003 Case Number: 03-07574 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,536.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (379 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/2002 Case Number: 02-07427 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $164,415.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (380 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2003 Case Number: 03-03056 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES NASD BrokerCheck October 17, 2005 Page 382 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $104,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (381 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/2003 Case Number: 03-02870 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $332,054.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,867.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,906.00; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 383 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $86,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (382 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2003 Case Number: 03-01670 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $672,094.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/26/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (383 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/2003 Case Number: 03-00634 Allegations: ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-MARGIN CALLS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 384 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (384 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/25/2002 Case Number: 02-06825 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $186,532.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (385 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/2003 Case Number: 03-05452 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,605.29 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (386 of 1602) * NASD BrokerCheck October 17, 2005 Page 385 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/2003 Case Number: 03-02431 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $358,906.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (387 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2003 Case Number: 03-02299 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $330,331.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (388 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2003 Case Number: 03-00774 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,641.00 SEVERALLY ; INTEREST, ASKED AMOUNT $33,267.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $12,500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $51,173.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 386 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $2,218,333.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,450.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $6,500.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (389 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 03-00008 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS;ANNUITIES;REAL ESTATE INVESTMENT TRUST Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,250,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/2004 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (390 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/2003 Case Number: 03-01580 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $149,489.02 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 17, 2005 Page 387 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (391 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/05/2002 Case Number: 02-04580 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $221,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $45,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $3,733.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/18/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $86,860.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/18/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (392 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/2002 Case Number: 02-07405 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (393 of 1602) * NASD BrokerCheck October 17, 2005 Page 388 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/2003 Case Number: 02-07876 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,075.63 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (394 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/04/2002 Case Number: 02-01879 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,210,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,630,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $3,630,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 389 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/12/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $285,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (395 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2003 Case Number: 03-01336 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,366.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $145,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 390 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,100.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (396 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/2002 Case Number: 02-05598 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,014,478.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $303,100.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (397 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/25/2002 Case Number: 02-04066 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES NASD BrokerCheck October 17, 2005 Page 391 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/06/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 * BROKERAGE FIRM ARBITRATION (398 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/2003 Case Number: 03-00986 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 392 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,960.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (399 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/2002 Case Number: 02-07691 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,766.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,766.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (400 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/2002 Case Number: 02-02783 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 NASD BrokerCheck October 17, 2005 Page 393 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $46,600.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (401 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/2003 Case Number: 03-07284 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (402 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 394 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/26/2003 Case Number: 03-06032 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/27/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (403 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/2003 Case Number: 03-03007 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,147.25 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $600.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,900.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (404 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/2003 Case Number: 03-01161 Allegations: ACCOUNT RELATED-EXCHANGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $363,282.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED NASD BrokerCheck October 17, 2005 Page 395 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/26/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $99,250.00 * BROKERAGE FIRM ARBITRATION (405 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/11/2003 Case Number: 03-03824 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $351,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $702,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (406 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 396 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/03/2003 Case Number: 03-02258 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-BREACH OF CONTRACT; OTHER-ON-LINE TRADING DISPUTE Type of Securities: COMMON STOCK * BROKERAGE FIRM ARBITRATION (407 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/2001 Case Number: 01-06934 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $460,745.32 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/23/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (408 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/26/2003 Case Number: 03-03939 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 397 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (409 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2002 Case Number: 02-04929 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $214,981.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (410 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2002 Case Number: 02-02159 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $255,696.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $511,392.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/16/2004 NASD BrokerCheck October 17, 2005 Page 398 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $256,165.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (411 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/2003 Case Number: 03-02166 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (412 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/2002 Case Number: 02-07452 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 399 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 04/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $55,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (413 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2003 Case Number: 03-00548 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,240.04 * BROKERAGE FIRM ARBITRATION (414 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/18/2002 Case Number: 02-00013 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 400 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (415 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2003 Case Number: 03-00389 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $425,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (416 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2002 Case Number: 02-01280 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $125,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (417 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 401 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 05/07/2003 Case Number: 03-03000 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $625.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/31/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (418 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/2003 Case Number: 03-02160 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/30/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (419 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/21/2003 Case Number: 03-00190 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; NASD BrokerCheck October 17, 2005 Page 402 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,021,628.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $4,043,256.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (420 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2002 Case Number: 02-04536 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,866.07 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/25/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (421 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/2002 NASD BrokerCheck October 17, 2005 Page 403 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-01478 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $206,691.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (422 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/2003 Case Number: 03-00352 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $363,356.08 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $321,700.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,000.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/22/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (423 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/2003 Case Number: 03-01689 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY NASD BrokerCheck October 17, 2005 Page 404 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/19/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,681.96; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (424 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/2002 Case Number: 02-07262 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $161,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,575.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; NASD BrokerCheck October 17, 2005 Page 405 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (425 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/2003 Case Number: 03-01274 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $305,960.32 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/2004 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,957.22; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,535.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,836.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/18/2004 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (426 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2003 Case Number: 03-05471 NASD BrokerCheck October 17, 2005 Page 406 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,886.22 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/17/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (427 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/2002 Case Number: 02-05492 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (428 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/07/2002 Case Number: 02-05392 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 407 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (429 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/01/2003 Case Number: 03-04364 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,301.59 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (430 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/22/2003 Case Number: 03-02945 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $260,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 408 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (431 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/21/2002 Case Number: 02-06713 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $383,318.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $766,636.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,032.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,963.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,862.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,400.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,380.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF NASD BrokerCheck October 17, 2005 Page 409 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/10/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,450.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (432 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2002 Case Number: 02-03301 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,640.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,920.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/09/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 * BROKERAGE FIRM ARBITRATION (433 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/12/2002 Case Number: 02-03259 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,596.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NASD BrokerCheck October 17, 2005 Page 410 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $21,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/08/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,000.00 * BROKERAGE FIRM ARBITRATION (434 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/23/2003 Case Number: 03-04481 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $9,688.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $770.10 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $5,225.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,466.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (435 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/2003 Case Number: 03-03750 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 411 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (436 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/2002 Case Number: 02-04382 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,231,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (437 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/2002 Case Number: 02-02253 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,225,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (438 of 1602) * NASD BrokerCheck October 17, 2005 Page 412 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/2002 Case Number: 02-03817 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,176.61 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/03/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $98,176.61 * BROKERAGE FIRM ARBITRATION (439 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/2003 Case Number: 03-00384 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,500.00 NASD BrokerCheck October 17, 2005 Page 413 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (440 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/2003 Case Number: 03-01334 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/26/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (441 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/2003 Case Number: 03-05708 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,027.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (442 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 414 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/12/2003 Case Number: 03-01610 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,291,557.94 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $2,583,115.88 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $430,519.31 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (443 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/2002 Case Number: 02-07575 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $260,179.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/25/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (444 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 415 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/14/2003 Case Number: 03-07332 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;STOCK INDEX FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $176,063.12 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $352,126.24 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (445 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2002 Case Number: 02-02103 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (446 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 416 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/03/2002 Case Number: 02-01231 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $238,384.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,663.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,204.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (447 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/2002 Case Number: 02-06525 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $224,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $672,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/13/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/13/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN NASD BrokerCheck October 17, 2005 Page 417 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,855.27 * BROKERAGE FIRM ARBITRATION (448 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/2003 Case Number: 03-00036 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; TRADING DISPUTES-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $118,294.05; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (449 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/07/2003 Case Number: 02-06410 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,000.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $170,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 418 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (450 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/06/2001 Case Number: 01-03505 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $21,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/11/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 * BROKERAGE FIRM ARBITRATION (451 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07887 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;PREFERRED STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $697,634.99 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 17, 2005 Page 419 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500,250.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (452 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/2003 Case Number: 03-02354 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (453 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/2002 Case Number: 02-05454 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $845,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; NASD BrokerCheck October 17, 2005 Page 420 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (454 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/2002 Case Number: 02-06771 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,999.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $68,187.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (455 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/12/2002 Case Number: 02-03931 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $387,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $172,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $12,586.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST NASD BrokerCheck October 17, 2005 Page 421 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (456 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/2002 Case Number: 02-02069 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $380,181.88 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (457 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/2002 Case Number: 02-00792 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,004,480.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $6,008,960.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, NASD BrokerCheck October 17, 2005 Page 422 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $699,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/06/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $699,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,000.00 * BROKERAGE FIRM ARBITRATION (458 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-04422 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,665,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $651,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,791,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,884,000.00 * BROKERAGE FIRM ARBITRATION (459 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 423 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/27/2003 Case Number: 03-00404 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,782.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (460 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/2003 Case Number: 03-00244 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/03/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/03/2004 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $52,000.00 * BROKERAGE FIRM ARBITRATION (461 of 1602) * NASD BrokerCheck October 17, 2005 Page 424 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/2002 Case Number: 02-03959 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $212,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $636,000.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212,000.00; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (462 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/2002 Case Number: 02-04246 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (463 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/2002 Case Number: 02-04389 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 425 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $135,090.68; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (464 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/22/2001 Case Number: 01-04406 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,400,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 426 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/21/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $704,036.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (465 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 427 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/11/2001 Case Number: 01-05267 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/16/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $316,871.28; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (466 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/2002 Case Number: 02-06095 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/09/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 NASD BrokerCheck October 17, 2005 Page 428 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (467 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/29/2002 Case Number: 02-00379 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/08/2004 Relief Awarded: OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (468 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/2002 Case Number: 02-07687 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (469 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/2002 Case Number: 02-07563 NASD BrokerCheck October 17, 2005 Page 429 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-MARGIN CALLS Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $611,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $611,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,601.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/02/2004 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $938,400.00 * BROKERAGE FIRM ARBITRATION (470 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/15/2003 Case Number: 02-06642 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/02/2004 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00 * BROKERAGE FIRM ARBITRATION (471 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 430 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 05/16/2003 Case Number: 03-03259 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,281.73 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,281.73; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,641.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/02/2004 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00 * BROKERAGE FIRM ARBITRATION (472 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/2003 Case Number: 03-00899 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,382.42 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2004 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (473 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 431 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 09/27/2002 Case Number: 02-05526 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,426.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/30/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00 * BROKERAGE FIRM ARBITRATION (474 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2002 Case Number: 02-04305 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $249,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (475 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/11/2002 Case Number: 02-06623 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT NASD BrokerCheck October 17, 2005 Page 432 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,531.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,397.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,625.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (476 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/2002 Case Number: 02-05886 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $223,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (477 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/05/2002 Case Number: 02-06452 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 433 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (478 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1998 Case Number: 97-05434 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,077.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (479 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/1997 Case Number: 97-03153 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,549.85 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,539.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,045.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,119.40; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,621.28 * BROKERAGE FIRM ARBITRATION (480 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 434 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1997 Case Number: 97-02420 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,849.87 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (481 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/13/1997 Case Number: 97-01195 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BONDS;GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/11/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (482 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 435 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/21/1997 Case Number: 97-00569 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS;COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (483 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/22/1997 Case Number: 97-00167 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,723.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $340.69 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/16/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,200.00; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (484 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1997 Case Number: 96-05718 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 436 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 12/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $429,361.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (485 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/24/1997 Case Number: 96-05112 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,967.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $22,339.99 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/08/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (486 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/1995 Case Number: 95-02145 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $185,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED NASD BrokerCheck October 17, 2005 Page 437 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) IN FULL * BROKERAGE FIRM ARBITRATION (487 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1994 Case Number: 94-04978 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;PREFERRED STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.01 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (488 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/29/1994 Case Number: 94-03183 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,766.25 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (489 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/1994 Case Number: 94-01777 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,539.85 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 438 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (490 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1994 Case Number: 94-00905 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $315,977.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/06/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (491 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1994 Case Number: 93-05174 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $325,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/12/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 439 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (492 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/1993 Case Number: 93-02837 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS;WARRANTS/RIGHTS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,373,988.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $8,123,988.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (493 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/1993 Case Number: 93-00667 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/29/1993 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 NASD BrokerCheck October 17, 2005 Page 440 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (494 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1992 Case Number: 92-02799 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (495 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/1990 Case Number: 90-02890 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,649.34 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/13/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (496 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 NASD BrokerCheck October 17, 2005 Page 441 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 88-02790 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,489.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $71,489.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $17,872.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/26/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,872.00 * BROKERAGE FIRM ARBITRATION (497 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02011 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,117.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,117.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $39,444.01 * BROKERAGE FIRM ARBITRATION (498 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00693 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,258,899.49 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $294,640.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $401,360.00 NASD BrokerCheck October 17, 2005 Page 442 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (499 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/05/2002 Case Number: 02-03674 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (500 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/2002 Case Number: 02-03522 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (501 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 443 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/03/2002 Case Number: 02-03329 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,700.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (502 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/13/2002 Case Number: 02-03324 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $229,015.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (503 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/13/2002 Case Number: 02-02767 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT NASD BrokerCheck October 17, 2005 Page 444 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $217,785.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (504 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/29/2000 Case Number: 00-03701 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-EXECUTION PRICE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/14/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00 * BROKERAGE FIRM ARBITRATION (505 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/30/2002 Case Number: 02-04308 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 445 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $330,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/15/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,812.00 * BROKERAGE FIRM ARBITRATION (506 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/2002 Case Number: 02-06797 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $226,186.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $161,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $29,946.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (507 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/2002 Case Number: 02-04477 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 17, 2005 Page 446 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $321,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/11/2003 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (508 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2002 Case Number: 02-02295 Allegations: ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $20,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $156,741.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (509 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2002 Case Number: 02-03559 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 447 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,816.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,986.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (510 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/2002 Case Number: 02-00958 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,900,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (511 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/04/2003 Case Number: 03-03512 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 448 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,485.03 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (512 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/2003 Case Number: 03-02181 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,810.38 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (513 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/2002 Case Number: 02-03552 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $281,696.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/24/2003 NASD BrokerCheck October 17, 2005 Page 449 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $116,357.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $103,792.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,666.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/24/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,159.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (514 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/2002 Case Number: 02-06547 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,394.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (515 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/2002 Case Number: 02-03287 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $484,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 450 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (516 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1999 Case Number: 99-00718 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $223,087.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $223,087.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/20/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,042.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,378.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $29,217.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,798.00 NASD BrokerCheck October 17, 2005 Page 451 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (517 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/2003 Case Number: 03-00790 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $115,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/20/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,023.00 * BROKERAGE FIRM ARBITRATION (518 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/2002 Case Number: 02-06601 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (519 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 452 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/25/2002 Case Number: 02-06196 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,294.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $1,942.50 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/17/2003 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,942.50 * BROKERAGE FIRM ARBITRATION (520 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/27/2002 Case Number: 02-07013 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,112.45 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (521 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/20/2002 NASD BrokerCheck October 17, 2005 Page 453 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-04612 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $757,404.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (522 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2002 Case Number: 02-04402 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2003 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,600.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/06/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,600.00 * BROKERAGE FIRM ARBITRATION (523 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2003 Case Number: 03-01540 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS NASD BrokerCheck October 17, 2005 Page 454 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,352.52 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,900.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (524 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/2002 Case Number: 02-05509 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $196,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (525 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/24/2002 Case Number: 02-06481 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/2003 NASD BrokerCheck October 17, 2005 Page 455 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,415.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (526 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/2002 Case Number: 02-05269 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $245,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $88,320.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (527 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07647 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,453.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 456 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (528 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2003 Case Number: 03-01870 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,829.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $6,609.67 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (529 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/19/2002 Case Number: 02-03225 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $67,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (530 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 457 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/05/2002 Case Number: 02-04364 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/24/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (531 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2002 Case Number: 02-02395 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $221,071.42 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $221,071.42 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/23/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,006.08 * BROKERAGE FIRM ARBITRATION (532 of 1602) * NASD BrokerCheck October 17, 2005 Page 458 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2003 Case Number: 02-07771 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,954.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,800.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,200.00 * BROKERAGE FIRM ARBITRATION (533 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/13/2000 Case Number: 00-04683 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $388,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (534 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/2002 Case Number: 01-06696 NASD BrokerCheck October 17, 2005 Page 459 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (535 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/2001 Case Number: 01-01270 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,764,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (536 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/04/2002 Case Number: 02-05754 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $325,240.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,252,400.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED NASD BrokerCheck October 17, 2005 Page 460 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (537 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/2002 Case Number: 02-02017 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;MUTUAL FUNDS;GOVERNMENT SECURITIES;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/09/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600,000.00 * BROKERAGE FIRM ARBITRATION (538 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/2002 Case Number: 02-00977 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS NASD BrokerCheck October 17, 2005 Page 461 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,510,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $191,134.25; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $29,557.65; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (539 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/2003 Case Number: 03-01438 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,124.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $8,876.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,374.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/02/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (540 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/2002 Case Number: 02-04985 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 462 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/01/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (541 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/2002 Case Number: 02-05099 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (542 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/2002 Case Number: 02-05458 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,965.22 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (543 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 463 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/23/2001 Case Number: 01-05536 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (544 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/18/2001 Case Number: 01-06750 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $234,812.51 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $115,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (545 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/2002 Case Number: 02-06227 NASD BrokerCheck October 17, 2005 Page 464 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (546 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/31/2002 Case Number: 02-02807 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $270,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,700.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $540,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $56,539.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (547 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/2002 Case Number: 02-02050 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-INCORRECT QUANTITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $101,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,926.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED NASD BrokerCheck October 17, 2005 Page 465 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/11/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $45,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (548 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/2002 Case Number: 02-00232 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,130,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 466 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (549 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/2002 Case Number: 02-05912 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,541.67 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (550 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/2002 Case Number: 02-00747 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/2003 NASD BrokerCheck October 17, 2005 Page 467 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 * BROKERAGE FIRM ARBITRATION (551 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/2001 Case Number: 01-05831 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: MUTUAL FUNDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $825,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $174,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (552 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/24/2002 Case Number: 02-03553 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $824,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/02/2003 NASD BrokerCheck October 17, 2005 Page 468 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $159,744.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (553 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/27/2001 Case Number: 01-06231 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (554 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/2002 Case Number: 02-00249 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 17, 2005 Page 469 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37,208.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/29/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00 * BROKERAGE FIRM ARBITRATION (555 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/2001 Case Number: 01-06309 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,318.17 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (556 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/25/2001 Case Number: 01-02014 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.01 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 470 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $22,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/27/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 * BROKERAGE FIRM ARBITRATION (557 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/2002 Case Number: 02-01376 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/15/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (558 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 471 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/05/2002 Case Number: 02-03545 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,370.11 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (559 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2002 Case Number: 02-04231 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER-INDEMNIFICATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,021.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,042.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,280.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,200.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,600.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (560 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/2002 Case Number: 02-02559 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE NASD BrokerCheck October 17, 2005 Page 472 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $225,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (561 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/1998 Case Number: 98-02191 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/08/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, NASD BrokerCheck October 17, 2005 Page 473 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AWARD AMOUNT $320,000.00 * BROKERAGE FIRM ARBITRATION (562 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/11/2002 Case Number: 02-05250 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (563 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-04441 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $106,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (564 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 474 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/28/2002 Case Number: 02-04431 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,999.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/21/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,000.00 * BROKERAGE FIRM ARBITRATION (565 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/2002 Case Number: 02-02370 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,200.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $9,566.52 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $855.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 07/30/2003 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (566 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2002 Case Number: 02-00037 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT NASD BrokerCheck October 17, 2005 Page 475 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/30/2003 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (567 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/09/2001 Case Number: 01-00613 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $896,400.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $837,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,600.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (568 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 476 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 09/23/2002 Case Number: 02-04453 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;ANNUITIES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103,220.27 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,748.24 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $15,500.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,316.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,822.28 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,133.72; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,500.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/24/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (569 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/2002 Case Number: 02-02456 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,125.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,125.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,125.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/24/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,000.00 * BROKERAGE FIRM ARBITRATION (570 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 477 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/20/2002 Case Number: 02-04804 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,184.64 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (571 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/31/2001 Case Number: 01-05486 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $207,179.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,453.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (572 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 478 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/06/2001 Case Number: 01-04051 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (573 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2002 Case Number: 02-04630 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $86,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,900.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/21/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (574 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/03/2002 Case Number: 02-04260 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 479 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (575 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/2002 Case Number: 02-04965 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/16/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,700.00 * BROKERAGE FIRM ARBITRATION (576 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/2002 Case Number: 02-03534 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,245.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 480 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (577 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2002 Case Number: 02-01720 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,759.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,757.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/14/2003 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (578 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/2002 Case Number: 01-07176 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 NASD BrokerCheck October 17, 2005 Page 481 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $350,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/11/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (579 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/2002 Case Number: 02-00211 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $92,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/08/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (580 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/23/2002 NASD BrokerCheck October 17, 2005 Page 482 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-02838 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,350,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,650,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 07/07/2003 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (581 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07858 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,630.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,900.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $278.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $4,772.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,630.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $278.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/02/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (582 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 483 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/04/2002 Case Number: 02-01792 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (583 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/2002 Case Number: 02-01088 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,956.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/30/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,132.00; INTEREST, RELIEF HAS BEEN NASD BrokerCheck October 17, 2005 Page 484 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00 * BROKERAGE FIRM ARBITRATION (584 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/2003 Case Number: 02-07809 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,332.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (585 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/2002 Case Number: 02-03990 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $143,084.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/26/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (586 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/15/2002 Case Number: 02-00172 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 17, 2005 Page 485 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE Type of Securities: REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $208,878.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/26/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $71,761.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (587 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/12/2002 Case Number: 02-01363 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $486,670.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $214,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (588 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2002 Case Number: 02-02179 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,285.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $415.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY; OTHER MONETARY NASD BrokerCheck October 17, 2005 Page 486 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/20/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,285.00 * BROKERAGE FIRM ARBITRATION (589 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/2002 Case Number: 02-01769 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $220,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/19/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,173.00 * BROKERAGE FIRM ARBITRATION (590 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/2002 Case Number: 02-02710 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $870,272.94 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, NASD BrokerCheck October 17, 2005 Page 487 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (591 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2002 Case Number: 02-00505 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $166,653.05 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $79,513.10 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,710.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/17/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (592 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/30/2002 Case Number: 02-02997 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $356,823.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 488 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $371,641.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (593 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/01/2001 Case Number: 01-05807 NASD BrokerCheck October 17, 2005 Page 489 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $265,174.82 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $795,524.46 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $353,566.43 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (594 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2003 Case Number: 02-07370 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,938.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/16/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/16/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $106.25 * BROKERAGE FIRM ARBITRATION (595 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/06/2001 Case Number: 01-04713 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 490 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,200.00 * BROKERAGE FIRM ARBITRATION (596 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2002 Case Number: 01-07098 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $78,907.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $975.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,028.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (597 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/15/2002 Case Number: 02-01422 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 17, 2005 Page 491 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (598 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/2002 Case Number: 02-00862 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/2003 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (599 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2002 Case Number: 02-04629 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,822.00 SEVERALLY ; INTEREST, ASKED AMOUNT $682.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,078.75; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (600 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2002 Case Number: 02-04478 NASD BrokerCheck October 17, 2005 Page 492 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/03/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (601 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/2000 Case Number: 00-04163 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (602 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/2000 Case Number: 00-05231 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 493 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/30/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,541,857.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,932.98; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,391.00; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/30/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (603 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/26/2001 Case Number: 01-03886 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $222,554.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/30/2003 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,912.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $113,000.00 * BROKERAGE FIRM ARBITRATION (604 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/2002 NASD BrokerCheck October 17, 2005 Page 494 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-01016 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/2003 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,765.16; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (605 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/2001 Case Number: 01-05981 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 495 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (606 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/2002 Case Number: 02-01873 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (607 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/2001 Case Number: 01-04007 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,950,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00; OTHER MONETARY NASD BrokerCheck October 17, 2005 Page 496 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $262,948.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (608 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/2002 Case Number: 02-04770 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $875.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $875.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/19/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,250.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (609 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/2001 Case Number: 01-06397 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 497 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $289,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,704.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/12/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (610 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/2001 Case Number: 01-04072 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/12/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (611 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/2000 Case Number: 00-03831 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,600,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 498 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/09/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $272,708.50; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (612 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/2001 Case Number: 01-06737 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,867.39 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 499 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (613 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/2001 Case Number: 01-04013 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (614 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/2002 Case Number: 02-05996 Allegations: EXECUTIONS-EXECUTION PRICE; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,639.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $325.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 NASD BrokerCheck October 17, 2005 Page 500 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (615 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/12/2002 Case Number: 02-00006 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $207,229.28 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/02/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/02/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $174,187.20; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (616 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/2002 Case Number: 02-06252 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,010.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,378.28; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 501 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (617 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/02/2002 Case Number: 02-03765 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MANIPULATION; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,329.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/01/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,603.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $318.75; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (618 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/2001 Case Number: 01-05332 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/29/2003 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (619 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/31/2002 NASD BrokerCheck October 17, 2005 Page 502 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 02-00011 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $960,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (620 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/2002 Case Number: 02-03447 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/24/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (621 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2002 Case Number: 01-06708 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $450,000.00 NASD BrokerCheck October 17, 2005 Page 503 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/17/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (622 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/2002 Case Number: 02-02077 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $161,116.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $950.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $1,425.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,865.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,343.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,792.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (623 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 504 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 06/24/2002 Case Number: 02-03555 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,089.86 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $910.14 SEVERALLY ; INTEREST, ASKED AMOUNT $572.58 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (624 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/2002 Case Number: 02-03676 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,564.26 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.01 SEVERALLY ; INTEREST, ASKED AMOUNT $0.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.01 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.01 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.01 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,548.70; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (625 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2002 Case Number: 02-02595 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 505 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/14/2003 Relief Awarded: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (626 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/2002 Case Number: 02-00687 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/10/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/10/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $220.00 * BROKERAGE FIRM ARBITRATION (627 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/2002 Case Number: 02-01140 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $850,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 506 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 04/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (628 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/2002 Case Number: 02-03927 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,750.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/04/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (629 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/27/2001 Case Number: 01-02046 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,227.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/03/2003 NASD BrokerCheck October 17, 2005 Page 507 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/03/2003 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $840.00 * BROKERAGE FIRM ARBITRATION (630 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/22/2002 Case Number: 02-00132 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $472,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (631 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/25/2002 Case Number: 02-06251 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,452.56 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,050.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/26/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (632 of 1602) * NASD BrokerCheck October 17, 2005 Page 508 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/2002 Case Number: 02-00487 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,666.66; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (633 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/2002 Case Number: 01-05965 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (634 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/2002 Case Number: 02-00234 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CERTIFICATE OF DEPOSIT;FANNY MAE Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 509 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (635 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/2001 Case Number: 01-06453 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $132,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $57,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (636 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/2001 Case Number: 01-04763 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 510 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (637 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/2001 Case Number: 01-01520 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $240,280.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $134,550.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,930.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,930.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,890.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00 * BROKERAGE FIRM ARBITRATION (638 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/2001 Case Number: 01-02873 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,702.95 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 511 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (639 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/18/2001 Case Number: 01-01813 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; TRADING DISPUTES-STOCK LOANS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $37,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,237.11; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (640 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/2002 Case Number: 02-05918 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,291.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/03/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 NASD BrokerCheck October 17, 2005 Page 512 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (642 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/2002 Case Number: 02-00637 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: ANNUITIES;COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $780,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (643 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 513 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 07/23/2001 Case Number: 01-03838 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/27/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (644 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/26/2001 Case Number: 01-02780 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $20,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,033,230.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/24/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $117,000.00 * BROKERAGE FIRM ARBITRATION (645 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/2001 Case Number: 01-02677 NASD BrokerCheck October 17, 2005 Page 514 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $712,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $53,776.78; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (646 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/09/2002 Case Number: 02-03204 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-TRANSFER Type of Securities: FREDDIE MACS;COMMON STOCK;FANNY MAE;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,782.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (647 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/2002 Case Number: 02-00785 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,416.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/19/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 515 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/19/2003 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (648 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/2001 Case Number: 01-04060 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (649 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2001 Case Number: 01-02577 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,899,838.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 516 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,884,463.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $253,156.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (650 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/2000 Case Number: 00-02403 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $58,855.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/11/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/11/2003 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00 * BROKERAGE FIRM ARBITRATION (651 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/2001 Case Number: 01-04203 NASD BrokerCheck October 17, 2005 Page 517 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (652 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/2002 Case Number: 02-05166 Allegations: ACCOUNT RELATED-TRANSFER; TRADING DISPUTES-SELL OUTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,047.63 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $263.12 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $175.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,047.63; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (653 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/2002 Case Number: 02-00117 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $360,535.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 518 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,360.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (654 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2002 Case Number: 02-00278 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2003 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $237,673.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/30/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00 * BROKERAGE FIRM ARBITRATION (655 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/2001 Case Number: 01-06174 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2003 NASD BrokerCheck October 17, 2005 Page 519 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (656 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/2002 Case Number: 02-04701 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,356.63 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $175.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (657 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/2001 Case Number: 01-06755 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 520 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (658 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/2001 Case Number: 01-01184 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/28/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $702,371.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $702,371.00 * BROKERAGE FIRM ARBITRATION (659 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/2001 Case Number: 01-03698 Allegations: ACCOUNT RELATED-MARGIN CALLS; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 521 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (660 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/2001 Case Number: 01-06242 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $720,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $606,682.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $143,318.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/22/2003 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (661 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/2001 Case Number: 01-05877 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;MUTUAL FUNDS Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $283,123.10 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 522 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/2003 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,699.49; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,796.25; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/22/2003 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (662 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/2001 Case Number: 01-05618 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/14/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (663 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/2002 Case Number: 02-00527 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MANIPULATION; TRADING DISPUTES-TRANSFERS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,958.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,979.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/13/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 523 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/13/2003 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,496.94; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (664 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2002 Case Number: 02-00503 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/08/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,630.17; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $56,590.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (665 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/2001 Case Number: 01-00536 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $350,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 524 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (666 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/2001 Case Number: 01-05542 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: ANNUITIES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $92,011.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/07/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (667 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/2001 Case Number: 01-04073 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $186,700.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/03/2003 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (668 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 525 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 02/28/2001 Case Number: 00-05541 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/31/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/31/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 * BROKERAGE FIRM ARBITRATION (669 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/16/2001 Case Number: 01-04935 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; OTHER-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $164,888.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $164,888.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, NASD BrokerCheck October 17, 2005 Page 526 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (670 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/2000 Case Number: 00-04804 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/26/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (671 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/2001 Case Number: 01-03369 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $247,089.37 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 527 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $256,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (672 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2002 Case Number: 02-03046 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,652.80 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (673 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/2001 Case Number: 01-04093 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; NASD BrokerCheck October 17, 2005 Page 528 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (674 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/17/2000 Case Number: 00-00194 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (675 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/2001 Case Number: 01-00375 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,400,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (676 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 529 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/25/2001 Case Number: 01-05615 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $370,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/03/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (677 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/2001 Case Number: 01-01902 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/02/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $42,500.00 * BROKERAGE FIRM ARBITRATION (678 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/2002 Case Number: 02-02373 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 530 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/27/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (679 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/29/2002 Case Number: 02-03868 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-DIVIDENDS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,862.75 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $4,121.25 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/26/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (680 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/18/2001 Case Number: 01-02559 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK * BROKERAGE FIRM ARBITRATION (681 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/2001 Case Number: 00-04580 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; NASD BrokerCheck October 17, 2005 Page 531 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/21/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00 * BROKERAGE FIRM ARBITRATION (682 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/2000 Case Number: 00-02837 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $158,721.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $5,648.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $178,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,648.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/21/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (683 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/13/2000 Case Number: 00-01315 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT NASD BrokerCheck October 17, 2005 Page 532 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: CORPORATE BONDS;MUTUAL FUNDS;OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $511,062.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (684 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/06/2000 Case Number: 00-01314 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,226,480.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $511,062.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (685 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/2002 Case Number: 02-01421 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 533 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/15/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (686 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/2001 Case Number: 01-02625 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $312,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (687 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/2002 Case Number: 02-00568 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL NASD BrokerCheck October 17, 2005 Page 534 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (688 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/2000 Case Number: 00-04521 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,790.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (689 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2001 Case Number: 01-02785 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/06/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,200.00 NASD BrokerCheck October 17, 2005 Page 535 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (690 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/2000 Case Number: 00-05585 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUNICIPAL BONDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (691 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/2001 Case Number: 01-02982 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,780.50 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (692 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/04/2001 Case Number: 01-05189 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 17, 2005 Page 536 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $294,476.42 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $300.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (693 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/2001 Case Number: 01-05210 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-COLLECTION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $333,333.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $666,667.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (694 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/05/2001 Case Number: 00-05729 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS NASD BrokerCheck October 17, 2005 Page 537 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $447,750.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $477,750.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/18/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,500.00 * BROKERAGE FIRM ARBITRATION (695 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/2001 Case Number: 01-00781 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $126,747.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $2,200.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,894.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (696 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/18/2001 Case Number: 01-02610 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $395,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, NASD BrokerCheck October 17, 2005 Page 538 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: PENDING Disposition Date: Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (697 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/2001 Case Number: 01-00923 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,374.40; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (698 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/1999 Case Number: 99-04357 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,120,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,800,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/2002 NASD BrokerCheck October 17, 2005 Page 539 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/26/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $129,000.00 * BROKERAGE FIRM ARBITRATION (699 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2002 Case Number: 02-03019 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $255.50 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/24/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (700 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/2002 Case Number: 02-02049 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,257.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (701 of 1602) * NASD BrokerCheck October 17, 2005 Page 540 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/23/2001 Case Number: 01-05573 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $218,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $654,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $375.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (702 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/2001 Case Number: 01-00860 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (703 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 541 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 02/25/2002 Case Number: 02-00836 Allegations: ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-EXCHANGES; OTHER-CLEARING DISPUTES Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $16,416.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $875.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (704 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/11/2001 Case Number: 01-02382 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,575.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (705 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/19/2001 Case Number: 01-01244 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,490,200.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 542 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/28/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/28/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (706 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/2001 Case Number: 01-02232 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,951,368.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/23/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (707 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/2002 Case Number: 02-00699 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 543 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 08/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (708 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/04/2001 Case Number: 01-02264 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $81,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (709 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/2001 Case Number: 00-05094 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 17, 2005 Page 544 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/19/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (710 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/2000 Case Number: 00-05667 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,311.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/16/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (711 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2001 Case Number: 01-02064 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,454.97 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED NASD BrokerCheck October 17, 2005 Page 545 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/01/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,991.27; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (712 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/2000 Case Number: 00-04443 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (713 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/24/2001 Case Number: 01-02708 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 NASD BrokerCheck October 17, 2005 Page 546 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/25/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/25/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (714 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/2001 Case Number: 00-05751 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/18/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (715 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1999 Case Number: 99-04819 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/16/2002 NASD BrokerCheck October 17, 2005 Page 547 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (716 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/2000 Case Number: 00-04531 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.01 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $53,196.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,777.34; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (717 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/03/2001 Case Number: 01-02955 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $117,749.83 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/03/2002 NASD BrokerCheck October 17, 2005 Page 548 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $117,854.83; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/03/2002 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (718 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/14/2000 Case Number: 00-03152 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/03/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (719 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/2001 Case Number: 01-02128 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $276,735.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $46,230.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (720 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 549 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/06/2001 Case Number: 01-05898 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (721 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/2001 Case Number: 00-05757 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/02/2002 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/02/2002 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100,000.00 * BROKERAGE FIRM ARBITRATION (722 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/22/2002 Case Number: 01-06374 NASD BrokerCheck October 17, 2005 Page 550 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,875.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,998.81; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00 * BROKERAGE FIRM ARBITRATION (723 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/2001 Case Number: 00-05507 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,400.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,650.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (724 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/2001 Case Number: 01-01466 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 551 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 * BROKERAGE FIRM ARBITRATION (725 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/2000 Case Number: 00-03511 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS;COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,294,560.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/13/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (726 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/2000 Case Number: 00-04421 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $599,200.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (727 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 552 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 12/18/2001 Case Number: 01-06596 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,301.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $181.56 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $1,100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/05/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (728 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/01/2000 Case Number: 00-03568 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,300,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/04/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $135,444.10; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (729 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1999 Case Number: 99-02450 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.01 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/2002 NASD BrokerCheck October 17, 2005 Page 553 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $376,976.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/31/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,231.02; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,200.00 * BROKERAGE FIRM ARBITRATION (730 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/2001 Case Number: 01-05693 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,177.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (731 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/2001 Case Number: 01-04349 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,374.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $37.50 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/20/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37.50 * BROKERAGE FIRM ARBITRATION (732 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 554 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/20/2000 Case Number: 00-05031 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,500.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/15/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (733 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/2001 Case Number: 01-06228 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/08/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (734 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/2001 Case Number: 01-06350 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 555 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,750.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (735 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/20/2000 Case Number: 00-04054 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.01 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $287,799.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/25/2002 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01 * BROKERAGE FIRM ARBITRATION (736 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/2001 Case Number: 01-02047 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $631,558.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 556 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/24/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $192,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (737 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/2001 Case Number: 01-04391 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-TRANSFER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,440.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/22/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $75.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,440.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/22/2002 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $330.00 * BROKERAGE FIRM ARBITRATION (738 of 1602) * NASD BrokerCheck October 17, 2005 Page 557 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/13/2001 Case Number: 01-05652 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-INCORRECT QUANTITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; TRADING DISPUTES-TRANSFERS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/17/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (739 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/2001 Case Number: 01-02065 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,317.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/01/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,317.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (740 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/2000 Case Number: 00-04600 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,911.36 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 558 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (741 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/2000 Case Number: 00-03050 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,600,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (742 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/21/2001 Case Number: 01-00742 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/2002 NASD BrokerCheck October 17, 2005 Page 559 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $99,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $225.00; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (743 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/21/2001 Case Number: 01-02556 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS;COMMON STOCK;MUNICIPAL BONDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,096.25 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $425.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/29/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (744 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/1999 Case Number: 99-02160 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,660.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $83,879.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/09/2002 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 560 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $17,009.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,679.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (745 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1999 Case Number: 99-05049 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/17/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (746 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/2000 Case Number: 00-03453 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $342,864.97 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 561 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/27/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (747 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/2000 Case Number: 00-05270 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $207,107.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/31/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,621.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (748 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/11/2001 Case Number: 00-01376 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,206.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (749 of 1602) * NASD BrokerCheck October 17, 2005 Page 562 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/2000 Case Number: 00-02631 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $918,714.02 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (750 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/1999 Case Number: 99-04352 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $972,710.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $318,562.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (751 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/2000 Case Number: 00-05222 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT NASD BrokerCheck October 17, 2005 Page 563 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/28/2001 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $1,750.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/28/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,961.25; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,645.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (752 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/2000 Case Number: 99-05307 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $269,116.25 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (753 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/2000 NASD BrokerCheck October 17, 2005 Page 564 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 00-00080 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS;COMMON STOCK Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/24/2001 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,562.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $159,125.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/24/2001 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (754 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/31/2000 Case Number: 00-03134 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;CORPORATE BONDS;MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $563,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $36,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $926.50 * BROKERAGE FIRM ARBITRATION (755 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/27/2000 Case Number: 00-05059 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 NASD BrokerCheck October 17, 2005 Page 565 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.01 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/25/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (756 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/17/2000 Case Number: 99-05458 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,228.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/14/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (757 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/2000 Case Number: 00-00133 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,404.29 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/05/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 566 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (758 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1999 Case Number: 99-01914 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/22/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (759 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/28/2000 Case Number: 99-05231 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (760 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/2000 Case Number: 00-00675 NASD BrokerCheck October 17, 2005 Page 567 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $163,645.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (761 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/1999 Case Number: 99-04175 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $256,410.22 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,927.05; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (762 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/2000 Case Number: 00-03413 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,978.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $425.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $1,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 568 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 04/16/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (763 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/2000 Case Number: 99-05112 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,604.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/11/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,302.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $212.50 * BROKERAGE FIRM ARBITRATION (764 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/22/1999 Case Number: 99-05032 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,499.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $114,998.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/09/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,866.83; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,770.45; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $300.00 * BROKERAGE FIRM ARBITRATION (765 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 569 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/13/1999 Case Number: 99-03697 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $785,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/28/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (766 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/2000 Case Number: 00-01326 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,999.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/08/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,108.41; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (767 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 570 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/15/1999 Case Number: 99-03558 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $58,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $116,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (768 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/1997 Case Number: 97-05307 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $107,716.50 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $8,282.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,000,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/22/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (769 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/15/1999 Case Number: 99-03566 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 17, 2005 Page 571 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,283.51 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $117,491.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,582.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $91,568.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (770 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1999 Case Number: 99-04802 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $360,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,162.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 572 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (771 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/2000 Case Number: 00-01900 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $75.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $500.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/19/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (772 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/2000 Case Number: 00-01203 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $8,958.79 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $4,300.22 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/13/2000 NASD BrokerCheck October 17, 2005 Page 573 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,958.79; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,300.22 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,900.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/13/2000 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,876.38 * BROKERAGE FIRM ARBITRATION (773 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1999 Case Number: 99-04522 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,200.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/18/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,861.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (774 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/1999 Case Number: 99-03587 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 NASD BrokerCheck October 17, 2005 Page 574 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (775 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/2000 Case Number: 00-02262 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,436.44 SEVERALLY ; INTEREST, ASKED AMOUNT $8,328.31 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (776 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1999 Case Number: 99-02564 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $320,037.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (777 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1999 Case Number: 99-05025 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT NASD BrokerCheck October 17, 2005 Page 575 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $650,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (778 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1999 Case Number: 99-03464 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,243.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,659.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,361.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (779 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/07/1999 Case Number: 99-02038 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,755.61 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/18/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 576 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (780 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/17/1998 Case Number: 98-00767 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/17/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (781 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/31/1999 Case Number: 99-00953 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/10/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (782 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 577 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/23/1999 Case Number: 99-02984 Allegations: OTHER-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,909.54 SEVERALLY ; INTEREST, ASKED AMOUNT $37.51 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/04/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/04/2000 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $162.50 * BROKERAGE FIRM ARBITRATION (783 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/21/1999 Case Number: 98-04900 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $280,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/29/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (784 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/2000 Case Number: 00-03699 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,921.24 NASD BrokerCheck October 17, 2005 Page 578 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/03/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (785 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/17/2000 Case Number: 00-02929 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $360,950.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,500,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/02/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $56,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (786 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/2000 Case Number: 00-02341 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,181,947.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 579 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (787 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/2000 Case Number: 00-02402 Allegations: EXECUTIONS-OTHER; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,104.16; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (788 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/22/2000 Case Number: 00-03514 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $3,925.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/20/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,731.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 580 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (789 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/2000 Case Number: 99-05126 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $228,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $35,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $684,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $102,602.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (790 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/1999 Case Number: 99-03698 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,131.13 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,425.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (791 of 1602) * NASD BrokerCheck October 17, 2005 Page 581 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/11/1999 Case Number: 99-02512 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $85,628.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/11/2001 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (792 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/1999 Case Number: 99-02191 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 582 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (794 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1999 Case Number: 99-00732 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,591,878.34 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,408,121.66 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (795 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/12/1999 Case Number: 99-02503 NASD BrokerCheck October 17, 2005 Page 583 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $242,789.70 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $0.01; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (796 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1999 Case Number: 99-01499 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,369,316.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (797 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1999 Case Number: 99-02004 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/11/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (798 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 584 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 11/11/1998 Case Number: 98-04158 Allegations: ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $215,565.76 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $77,600.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (799 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/1999 Case Number: 98-03451 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/27/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (800 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1999 Case Number: 99-02122 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; OTHER-DEFAMATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $379,138.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,515.00 NASD BrokerCheck October 17, 2005 Page 585 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (801 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/1999 Case Number: 99-03484 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $422,535.85 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/12/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (802 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1999 Case Number: 99-02250 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/14/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (803 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/19/1999 Case Number: 99-00063 NASD BrokerCheck October 17, 2005 Page 586 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $420,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $130,000.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $94,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $74,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (804 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/23/1999 Case Number: 99-02602 Allegations: ACCOUNT RELATED-OTHER; EXECUTIONS-OTHER; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,907.25 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,907.25 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/23/2000 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $325.00 * BROKERAGE FIRM ARBITRATION (805 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 587 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 07/23/1999 Case Number: 99-02601 Allegations: ACCOUNT RELATED-OTHER; EXECUTIONS-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,907.25 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/08/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,907.25 * BROKERAGE FIRM ARBITRATION (806 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/26/1999 Case Number: 99-01319 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,946.90 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (807 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/15/1999 Case Number: 99-00276 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, NASD BrokerCheck October 17, 2005 Page 588 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (808 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1999 Case Number: 99-02532 Allegations: ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS;MUTUAL FUNDS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $239.25 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/16/2000 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (809 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/04/1999 Case Number: 98-04141 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/07/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (810 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/23/1998 Case Number: 98-01097 NASD BrokerCheck October 17, 2005 Page 589 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/29/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (811 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1999 Case Number: 99-01583 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (812 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1999 Case Number: 99-01674 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,253.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 590 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (813 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/29/1999 Case Number: 99-01480 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,536.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $400.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/22/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,536.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $425.00 * BROKERAGE FIRM ARBITRATION (814 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1999 Case Number: 99-00941 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,862.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/21/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (815 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1999 Case Number: 98-03654 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-OTHER NASD BrokerCheck October 17, 2005 Page 591 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,460.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (816 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/01/1999 Case Number: 99-01220 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/12/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (817 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1999 Case Number: 99-00711 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $306,771.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/05/2000 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 592 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (818 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1998 Case Number: 98-03615 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $391,408.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/17/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $133,788.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (819 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/16/1998 Case Number: 98-03586 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $305,457.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (820 of 1602) * NASD BrokerCheck October 17, 2005 Page 593 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/1998 Case Number: 97-05875 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,875.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,435.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,100.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (821 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/24/1998 Case Number: 98-04285 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $118,682.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $43,554.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (822 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 594 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 11/03/1998 Case Number: 98-04040 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $54,312.50 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,348.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (823 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/1997 Case Number: 97-02468 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,890,727.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/01/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (824 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1999 Case Number: 99-00632 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 595 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/01/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (825 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1998 Case Number: 98-03563 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,421,011.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/30/1999 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $256,900.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (826 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/1998 Case Number: 98-00760 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,250.55 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $68,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,371.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/18/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 596 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950.00 * BROKERAGE FIRM ARBITRATION (827 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1998 Case Number: 98-00589 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUNICIPAL BONDS;WARRANTS/RIGHTS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (828 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1998 Case Number: 98-00513 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;PREFERRED STOCK;CORPORATE BONDS;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $105,629.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,050.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 597 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $12,500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (829 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/10/1998 Case Number: 98-00425 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (830 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/17/1998 Case Number: 98-00404 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,183.09 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (831 of 1602) * NASD BrokerCheck October 17, 2005 Page 598 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1998 Case Number: 98-00201 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,662.11 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/01/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/01/1998 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (832 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1998 Case Number: 98-00178 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES * BROKERAGE FIRM ARBITRATION (833 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/09/1998 Case Number: 98-00031 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/30/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 599 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,730.48 * BROKERAGE FIRM ARBITRATION (834 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/06/1998 Case Number: 97-05826 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (835 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/1998 Case Number: 97-05527 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $517,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/09/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; OTHER NASD BrokerCheck October 17, 2005 Page 600 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 * BROKERAGE FIRM ARBITRATION (836 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/23/1997 Case Number: 97-05408 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,760.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (837 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1998 Case Number: 97-05291 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 601 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/14/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (838 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/10/1997 Case Number: 97-05277 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $109,390.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $328,170.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.01 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 602 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (839 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/06/1997 Case Number: 97-05205 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (840 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/1997 Case Number: 97-05022 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/16/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (841 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 603 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 12/08/1997 Case Number: 97-04944 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/17/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/17/1998 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (842 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/1997 Case Number: 97-04920 Allegations: ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,600.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/04/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $570.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/04/1998 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (843 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1997 Case Number: 97-04885 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 604 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 01/25/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,187.50; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (844 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1997 Case Number: 97-04866 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;ANNUITIES;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $168,212.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $168,212.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/08/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,734.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (845 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/19/1997 Case Number: 97-04557 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY NASD BrokerCheck October 17, 2005 Page 605 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/16/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (846 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/06/1997 Case Number: 97-04499 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,976,846.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/18/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (847 of 1602) * NASD BrokerCheck October 17, 2005 Page 606 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/1997 Case Number: 97-04271 Allegations: ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,735.50 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (848 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/1997 Case Number: 97-04247 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: GINNIE MAES;OTHER TYPES OF SECURITIES;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $160,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $320,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/08/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200.00 * BROKERAGE FIRM ARBITRATION (849 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/02/1997 Case Number: 97-04207 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, NASD BrokerCheck October 17, 2005 Page 607 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,800.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $560.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (850 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1997 Case Number: 97-04171 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/30/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (851 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1997 Case Number: 97-04071 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,500.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 608 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (852 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/09/1997 Case Number: 97-03556 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $113,045.34 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (853 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/1997 Case Number: 97-03380 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,829.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (854 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/20/1997 Case Number: 97-02978 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 609 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/05/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $44,182.28; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (855 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1997 Case Number: 97-02908 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/08/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (856 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1997 Case Number: 97-02751 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS;COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $350,000.00 NASD BrokerCheck October 17, 2005 Page 610 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (857 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/16/1997 Case Number: 97-02685 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (858 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/1997 Case Number: 97-02436 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 NASD BrokerCheck October 17, 2005 Page 611 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (859 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/14/1997 Case Number: 97-02265 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,243.88 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/14/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (860 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/05/1997 Case Number: 97-02088 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-OTHER Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,651.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/12/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (861 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1997 Case Number: 97-02003 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;ANNUITIES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $38,285.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 612 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (862 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/1997 Case Number: 97-01981 Allegations: ACCOUNT RELATED-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/25/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,583.34; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,416.66 * BROKERAGE FIRM ARBITRATION (863 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/1997 Case Number: 97-01757 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (864 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1997 Case Number: 97-01478 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 613 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,150.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $186,150.21 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/31/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (865 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1997 Case Number: 97-01129 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (866 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1997 Case Number: 97-01112 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,495.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF NASD BrokerCheck October 17, 2005 Page 614 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (867 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1997 Case Number: 97-00969 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (868 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1997 Case Number: 97-00931 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $115,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/28/1998 Relief Awarded: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (869 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 615 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 04/17/1997 Case Number: 97-00716 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (870 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/13/1997 Case Number: 97-00656 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS;COMMON STOCK;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,214.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (871 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/11/1997 Case Number: 97-00546 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/18/1997 NASD BrokerCheck October 17, 2005 Page 616 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (872 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/06/1997 Case Number: 97-00410 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK * BROKERAGE FIRM ARBITRATION (873 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1997 Case Number: 97-00238 Allegations: ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/04/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (874 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1997 Case Number: 97-00107 Allegations: ACCOUNT RELATED-OTHER; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,878.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 617 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (875 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/1997 Case Number: 96-05725 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,783.38 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13.38 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/30/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 * BROKERAGE FIRM ARBITRATION (876 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1997 Case Number: 96-05583 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,844.66 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (877 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 618 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/13/1996 Case Number: 96-05406 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OTHER TYPES OF SECURITIES;FREDDIE MACS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $51,403.36 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,600,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/24/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (878 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1996 Case Number: 96-05341 Allegations: EXECUTIONS-EXECUTION PRICE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (879 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/16/1997 Case Number: 96-05311 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 619 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS;MUNICIPAL BOND FUNDS;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,453.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (880 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/1996 Case Number: 96-05193 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/07/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (881 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/11/1996 Case Number: 96-04983 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 620 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/08/1999 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,444.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,905.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (882 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/13/1996 Case Number: 96-04866 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $299,100.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,550.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (883 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1996 Case Number: 96-04699 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; DECLARATORY JUDGEMENT, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/1998 Relief Awarded: DECLARATORY JUDGEMENT, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 621 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (884 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/1996 Case Number: 96-04474 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,778.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/11/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (885 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/21/1996 Case Number: 96-04361 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 622 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (886 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/03/1996 Case Number: 96-04352 Allegations: ACCOUNT RELATED-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,047.62 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,031.05 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/10/1997 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $118.47; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (887 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1996 Case Number: 96-04208 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,400.36 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (888 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/02/1996 Case Number: 96-04039 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS;REAL ESTATE INVESTMENT TRUST;ANNUITIES NASD BrokerCheck October 17, 2005 Page 623 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $808.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,145.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/25/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/25/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (889 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1996 Case Number: 96-04031 Allegations: EXECUTIONS-OTHER; ACCOUNT RELATED-TRANSFER Type of Securities: GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $173,625.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (890 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/28/1996 Case Number: 96-03669 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;COMMON STOCK;GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 624 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,999.00 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/12/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (891 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/24/1996 Case Number: 96-03633 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,982.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT * BROKERAGE FIRM ARBITRATION (892 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/26/1996 Case Number: 96-03568 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,672.61 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/12/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (893 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 625 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/29/1996 Case Number: 96-03488 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/23/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (894 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1996 Case Number: 96-03249 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 04/10/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (895 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/04/1996 Case Number: 96-03245 Allegations: EXECUTIONS-LIMIT V. MARKET ORDER; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,760.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 626 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/10/1997 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (896 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/24/1996 Case Number: 96-03137 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $31,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (897 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1996 Case Number: 96-03101 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,871,158.28 SEVERALLY ; INTEREST, ASKED AMOUNT $561,347.46 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,871,158.28 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $561,347.46 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,871,158.28; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $561,347.46; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (898 of 1602) * NASD BrokerCheck October 17, 2005 Page 627 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/22/1996 Case Number: 96-02734 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,489.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/17/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN NASD BrokerCheck October 17, 2005 Page 628 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 * BROKERAGE FIRM ARBITRATION (899 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/11/1996 Case Number: 96-02494 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: GOVERNMENT SECURITIES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $520,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/29/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (900 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1996 Case Number: 96-02478 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 629 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $152,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $31,281.68 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (901 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/1996 Case Number: 96-01997 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $47,098.43 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,312.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,937.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/16/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (902 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/24/1996 Case Number: 96-01840 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 630 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,903.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (903 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/1996 Case Number: 96-01815 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/04/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (904 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/1996 Case Number: 96-01763 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (905 of 1602) * NASD BrokerCheck October 17, 2005 Page 631 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/24/1996 Case Number: 96-01722 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,760.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/06/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (906 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/1996 Case Number: 96-01667 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (907 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/1996 Case Number: 96-01618 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS NASD BrokerCheck October 17, 2005 Page 632 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,741.74 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (908 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/09/1996 Case Number: 96-01414 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (909 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/1996 Case Number: 96-01323 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/1996 NASD BrokerCheck October 17, 2005 Page 633 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (910 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1996 Case Number: 96-01318 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (911 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1996 Case Number: 96-01263 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-TRANSFER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (912 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1996 Case Number: 96-01253 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS NASD BrokerCheck October 17, 2005 Page 634 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $235,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (913 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1996 Case Number: 96-01229 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (914 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/1996 Case Number: 96-01164 Allegations: TRADING DISPUTES-SELL OUTS Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,846.14 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (915 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 635 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1996 Case Number: 96-01127 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,064.12 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/18/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,032.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/18/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (916 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/16/1996 Case Number: 96-01072 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: PREFERRED STOCK;CORPORATE BONDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/30/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (917 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1996 Case Number: 96-01016 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $260,250.00 NASD BrokerCheck October 17, 2005 Page 636 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (918 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/1996 Case Number: 96-00964 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,155.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $58,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (919 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1996 Case Number: 96-00863 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (920 of 1602) * NASD BrokerCheck October 17, 2005 Page 637 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1996 Case Number: 96-00730 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-MARGIN CALLS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,952.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/23/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,912.00 * BROKERAGE FIRM ARBITRATION (921 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1996 Case Number: 96-00728 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (922 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1996 Case Number: 96-00596 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,245.08 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $50.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $332.67; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 NASD BrokerCheck October 17, 2005 Page 638 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (923 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1996 Case Number: 96-00551 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,344.95 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (924 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/21/1996 Case Number: 96-00505 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (925 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1996 Case Number: 96-00477 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF NASD BrokerCheck October 17, 2005 Page 639 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $108.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $4,400.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,099.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/10/1996 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,207.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (926 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/01/1996 Case Number: 96-00449 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $39,858.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/14/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,700.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (927 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/13/1996 Case Number: 96-00420 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS;LIMITED PARTNERSHIPS;GINNIE MAES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $118,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 640 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,270.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (928 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/04/1996 Case Number: 96-00387 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,552.77 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,552.77 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (929 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/17/1996 Case Number: 95-05986 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $44,928.50 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $134,785.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NON-MONETARY RELIEF, ASKED AMOUNT JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/24/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF NASD BrokerCheck October 17, 2005 Page 641 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $950.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT ; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (930 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1996 Case Number: 95-05982 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,300,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $15,325.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $68,175.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/04/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $412,941.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,366.25; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $46,588.75; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (931 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/09/1996 Case Number: 95-05821 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,076.88 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,980.63 * BROKERAGE FIRM ARBITRATION (932 of 1602) * NASD BrokerCheck October 17, 2005 Page 642 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/09/1996 Case Number: 95-05818 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,029.18 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (933 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/03/1996 Case Number: 95-05769 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,030.90 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $207.50 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,032.90; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (934 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/02/1996 Case Number: 95-05755 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 643 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,806.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,194.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,110.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/31/1996 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL * BROKERAGE FIRM ARBITRATION (935 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1995 Case Number: 95-05567 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,258.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,454.04 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/29/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (936 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/1995 Case Number: 95-05561 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS;COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,346.50 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 644 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (937 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1995 Case Number: 95-05543 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-EXECUTION PRICE Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/13/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,714.45 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/13/1996 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,810.54; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 * BROKERAGE FIRM ARBITRATION (938 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/1995 Case Number: 95-05401 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $538,086.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 645 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (939 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1995 Case Number: 95-05220 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES;CORPORATE BONDS;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,474.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (940 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1995 Case Number: 95-05142 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (941 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1995 Case Number: 95-04882 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,963.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 646 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (942 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1996 Case Number: 95-04462 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,832.00 * BROKERAGE FIRM ARBITRATION (943 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1995 Case Number: 95-04042 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $81,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (944 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/11/1995 Case Number: 95-04029 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS NASD BrokerCheck October 17, 2005 Page 647 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/26/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (945 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/14/1995 Case Number: 95-03960 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,201.07 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (946 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/1995 Case Number: 95-03910 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $117,220.35 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 648 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) * BROKERAGE FIRM ARBITRATION (947 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/1995 Case Number: 95-03814 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (948 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/22/1995 Case Number: 95-03716 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,400.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $650.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $55.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 649 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,125.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (949 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1995 Case Number: 95-03634 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $69,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (950 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1995 Case Number: 95-03582 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/12/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/12/1996 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 * BROKERAGE FIRM ARBITRATION (951 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 650 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 07/26/1995 Case Number: 95-03580 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,475.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (952 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/27/1995 Case Number: 95-03556 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;MUTUAL FUNDS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $900,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/09/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (953 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/1995 Case Number: 95-03536 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 651 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,773.16 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/08/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/08/1996 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (954 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1995 Case Number: 95-03424 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,727.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (955 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1995 Case Number: 95-03297 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $131,954.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,003.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $172,957.00 NASD BrokerCheck October 17, 2005 Page 652 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $329,914.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (956 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/11/1995 Case Number: 95-03287 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BOND FUNDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,081.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,052.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,990.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $61,123.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (957 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1995 Case Number: 95-03189 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,215.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $76,645.00 SEVERALLY ; INTEREST, ASKED AMOUNT $21,017.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $3,450.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 653 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 01/10/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (958 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1995 Case Number: 95-03020 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,250.84 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/22/1996 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62.50 * BROKERAGE FIRM ARBITRATION (959 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1995 Case Number: 95-02946 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/22/1998 Relief Awarded: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (960 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1995 Case Number: 95-02791 NASD BrokerCheck October 17, 2005 Page 654 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $203,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $48,816.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $746,648.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/09/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (961 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/15/1995 Case Number: 95-02730 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (962 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1995 Case Number: 95-02729 Allegations: ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 655 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (963 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1995 Case Number: 95-02591 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $328,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $273,957.42; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (964 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1995 Case Number: 95-02498 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,827.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 656 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (965 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1995 Case Number: 95-02429 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $276,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/13/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (966 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/19/1995 NASD BrokerCheck October 17, 2005 Page 657 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-02415 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,900.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (967 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1995 Case Number: 95-02259 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (968 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1995 Case Number: 95-02052 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,645.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $519.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/27/1995 8C. RELIEF NASD BrokerCheck October 17, 2005 Page 658 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 * BROKERAGE FIRM ARBITRATION (969 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/22/1995 Case Number: 95-02036 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (970 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1995 Case Number: 95-01984 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (971 of 1602) * Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 659 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 04/28/1995 Case Number: 95-01962 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (972 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1995 Case Number: 95-01925 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (973 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/11/1995 Case Number: 95-01843 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,740.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/24/1996 NASD BrokerCheck October 17, 2005 Page 660 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (974 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/1995 Case Number: 95-01819 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $99,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,555.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (975 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1995 Case Number: 95-01804 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $874.05 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,105.67 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,850.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (976 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/17/1995 NASD BrokerCheck October 17, 2005 Page 661 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 95-01656 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;PREFERRED STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,072.84 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,512.48; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (977 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/02/1995 Case Number: 95-01598 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $191,337.96 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $200,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00 * BROKERAGE FIRM ARBITRATION (978 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/1995 Case Number: 95-01464 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/15/1996 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (979 of 1602) * NASD BrokerCheck October 17, 2005 Page 662 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1995 Case Number: 95-01357 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,798.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (980 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1995 Case Number: 95-01280 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (981 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01162 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 663 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (982 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01155 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/13/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (983 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/1995 Case Number: 95-01075 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,067.85 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/16/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (984 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/1995 Case Number: 95-01073 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: INTEREST, ASKED AMOUNT $9,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 664 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/09/1996 Relief Awarded: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (985 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-01029 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $129,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $3,436.34 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/16/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,436.34; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (986 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1995 Case Number: 95-00999 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $897,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/09/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (987 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 665 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/05/1995 Case Number: 95-00979 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,953.35 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 * BROKERAGE FIRM ARBITRATION (988 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1995 Case Number: 95-00922 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,516.34 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $8,105.88 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $67,549.02 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,604.29; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (989 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/01/1995 Case Number: 95-00907 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,029.21 NASD BrokerCheck October 17, 2005 Page 666 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (990 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1995 Case Number: 95-00880 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/02/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $130,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (991 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1995 Case Number: 95-00878 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/02/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (992 of 1602) * Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 667 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1995 Case Number: 95-00789 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (993 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1995 Case Number: 95-00706 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (994 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1995 Case Number: 95-00690 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $273.70 NASD BrokerCheck October 17, 2005 Page 668 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (995 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1995 Case Number: 95-00689 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,940.84 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (996 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/15/1995 Case Number: 95-00654 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUNICIPAL BONDS;GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (997 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1995 Case Number: 95-00626 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-MARGIN CALLS; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 669 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $69,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,200.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (998 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1995 Case Number: 95-00580 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,313.44 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,686.56 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL * BROKERAGE FIRM ARBITRATION (999 of 1602) * Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1995 Case Number: 95-00574 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $165,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 670 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1000 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1995 Case Number: 95-00496 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,169.27 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,252.70 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/04/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,169.27; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,252.70; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1001 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/08/1995 Case Number: 95-00398 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES;FANNY MAE;FREDDIE MACS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $758,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $101,046.67 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $75,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $757,850.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $101,046.67; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1002 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 671 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 02/03/1995 Case Number: 95-00337 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/28/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1003 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/31/1995 Case Number: 95-00231 Allegations: UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,849.11 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,800.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1004 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 672 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/18/1995 Case Number: 95-00225 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUNICIPAL BOND FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,990.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,862.20 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/24/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 BROKERAGE FIRM ARBITRATION (1005 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1995 Case Number: 95-00224 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1006 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1995 Case Number: 95-00210 Allegations: FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.01 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 673 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1007 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1995 Case Number: 95-00085 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,300.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1008 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/29/1994 Case Number: 94-05461 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: REAL ESTATE INVESTMENT TRUST;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/28/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1009 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1995 Case Number: 94-05378 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $230,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 674 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $230,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/05/1997 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,447.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00 BROKERAGE FIRM ARBITRATION (1010 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1995 Case Number: 94-05372 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/02/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1011 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/21/1995 Case Number: 94-05242 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,152.43 BROKERAGE FIRM ARBITRATION (1012 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 675 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1994 Case Number: 94-05169 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1013 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/28/1994 Case Number: 94-04968 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/17/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1014 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1994 Case Number: 94-04899 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 676 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,700.00 BROKERAGE FIRM ARBITRATION (1015 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1995 Case Number: 94-04805 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/07/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,150.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1016 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1995 Case Number: 94-04790 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,857.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $15,476.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $7,817.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $874.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $2,750.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 677 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1017 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1994 Case Number: 94-04714 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,969.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1018 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1994 Case Number: 94-04679 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,900.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1019 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1994 Case Number: 94-04593 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 678 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $248,087.50 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $44,688.00 BROKERAGE FIRM ARBITRATION (1020 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/21/1994 Case Number: 94-04487 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $84,747.89 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/30/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1021 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/28/1994 Case Number: 94-04421 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BOND FUNDS;OTHER TYPES OF SECURITIES;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,999.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 679 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 11/21/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1022 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/01/1994 Case Number: 94-04099 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1023 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1994 Case Number: 94-04039 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175.05 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,721.67 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10.50 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $103.39 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1024 of 1602) NASD BrokerCheck October 17, 2005 Page 680 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/14/1994 Case Number: 94-03949 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,210.89 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1025 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1994 Case Number: 94-03842 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,759.96 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,418.31 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/19/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1026 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1994 Case Number: 94-03817 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/02/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $110,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 681 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1027 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/10/1994 Case Number: 94-03742 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-OTHER Type of Securities: FANNY MAE;FREDDIE MACS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1028 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1994 Case Number: 94-03685 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,386.30 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1029 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/1994 Case Number: 94-03541 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: OTHER COSTS, ASKED AMOUNT $900.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/12/1996 NASD BrokerCheck October 17, 2005 Page 682 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,100.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/12/1996 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $868.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 BROKERAGE FIRM ARBITRATION (1030 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/1994 Case Number: 94-03472 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1031 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/05/1994 Case Number: 94-03405 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,350.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/03/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,350.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/03/1995 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,350.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL NASD BrokerCheck October 17, 2005 Page 683 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1032 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1994 Case Number: 94-03149 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,660.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,461.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,650.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1033 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/1994 Case Number: 94-03087 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/28/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1034 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1994 NASD BrokerCheck October 17, 2005 Page 684 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 94-02984 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/27/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $47,981.91; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/27/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,956.78; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,217.29 BROKERAGE FIRM ARBITRATION (1035 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/19/1994 Case Number: 94-02977 Allegations: ACCOUNT RELATED-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1036 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/1995 Case Number: 94-02907 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/24/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 685 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1037 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/28/1994 Case Number: 94-02741 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $260,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/06/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1038 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1994 Case Number: 94-02656 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,690.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $155.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1039 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/04/1994 Case Number: 94-02617 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES NASD BrokerCheck October 17, 2005 Page 686 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/23/1998 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1040 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1994 Case Number: 94-02547 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUNICIPAL BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,591.18 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/11/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1041 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1994 Case Number: 94-02508 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-OTHER; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,778.85 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/10/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,489.00 BROKERAGE FIRM ARBITRATION (1042 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 687 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 08/03/1994 Case Number: 94-02423 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1043 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/04/1994 Case Number: 94-02396 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1044 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1994 Case Number: 94-02390 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 688 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1045 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1994 Case Number: 94-02386 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,725.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/19/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1046 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/1994 Case Number: 94-02266 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,640.07 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,820.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/01/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25.00 BROKERAGE FIRM ARBITRATION (1047 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/1994 Case Number: 94-02207 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $260,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 689 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) TREBLE DAMAGES, ASKED AMOUNT $780,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/07/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1048 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/01/1994 Case Number: 94-02151 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1049 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/1994 Case Number: 94-02099 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,360.99 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,360.99 BROKERAGE FIRM ARBITRATION (1050 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 690 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 09/02/1994 Case Number: 94-02093 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $880.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $35.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $879.38; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00 BROKERAGE FIRM ARBITRATION (1051 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/05/1994 Case Number: 94-02002 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,524.60 SEVERALLY ; INTEREST, ASKED AMOUNT $300.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1052 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1994 Case Number: 94-01980 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,900.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/23/1995 NASD BrokerCheck October 17, 2005 Page 691 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1053 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/09/1994 Case Number: 94-01951 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,548.71 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $6,234.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1054 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1994 Case Number: 94-01924 Allegations: OTHER-OTHER Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1055 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/04/1994 Case Number: 94-01894 NASD BrokerCheck October 17, 2005 Page 692 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/13/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1056 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/27/1994 Case Number: 94-01881 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BOND FUNDS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,166.66 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1057 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1994 Case Number: 94-01858 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS BROKERAGE FIRM ARBITRATION (1058 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1994 NASD BrokerCheck October 17, 2005 Page 693 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 94-01807 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,239.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1059 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1994 Case Number: 94-01795 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $210,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $630,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $210,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $630,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $210,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $630,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1060 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1994 Case Number: 94-01742 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 694 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.47 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,999.47; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,319.77; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/27/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1061 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/17/1994 Case Number: 94-01691 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MANIPULATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,808.27 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1062 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1994 Case Number: 94-01670 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,070.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1063 of 1602) NASD BrokerCheck October 17, 2005 Page 695 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/1994 Case Number: 94-01243 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,150.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/27/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1064 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1994 Case Number: 94-01206 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1065 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/29/1994 Case Number: 94-01136 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 696 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 10/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,571.04 BROKERAGE FIRM ARBITRATION (1066 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/24/1995 Case Number: 94-01126 Allegations: FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;PREFERRED STOCK;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,990.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/05/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,209.00; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1067 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/1994 Case Number: 94-01080 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;MUNICIPAL BONDS;MUNICIPAL BOND FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $403,496.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $806,993.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1068 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 697 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/23/1994 Case Number: 94-00990 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1069 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/14/1994 Case Number: 94-00923 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,302.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1070 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/30/1994 Case Number: 94-00867 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/02/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 698 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1071 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1994 Case Number: 94-00581 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: ANNUITIES;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,857.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $50,571.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1072 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/05/1994 Case Number: 94-00440 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,825.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $30.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,200.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1073 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/21/1994 Case Number: 94-00404 NASD BrokerCheck October 17, 2005 Page 699 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1074 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1994 Case Number: 94-00277 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,466.30 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/04/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1075 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/13/1994 Case Number: 94-00276 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,713.43 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED NASD BrokerCheck October 17, 2005 Page 700 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/23/1995 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1076 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/02/1994 Case Number: 94-00215 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/10/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1077 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1994 Case Number: 94-00184 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,513.32 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $91,539.96 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1078 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1994 Case Number: 94-00108 Allegations: ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 701 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $119,076.40 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1079 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1994 Case Number: 94-00071 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $559,166.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $140,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1080 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1994 Case Number: 94-00036 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/23/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 NASD BrokerCheck October 17, 2005 Page 702 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1081 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/26/1994 Case Number: 93-05395 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,591.66 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,405.19 BROKERAGE FIRM ARBITRATION (1082 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/28/1994 Case Number: 93-05309 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,750.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,750.00 BROKERAGE FIRM ARBITRATION (1083 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1994 Case Number: 93-05284 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUNICIPAL BONDS;MUNICIPAL BOND FUNDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,081.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 703 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 05/31/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1084 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/1994 Case Number: 93-05146 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $269,100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1085 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/1994 Case Number: 93-05139 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/13/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1086 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 704 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/26/1994 Case Number: 93-04967 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,244,760.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,489,520.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1087 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1994 Case Number: 93-04905 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,660.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1088 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/1993 Case Number: 93-04888 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $418,124.28 NASD BrokerCheck October 17, 2005 Page 705 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,520,785.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $290,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/29/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $142,100.00 BROKERAGE FIRM ARBITRATION (1089 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1993 Case Number: 93-04781 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/19/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1090 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1994 Case Number: 93-04665 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $135,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 706 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1091 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-04575 Allegations: ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,160.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/24/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1092 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/10/1994 Case Number: 93-04541 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/11/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1093 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1994 Case Number: 93-04393 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES NASD BrokerCheck October 17, 2005 Page 707 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,676.67 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1094 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1993 Case Number: 93-04316 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,952.97 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,430.96 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/1994 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $52,836.63; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1095 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/09/1993 Case Number: 93-04310 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/1994 NASD BrokerCheck October 17, 2005 Page 708 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,500.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1096 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1993 Case Number: 93-04281 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/03/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,736.50; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1097 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/22/1993 Case Number: 93-04229 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/05/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,602.30; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/05/1995 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 709 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1098 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/22/1993 Case Number: 93-04187 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1099 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/02/1993 Case Number: 93-04184 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/18/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1100 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/11/1993 Case Number: 93-04151 NASD BrokerCheck October 17, 2005 Page 710 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $1,634.97 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/18/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,153.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1101 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/15/1993 Case Number: 93-04148 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/31/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/31/1994 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1102 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1994 Case Number: 93-04136 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;COMMON STOCK;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,511.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/18/1994 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62.50 NASD BrokerCheck October 17, 2005 Page 711 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1103 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1993 Case Number: 93-04127 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1104 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1993 Case Number: 93-04121 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,644.15 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,084.64 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/06/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1105 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 712 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 10/29/1993 Case Number: 93-04087 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/04/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1106 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/1993 Case Number: 93-04077 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1107 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1993 Case Number: 93-04064 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S NASD BrokerCheck October 17, 2005 Page 713 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 BROKERAGE FIRM ARBITRATION (1108 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/07/1994 Case Number: 93-04058 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,836.50; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1109 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/1993 Case Number: 93-04046 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1110 of 1602) NASD BrokerCheck October 17, 2005 Page 714 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/18/1993 Case Number: 93-04022 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/20/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1111 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1993 Case Number: 93-04018 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1112 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1993 Case Number: 93-03984 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 NASD BrokerCheck October 17, 2005 Page 715 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1113 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03975 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/22/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1114 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1993 Case Number: 93-03965 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/29/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,603.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $4,752.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: NASD BrokerCheck October 17, 2005 Page 716 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) 02/29/1996 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,752.00 BROKERAGE FIRM ARBITRATION (1115 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1993 Case Number: 93-03963 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,561.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1116 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/1993 Case Number: 93-03946 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/27/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1117 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1993 Case Number: 93-03943 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $4,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 717 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1118 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03941 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00 7C. RELIEF ASKED: SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/12/1997 8C. RELIEF AWARDED: SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1119 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03940 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,736.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $75.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1120 of 1602) NASD BrokerCheck October 17, 2005 Page 718 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/1993 Case Number: 93-03932 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,359.40 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,359.40 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/18/1994 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 BROKERAGE FIRM ARBITRATION (1121 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-03907 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/01/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,602.30; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1122 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-03905 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,000.00 NASD BrokerCheck October 17, 2005 Page 719 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/19/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1123 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-03884 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1124 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/29/1993 Case Number: 93-03866 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,300.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1125 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 720 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 10/07/1993 Case Number: 93-03827 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,800.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1126 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1993 Case Number: 93-03825 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/20/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1127 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/20/1993 Case Number: 93-03759 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,348.00; NASD BrokerCheck October 17, 2005 Page 721 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1128 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1993 Case Number: 93-03758 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,900.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1129 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/28/1993 Case Number: 93-03750 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/25/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1130 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/11/1993 Case Number: 93-03749 NASD BrokerCheck October 17, 2005 Page 722 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/22/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1131 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/28/1993 Case Number: 93-03729 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,602.30; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1132 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/30/1993 Case Number: 93-03728 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 723 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/08/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,602.30; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1133 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/11/1993 Case Number: 93-03721 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1134 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/23/1993 Case Number: 93-03703 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/10/1996 NASD BrokerCheck October 17, 2005 Page 724 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $76,399.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1135 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1993 Case Number: 93-03697 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,400.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1136 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/1993 Case Number: 93-03673 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1137 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 725 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/15/1993 Case Number: 93-03623 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,346.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,746.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1138 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1993 Case Number: 93-03606 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/30/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1139 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/1993 Case Number: 93-03593 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF NASD BrokerCheck October 17, 2005 Page 726 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1140 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/1993 Case Number: 93-03484 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1141 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1993 Case Number: 93-03427 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $6,100.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1142 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/1993 Case Number: 93-03370 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 727 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/05/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1143 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1993 Case Number: 93-03353 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,300.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1144 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/16/1993 Case Number: 93-03215 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-TRANSFER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,697.32; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $750.00 BROKERAGE FIRM ARBITRATION (1145 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1993 NASD BrokerCheck October 17, 2005 Page 728 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 93-03205 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,600.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/18/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1146 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/20/1993 Case Number: 93-03180 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,625.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/10/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1147 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/20/1993 Case Number: 93-03153 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,880.64; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 729 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1148 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/24/1994 Case Number: 93-03135 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/15/1997 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $62,812.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1149 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/07/1994 Case Number: 93-02996 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/28/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1150 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/1993 Case Number: 93-02979 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS NASD BrokerCheck October 17, 2005 Page 730 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $499,385.11 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/18/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1151 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/06/1993 Case Number: 93-02916 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;CORPORATE BONDS;LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $192,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $576,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/03/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1152 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/13/1993 Case Number: 93-02723 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,604.23 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 731 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1153 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1993 Case Number: 93-02650 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1154 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1993 Case Number: 93-02588 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1155 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/27/1993 Case Number: 93-02490 Allegations: ACCOUNT RELATED-NEGLIGENCE; OTHER-OTHER Type of Securities: OPTIONS;COMMON STOCK NASD BrokerCheck October 17, 2005 Page 732 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/20/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,463.50 BROKERAGE FIRM ARBITRATION (1156 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/23/1993 Case Number: 93-02488 Allegations: EXECUTIONS-FAILURE TO EXECUTE; EXECUTIONS-OTHER Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,750.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/25/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1157 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1993 Case Number: 93-02404 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $400.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $250.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $100.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1158 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 733 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 06/24/1993 Case Number: 93-02355 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,986.30 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1159 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1993 Case Number: 93-02354 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;PREFERRED STOCK;LIMITED PARTNERSHIPS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $89,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1160 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/1993 Case Number: 93-02301 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - NASD BrokerCheck October 17, 2005 Page 734 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) OMISSION OF FACTS Type of Securities: GOVERNMENT SECURITIES;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1161 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/08/1993 Case Number: 93-02278 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,938.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/23/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $3,469.50; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,938.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/23/1995 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,469.50 BROKERAGE FIRM ARBITRATION (1162 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1993 Case Number: 93-02261 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 735 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/09/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1163 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/14/1993 Case Number: 93-02244 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/06/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1164 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/20/1993 Case Number: 93-02205 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $108,001.85 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER NASD BrokerCheck October 17, 2005 Page 736 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/15/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1165 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/06/1993 Case Number: 93-02067 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1166 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1993 Case Number: 93-01886 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 737 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1167 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1993 Case Number: 93-01878 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1168 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/15/1993 Case Number: 93-01789 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;REAL ESTATE INVESTMENT TRUST Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $850.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1169 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1993 Case Number: 93-01708 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 738 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 05/11/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $83,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $117,600.00 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/11/1994 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $294,000.00 BROKERAGE FIRM ARBITRATION (1170 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1993 Case Number: 93-01639 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,913.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1171 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/14/1993 Case Number: 93-01585 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, NASD BrokerCheck October 17, 2005 Page 739 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1172 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/21/1993 Case Number: 93-01563 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1173 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1993 Case Number: 93-01433 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;WARRANTS/RIGHTS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $93,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1174 of 1602) NASD BrokerCheck October 17, 2005 Page 740 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/1993 Case Number: 93-01373 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,168.37 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1175 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/07/1993 Case Number: 93-01330 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $170,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1176 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/28/1993 Case Number: 93-01303 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $91,000.00; INTEREST, NASD BrokerCheck October 17, 2005 Page 741 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,100.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1177 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1993 Case Number: 93-01265 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,007.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/01/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,939.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1178 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/26/1993 Case Number: 93-01175 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,930.67 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,217.75 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,614.47 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $913.20 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1179 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 742 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 04/15/1993 Case Number: 93-01131 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $217,621.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $14,880.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $232,501.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1180 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1993 Case Number: 93-01037 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,111.26 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/19/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1181 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1993 Case Number: 93-00938 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,817.59 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 743 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 08/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1182 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/01/1993 Case Number: 93-00910 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/19/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $155,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1183 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1993 Case Number: 93-00874 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/09/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 744 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1184 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/24/1993 Case Number: 93-00754 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,415.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $117,075.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $8,005.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/13/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1185 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/1993 Case Number: 93-00438 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $450,081.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/29/1994 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1186 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/03/1993 Case Number: 93-00405 NASD BrokerCheck October 17, 2005 Page 745 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $36,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1187 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/01/1993 Case Number: 93-00289 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,999.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/28/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1188 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1993 Case Number: 93-00173 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $8,442.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/22/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER NASD BrokerCheck October 17, 2005 Page 746 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1189 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/19/1993 Case Number: 93-00131 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,075.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1190 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/02/1993 Case Number: 93-00115 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,225.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $275.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1191 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/07/1993 Case Number: 93-00030 NASD BrokerCheck October 17, 2005 Page 747 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $120,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1192 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1994 Case Number: 92-04379 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,104.61 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1193 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1993 Case Number: 92-04371 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/24/1993 NASD BrokerCheck October 17, 2005 Page 748 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1194 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/06/1993 Case Number: 92-04299 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1195 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/12/1993 Case Number: 92-04155 Allegations: ACCOUNT RELATED-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,350.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1196 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1993 Case Number: 92-04136 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED NASD BrokerCheck October 17, 2005 Page 749 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1197 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/04/1993 Case Number: 92-04127 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $610,298.64 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1198 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/30/1992 Case Number: 92-03978 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1199 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/24/1992 NASD BrokerCheck October 17, 2005 Page 750 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-03867 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,720.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,964.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1200 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/30/1992 Case Number: 92-03840 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,405.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $208,749.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $220,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/07/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,482.88; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1201 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/29/1993 Case Number: 92-03834 Allegations: ACCOUNT RELATED-TRANSFER; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,740.30 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/25/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 751 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1202 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/1992 Case Number: 92-03761 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,999.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1203 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/23/1992 Case Number: 92-03733 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $168,547.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,740.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,786.59; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1204 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 752 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 02/01/1993 Case Number: 92-03720 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $85,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/27/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1205 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/05/1992 Case Number: 92-03678 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BONDS;CORPORATE BONDS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,995.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1206 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/13/1992 Case Number: 92-03573 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $2,120.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $23,038.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/02/1993 NASD BrokerCheck October 17, 2005 Page 753 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1207 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1992 Case Number: 92-03453 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $440,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,200.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/20/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1208 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/12/1992 Case Number: 92-03435 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $125,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 754 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1209 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1992 Case Number: 92-03424 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/26/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1210 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/08/1992 Case Number: 92-03281 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: GINNIE MAES;MUNICIPAL BONDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/03/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1211 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 755 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/28/1992 Case Number: 92-03254 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $294,426.77 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $883,280.31 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,250.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/06/1996 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1212 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/25/1992 Case Number: 92-03224 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $345,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1213 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/02/1992 Case Number: 92-03209 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 17, 2005 Page 756 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: MUNICIPAL BONDS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/1993 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,803.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/09/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,803.00 BROKERAGE FIRM ARBITRATION (1214 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/27/1992 Case Number: 92-03192 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $429,729.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/11/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1215 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1992 Case Number: 92-03121 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,354.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 757 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1216 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/18/1992 Case Number: 92-03091 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1217 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/08/1992 Case Number: 92-03022 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1218 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/06/1992 NASD BrokerCheck October 17, 2005 Page 758 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-02919 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/01/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $70,400.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,895.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1219 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/18/1992 Case Number: 92-02779 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS;COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $225,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1220 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/19/1992 Case Number: 92-02761 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 759 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 12/30/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $250,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1221 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/10/1992 Case Number: 92-02688 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $87,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/12/1993 Relief Awarded: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,600.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/12/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 BROKERAGE FIRM ARBITRATION (1222 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/19/1992 Case Number: 92-02620 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $225,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $25,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/28/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1223 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 760 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 08/06/1992 Case Number: 92-02576 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,300,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1224 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/07/1992 Case Number: 92-02521 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $97,995.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/14/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,069.83; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1225 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/13/1992 Case Number: 92-02397 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $87,089.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 761 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1226 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/21/1992 Case Number: 92-02356 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $293,595.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1227 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1992 Case Number: 92-02230 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,278.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1228 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/14/1992 Case Number: 92-02137 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 762 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1229 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/1992 Case Number: 92-02055 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; EXECUTIONS-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,507.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1230 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/30/1992 Case Number: 92-02044 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,100.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $27,300.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $546,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1231 of 1602) NASD BrokerCheck October 17, 2005 Page 763 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1992 Case Number: 92-01999 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,526.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $214.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $1,400.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,262.82; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $978.84; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1232 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1992 Case Number: 92-01922 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1233 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1992 Case Number: 92-01914 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF NASD BrokerCheck October 17, 2005 Page 764 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/25/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1234 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/1992 Case Number: 92-01877 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00 BROKERAGE FIRM ARBITRATION (1235 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/18/1992 Case Number: 92-01862 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 765 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1236 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/16/1992 Case Number: 92-01771 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,459.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $207.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,200.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,600.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1237 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1992 Case Number: 92-01624 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1238 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1992 NASD BrokerCheck October 17, 2005 Page 766 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-01565 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: MUTUAL FUNDS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $700,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/16/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/16/1994 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $54,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1239 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/22/1992 Case Number: 92-01564 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; TRADING DISPUTES-MARK-UPS Type of Securities: MUNICIPAL BONDS Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $7,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $90,250.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/04/1993 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1240 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/19/1992 Case Number: 92-01533 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS NASD BrokerCheck October 17, 2005 Page 767 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1241 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/26/1992 Case Number: 92-01525 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $84,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/10/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1242 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1992 Case Number: 92-01524 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; NASD BrokerCheck October 17, 2005 Page 768 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1243 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/1992 Case Number: 92-01400 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $52,563.21 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $26,281.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1244 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/06/1992 Case Number: 92-01388 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/22/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,000.00 BROKERAGE FIRM ARBITRATION (1245 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/1992 Case Number: 92-01362 NASD BrokerCheck October 17, 2005 Page 769 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,141.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1246 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/30/1992 Case Number: 92-01328 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,749.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1247 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/14/1992 Case Number: 92-01308 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,800.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1248 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 770 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/01/1992 Case Number: 92-01239 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,666.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/27/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1249 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/21/1992 Case Number: 92-01238 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,772.73 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/15/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,000.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $125.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/15/1993 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $125.00 BROKERAGE FIRM ARBITRATION (1250 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1992 Case Number: 92-01221 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUNICIPAL BOND FUNDS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,443.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/10/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 771 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $10,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1251 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/28/1992 Case Number: 92-01185 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: LIMITED PARTNERSHIPS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/23/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1252 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1992 Case Number: 92-01080 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,478.11 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1253 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1992 NASD BrokerCheck October 17, 2005 Page 772 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 92-01079 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $295,410.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $45,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $62,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/24/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1254 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1992 Case Number: 92-01063 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1255 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/13/1992 Case Number: 92-00846 Allegations: EXECUTIONS-FAILURE TO EXECUTE; TRADING DISPUTES-SELL OUTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $95,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1256 of 1602) NASD BrokerCheck October 17, 2005 Page 773 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/15/1992 Case Number: 92-00801 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,035,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/21/1994 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $167,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/21/1994 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $167,000.00 BROKERAGE FIRM ARBITRATION (1257 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/02/1992 Case Number: 92-00721 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $70,916.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1258 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/1992 Case Number: 92-00705 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 774 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $163,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $489,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/03/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $93,408.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1259 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/09/1992 Case Number: 92-00672 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;PREFERRED STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,457.91 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $144,915.82 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/26/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1260 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/1992 Case Number: 92-00641 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS NASD BrokerCheck October 17, 2005 Page 775 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,963.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/18/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $24,687.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1261 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/27/1992 Case Number: 92-00569 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,750.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1262 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/1992 Case Number: 92-00514 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $28,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/16/1992 NASD BrokerCheck October 17, 2005 Page 776 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/16/1992 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,200.00 BROKERAGE FIRM ARBITRATION (1263 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/19/1992 Case Number: 92-00500 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;COMMODITIES FUTURES;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,101.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/20/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1264 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/18/1992 Case Number: 92-00486 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $32,922.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/06/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1265 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 777 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 03/03/1992 Case Number: 92-00395 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK BROKERAGE FIRM ARBITRATION (1266 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/10/1992 Case Number: 92-00383 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/02/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,237.50; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,300.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1267 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/26/1992 Case Number: 92-00381 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,670.84 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1268 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 778 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/27/1992 Case Number: 92-00182 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,836.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1269 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/25/1992 Case Number: 92-00161 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,282.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,853.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,667.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1270 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1992 Case Number: 92-00138 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,000.00 NASD BrokerCheck October 17, 2005 Page 779 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1271 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/20/1992 Case Number: 92-00134 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1272 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/20/1992 Case Number: 92-00112 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/04/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1273 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/10/1992 Case Number: 92-00084 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/08/1992 NASD BrokerCheck October 17, 2005 Page 780 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $510.40 BROKERAGE FIRM ARBITRATION (1274 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/05/1992 Case Number: 92-00027 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,256.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/17/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,504.06; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1275 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1992 Case Number: 91-04149 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,025.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1276 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/1992 Case Number: 91-04139 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY NASD BrokerCheck October 17, 2005 Page 781 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $906,254.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $429,208.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $322,156.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/08/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1277 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/1992 Case Number: 91-04056 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: PREFERRED STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $75.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1278 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/1991 Case Number: 91-03813 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,400.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 782 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1279 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1991 Case Number: 91-03810 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;MUNICIPAL BONDS;GINNIE MAES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $33,425.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/30/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1280 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1991 Case Number: 91-03774 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,275.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $627.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $275.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $200.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1281 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/03/1992 NASD BrokerCheck October 17, 2005 Page 783 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 91-03748 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/01/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1282 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/08/1992 Case Number: 91-03736 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $131,348.78 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/30/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1283 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/1991 Case Number: 91-03725 Allegations: FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED - FAILURE TO SUPERVISE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $48,898.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 784 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1284 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/05/1991 Case Number: 91-03720 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $225,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/01/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1285 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/14/1992 Case Number: 91-03631 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $750.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,015.22; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1286 of 1602) NASD BrokerCheck October 17, 2005 Page 785 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/14/1991 Case Number: 91-03524 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;GINNIE MAES;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/29/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/29/1993 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT $65,068.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $130,098.00 BROKERAGE FIRM ARBITRATION (1287 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/04/1991 Case Number: 91-03511 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/18/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1288 of 1602) NASD BrokerCheck October 17, 2005 Page 786 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1992 Case Number: 91-03476 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,001.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/31/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,744.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1289 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/1991 Case Number: 91-03427 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/18/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,500.00 BROKERAGE FIRM ARBITRATION (1290 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/04/1991 Case Number: 91-03342 Allegations: ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1992 NASD BrokerCheck October 17, 2005 Page 787 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,505.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1291 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1991 Case Number: 91-03320 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/25/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1292 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/03/1991 Case Number: 91-03292 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK;CORPORATE BONDS;MUNICIPAL BOND FUNDS;GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/14/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 BROKERAGE FIRM ARBITRATION (1293 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/08/1991 NASD BrokerCheck October 17, 2005 Page 788 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 91-03285 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1294 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/21/1991 Case Number: 91-03274 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/07/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $388.34; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1295 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/24/1991 Case Number: 91-03208 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 789 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1296 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/27/1992 Case Number: 91-03103 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 BROKERAGE FIRM ARBITRATION (1297 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/1992 Case Number: 91-03030 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS;LIMITED PARTNERSHIPS;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,816.50 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/15/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 790 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1298 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/01/1991 Case Number: 91-02965 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,907.68 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,362.39; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $29,907.68 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/17/1992 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,098.40; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1299 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/1991 Case Number: 91-02944 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,708.52 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1300 of 1602) NASD BrokerCheck October 17, 2005 Page 791 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/17/1991 Case Number: 91-02942 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $65,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1301 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/24/1992 Case Number: 91-02847 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-TRANSFER Type of Securities: CORPORATE BONDS;LIMITED PARTNERSHIPS;REAL ESTATE INVESTMENT TRUST;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $227,623.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/25/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1302 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/25/1991 Case Number: 91-02846 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 792 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/26/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,085.00 BROKERAGE FIRM ARBITRATION (1303 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/15/1991 Case Number: 91-02834 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,976.70 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,875.60 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/19/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1304 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/09/1991 Case Number: 91-02786 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: PREFERRED STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1305 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1991 NASD BrokerCheck October 17, 2005 Page 793 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 91-02763 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: OPTIONS;COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,284.75 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1306 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/26/1991 Case Number: 91-02681 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $76,254.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $750,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/24/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1307 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/12/1991 Case Number: 91-02621 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 794 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/15/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1308 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/27/1991 Case Number: 91-02595 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;GINNIE MAES;OPTIONS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $3,000,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/15/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1309 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/03/1991 Case Number: 91-02424 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $163,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/19/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS NASD BrokerCheck October 17, 2005 Page 795 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1310 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1991 Case Number: 91-02378 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $1,800,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1311 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/08/1991 Case Number: 91-02365 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;CORPORATE BONDS;LIMITED PARTNERSHIPS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1312 of 1602) NASD BrokerCheck October 17, 2005 Page 796 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1991 Case Number: 91-02302 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,171.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,188.50; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1314 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/1991 Case Number: 91-02002 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 797 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,020.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1315 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/15/1991 Case Number: 91-01997 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,257.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $15,771.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1316 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/1991 Case Number: 91-01996 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/17/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $153,000.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S NASD BrokerCheck October 17, 2005 Page 798 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1317 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/08/1991 Case Number: 91-01811 Allegations: ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,636.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/21/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1318 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/08/1991 Case Number: 91-01769 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,973.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,509.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $150.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,480.96; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1319 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1991 Case Number: 91-01744 NASD BrokerCheck October 17, 2005 Page 799 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;OPTIONS;LIMITED PARTNERSHIPS;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $125,852.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 SEVERALLY ; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $377,556.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1320 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/05/1991 Case Number: 91-01700 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $12,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/28/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $21,000.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1321 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1991 Case Number: 91-01678 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS NASD BrokerCheck October 17, 2005 Page 800 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,935.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/18/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $835.44; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1322 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/05/1991 Case Number: 91-01671 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/01/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1323 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/25/1991 Case Number: 91-01667 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,145.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 801 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1324 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/03/1991 Case Number: 91-01519 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $812.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $977.00; OTHER NON-MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1325 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/20/1991 Case Number: 91-01515 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-OTHER Type of Securities: ANNUITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/28/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,400.00 BROKERAGE FIRM ARBITRATION (1326 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1991 Case Number: 91-01494 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,820.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/08/1992 NASD BrokerCheck October 17, 2005 Page 802 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1327 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1991 Case Number: 91-01458 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,309.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/31/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,309.35; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1329 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1991 Case Number: 91-01370 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 NASD BrokerCheck October 17, 2005 Page 803 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1330 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1991 Case Number: 91-01363 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $85,058.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1331 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/07/1991 Case Number: 91-01313 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,477.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $22,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1332 of 1602) NASD BrokerCheck October 17, 2005 Page 804 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/23/1991 Case Number: 91-01152 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: LIMITED PARTNERSHIPS;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/27/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $59,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1333 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/1991 Case Number: 91-01118 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;GINNIE MAES;MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,179.07 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1334 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/27/1991 Case Number: 91-00993 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 805 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: CORPORATE BONDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $245,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $735,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/24/1995 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1335 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1991 Case Number: 91-00985 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS;WARRANTS/RIGHTS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $168,473.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $146,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $107,541.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $107,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1336 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/22/1991 Case Number: 91-00980 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,362.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 806 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/11/1991 Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,362.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1337 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/10/1991 Case Number: 91-00947 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;PREFERRED STOCK;OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1338 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/29/1991 Case Number: 91-00904 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,200.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,600.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $6,600.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/23/1992 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 807 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1339 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/1991 Case Number: 91-00823 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,400.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,837.00 BROKERAGE FIRM ARBITRATION (1340 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/21/1991 Case Number: 91-00790 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,429.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/25/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,700.00 BROKERAGE FIRM ARBITRATION (1341 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/18/1991 Case Number: 91-00700 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: LIMITED PARTNERSHIPS;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $183,755.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 808 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $86,000.00 BROKERAGE FIRM ARBITRATION (1342 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/28/1991 Case Number: 91-00695 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;LIMITED PARTNERSHIPS;GOVERNMENT SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $326,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $80,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $61,000.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1343 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/10/1991 Case Number: 91-00636 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $40,087.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $228,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $21,767.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/19/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1344 of 1602) NASD BrokerCheck October 17, 2005 Page 809 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/01/1991 Case Number: 91-00538 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $73,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1345 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1991 Case Number: 91-00473 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,771.89 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,564.65 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,265.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1346 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1991 Case Number: 91-00472 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $104,186.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 810 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $18,376.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $104,186.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,482.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1347 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/1991 Case Number: 91-00470 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $94,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,559.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1348 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1991 Case Number: 91-00467 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: PREFERRED STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,470.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,805.00 BROKERAGE FIRM ARBITRATION (1349 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 811 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 03/22/1991 Case Number: 91-00460 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $102,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,087.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/02/1992 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,087.00 BROKERAGE FIRM ARBITRATION (1350 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/1991 Case Number: 91-00448 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK;PREFERRED STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,522.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1351 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/11/1991 Case Number: 91-00413 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $130,976.25 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $125,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 812 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,580.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,754.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1352 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1991 Case Number: 91-00373 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,115,112.50 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $44,477.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1353 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/15/1991 Case Number: 91-00347 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,750.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1354 of 1602) NASD BrokerCheck October 17, 2005 Page 813 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1991 Case Number: 91-00316 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: CORPORATE BONDS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,444,838.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; DECLARATORY JUDGEMENT, ASKED AMOUNT JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; DECLARATORY JUDGEMENT, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1355 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/27/1991 Case Number: 91-00233 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $745.83 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1356 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/25/1991 Case Number: 91-00173 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,400.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY; OTHER MONETARY NASD BrokerCheck October 17, 2005 Page 814 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/23/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1357 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/15/1991 Case Number: 91-00169 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $914,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $914,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $18,280,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/08/1993 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500,000.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500,000.00 BROKERAGE FIRM ARBITRATION (1358 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/08/1991 Case Number: 91-00025 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $229,820.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $3,800.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/06/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 815 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1359 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/22/1991 Case Number: 90-03626 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $148,323.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/02/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1360 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/25/1991 Case Number: 90-03623 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMODITIES FUTURES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,350,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/05/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1361 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1990 Case Number: 90-03518 NASD BrokerCheck October 17, 2005 Page 816 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS;CORPORATE BONDS;GINNIE MAES;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $351,892.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1362 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1991 Case Number: 90-03517 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK;MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $141,199.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $423,597.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/15/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $268,589.00; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $33,838.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1363 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/02/1991 Case Number: 90-03498 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 NASD BrokerCheck October 17, 2005 Page 817 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/27/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1364 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1990 Case Number: 90-03463 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: GOVERNMENT SECURITIES;MUTUAL FUNDS;LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/18/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1365 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/02/1991 Case Number: 90-03378 Allegations: ACCOUNT RELATED-OTHER; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: GOVERNMENT SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,333.33 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/10/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $600.00 BROKERAGE FIRM ARBITRATION (1366 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 818 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 12/03/1990 Case Number: 90-03304 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,791.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,791.49; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,916.96; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1367 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/1990 Case Number: 90-03197 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: OTHER TYPES OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,893.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,107.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,700.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1368 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/12/1990 Case Number: 90-03061 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,601.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 819 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 10/15/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1369 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/28/1990 Case Number: 90-03021 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: ANNUITIES;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,250.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1370 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/15/1990 Case Number: 90-02856 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,076.11 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,015.55 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/07/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $51,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, NASD BrokerCheck October 17, 2005 Page 820 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,417.75; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/07/1991 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,000.00 BROKERAGE FIRM ARBITRATION (1371 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/20/1991 Case Number: 90-02848 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/22/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,500.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1372 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/06/1991 Case Number: 90-02820 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER Type of Securities: MUTUAL FUNDS;OTHER TYPES OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,840.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $800.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,130.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 821 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1373 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/07/1990 Case Number: 90-02676 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $8,949.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $150.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/06/1991 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $150.00 BROKERAGE FIRM ARBITRATION (1374 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/23/1991 Case Number: 90-02665 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-OTHER Type of Securities: CORPORATE BONDS;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,500.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/11/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1375 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1990 Case Number: 90-02639 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $56,320.15 NASD BrokerCheck October 17, 2005 Page 822 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/23/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1376 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/30/1990 Case Number: 90-02397 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-OTHER; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $256,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; TREBLE DAMAGES, ASKED AMOUNT $769,500.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/28/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1377 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/29/1990 Case Number: 90-02338 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $214,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $642,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $20,000.00; TREBLE NASD BrokerCheck October 17, 2005 Page 823 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1378 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/26/1990 Case Number: 90-02158 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY; UNKNOWN TYPE OF CONTROVERSY Type of Securities: COMMON STOCK;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,995.61 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1379 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 09/13/1990 Case Number: 90-02125 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,465.00 BROKERAGE FIRM ARBITRATION (1380 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1990 Case Number: 90-01917 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING NASD BrokerCheck October 17, 2005 Page 824 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $739,400.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/04/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1381 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/02/1990 Case Number: 90-01873 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,749.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1382 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/31/1990 Case Number: 90-01825 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/14/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $25,999.72; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1383 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 825 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 06/29/1990 Case Number: 90-01772 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,500.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,549.55; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1384 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1990 Case Number: 90-01571 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,647.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,100.00 BROKERAGE FIRM ARBITRATION (1385 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/25/1990 Case Number: 90-01427 Allegations: FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,537.00 SEVERALLY ; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $99,074.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/08/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1386 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 826 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 05/18/1990 Case Number: 90-01380 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-OTHER; FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $930,000.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $20,000,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/30/1991 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,275.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1387 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/16/1990 Case Number: 90-01338 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER; TRADING DISPUTES-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,216.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $200.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,216.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1388 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/03/1990 Case Number: 90-01214 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: MUNICIPAL BOND FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $61,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/28/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 827 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $8,000.00 BROKERAGE FIRM ARBITRATION (1389 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 10/13/1990 Case Number: 90-01207 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,504.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/29/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1390 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/10/1990 Case Number: 90-01139 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; OTHER-OTHER; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $450,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,900.52; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1391 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1990 Case Number: 90-01134 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-OTHER Type of Securities: LIMITED PARTNERSHIPS NASD BrokerCheck October 17, 2005 Page 828 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $132,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1392 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1990 Case Number: 90-01038 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,400.00 SEVERALLY ; SPECIFIC PERFORMANCE, ASKED AMOUNT SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,431.60 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/16/1991 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,431.60 BROKERAGE FIRM ARBITRATION (1393 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1990 Case Number: 90-00948 Allegations: Type of Securities: COMMON STOCK;MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $66,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/11/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1394 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 829 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 04/09/1990 Case Number: 90-00945 Allegations: Type of Securities: COMMON STOCK Relief Asked: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/30/1991 Relief Awarded: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1395 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/11/1990 Case Number: 90-00897 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $177,764.82 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/09/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1396 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/1990 Case Number: 90-00891 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $159,366.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1397 of 1602) NASD BrokerCheck October 17, 2005 Page 830 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/30/1990 Case Number: 90-00872 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1398 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/27/1990 Case Number: 90-00863 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $490.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $43.40 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1399 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/03/1990 Case Number: 90-00859 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $179,518.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,640.00 NASD BrokerCheck October 17, 2005 Page 831 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1400 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/28/1990 Case Number: 90-00789 Allegations: ACCOUNT RELATED-TRANSFER Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,215.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1401 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/23/1990 Case Number: 90-00745 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1402 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/09/1990 Case Number: 90-00522 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/24/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 832 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1403 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/08/1990 Case Number: 90-00497 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $580,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/23/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00 BROKERAGE FIRM ARBITRATION (1404 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/16/1990 Case Number: 90-00446 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,662.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,500.00 BROKERAGE FIRM ARBITRATION (1405 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1990 Case Number: 90-00413 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $900.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $450.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/31/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF NASD BrokerCheck October 17, 2005 Page 833 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1406 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1990 Case Number: 90-00407 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/10/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1407 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/01/1990 Case Number: 90-00344 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $189,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1408 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/06/1990 Case Number: 90-00343 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 834 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 08/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,334.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1409 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/21/1990 Case Number: 90-00268 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,700.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/13/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1410 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/30/1990 Case Number: 90-00246 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/12/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1411 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1990 Case Number: 90-00112 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 835 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,818.65 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1412 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1990 Case Number: 90-00111 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $34,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1413 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/1990 Case Number: 90-00088 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $23,709.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1414 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/09/1990 Case Number: 90-00025 Allegations: NASD BrokerCheck October 17, 2005 Page 836 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,513,239.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/20/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $444,233.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/20/1992 8C. RELIEF AWARDED: RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1415 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/27/1989 Case Number: 89-03514 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $135,508.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/10/1991 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1416 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/26/1989 Case Number: 89-03263 Allegations: Type of Securities: COMMON STOCK Relief Asked: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/22/1990 Relief Awarded: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 837 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1417 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/06/1989 Case Number: 89-03197 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $99,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,175.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1418 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/01/1989 Case Number: 89-03107 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $62,318.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1419 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/20/1989 Case Number: 89-03025 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,663.52 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 838 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 01/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1420 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/20/1989 Case Number: 89-02959 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,000,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/01/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $321,000.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/01/1991 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $90,000.00 BROKERAGE FIRM ARBITRATION (1421 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02931 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,440.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/08/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/08/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1422 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 839 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 10/30/1989 Case Number: 89-02874 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/23/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,100.00; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 BROKERAGE FIRM ARBITRATION (1423 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/12/1989 Case Number: 89-02869 Allegations: EXECUTIONS-EXECUTION PRICE; EXECUTIONS-OTHER Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,724.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/28/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,400.00 BROKERAGE FIRM ARBITRATION (1424 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02807 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/16/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 840 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $7,783.56; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1425 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/22/1989 Case Number: 89-02790 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/05/1994 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/05/1994 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1426 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02656 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,104.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/27/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1427 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 841 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02487 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,000.00 BROKERAGE FIRM ARBITRATION (1428 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02356 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/23/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1429 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02332 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $21,548.61 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN NASD BrokerCheck October 17, 2005 Page 842 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) DENIED IN FULL BROKERAGE FIRM ARBITRATION (1430 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 11/07/1989 Case Number: 89-02324 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $53,794.42 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/04/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $53,794.42; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $15,690.04; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,500.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1431 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-02252 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,165.19 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,165.19 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/06/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1432 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/16/1989 Case Number: 89-02192 Allegations: Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 843 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1433 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/15/1989 Case Number: 89-02109 Allegations: Type of Securities: COMMODITIES FUTURES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,430.00 BROKERAGE FIRM ARBITRATION (1434 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/21/1989 Case Number: 89-02035 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/12/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/12/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,232.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,407.78; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,275.53 BROKERAGE FIRM ARBITRATION (1435 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/25/1989 Case Number: 89-02008 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY NASD BrokerCheck October 17, 2005 Page 844 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $273,294.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/05/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $175,000.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1436 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01995 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $42,520.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,125.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $500.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/15/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1437 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/18/1989 Case Number: 89-01966 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $279,505.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/07/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 845 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1438 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01957 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $110,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/29/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1439 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/19/1989 Case Number: 89-01947 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1440 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01866 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,941.76 NASD BrokerCheck October 17, 2005 Page 846 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 04/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1441 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/07/1989 Case Number: 89-01817 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $19,045.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $8,570.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $3,500.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $400.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/20/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,800.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 BROKERAGE FIRM ARBITRATION (1442 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/09/1989 Case Number: 89-01799 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/29/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $82,500.00 BROKERAGE FIRM ARBITRATION (1443 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/26/1989 Case Number: 89-01623 Allegations: NASD BrokerCheck October 17, 2005 Page 847 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $1,000.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/08/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1444 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01610 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,917.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/05/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $113.57 BROKERAGE FIRM ARBITRATION (1445 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01605 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $59,760.86 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,801.59 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/16/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 848 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 BROKERAGE FIRM ARBITRATION (1446 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/02/1989 Case Number: 89-01508 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $180,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1447 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01416 Allegations: ACCOUNT RELATED-EXCHANGES Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,561.38 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,561.38 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/25/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1448 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01388 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,684.94 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 849 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/30/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1449 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/24/1989 Case Number: 89-01331 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $600,296.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1450 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01322 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,639.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/03/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1451 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/31/1989 Case Number: 89-01302 NASD BrokerCheck October 17, 2005 Page 850 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/11/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 09/11/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1452 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/09/1989 Case Number: 89-01286 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $55,625.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1453 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01257 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,887.52 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/09/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED NASD BrokerCheck October 17, 2005 Page 851 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) (PARTIAL OR FULL, AWARD AMOUNT $12,799.00 BROKERAGE FIRM ARBITRATION (1454 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01211 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MANIPULATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 09/15/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1455 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01142 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $64,800.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/24/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1456 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01061 Allegations: TRADING DISPUTES-MARK-UPS Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 852 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $763.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $382.00 BROKERAGE FIRM ARBITRATION (1457 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-01058 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1458 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/24/1989 Case Number: 89-01039 Allegations: Not Provided Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $100,000.00; INTEREST, ASKED AMOUNT $3,250.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/31/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $10,001.85 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1459 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00867 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,140.00 NASD BrokerCheck October 17, 2005 Page 853 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1460 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/07/1989 Case Number: 89-00795 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $159,216.00 Disposition: AWARD AGAINST PARTY Disposition Date: 09/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $24,940.08 BROKERAGE FIRM ARBITRATION (1461 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/04/1989 Case Number: 89-00771 Allegations: MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $175,968.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 01/23/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1462 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00753 Allegations: ACCOUNT RELATED-ERRORS-CHARGES NASD BrokerCheck October 17, 2005 Page 854 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,117.35 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/27/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/27/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1463 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/08/1989 Case Number: 89-00740 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $3,500.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1464 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00708 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/20/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 06/20/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1465 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 855 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00620 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,168.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/29/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/29/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1466 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/20/1989 Case Number: 89-00440 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $140,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $20,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1467 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00409 Allegations: TRADING DISPUTES-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 856 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1468 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00407 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1469 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 03/07/1989 Case Number: 89-00356 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $154,000.00 Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 12/11/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1470 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00293 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $27,520.77 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/25/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,200.00 7C. RELIEF NASD BrokerCheck October 17, 2005 Page 857 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/25/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1471 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00291 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,082.21 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $14,737.30 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $300,000.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/19/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1472 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/14/1989 Case Number: 89-00286 Allegations: Not Provided Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1473 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00212 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY - OMISSION OF FACTS NASD BrokerCheck October 17, 2005 Page 858 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1474 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/23/1989 Case Number: 89-00128 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $470,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 08/05/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1475 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00117 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1476 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1989 Case Number: 89-00082 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE NASD BrokerCheck October 17, 2005 Page 859 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $975.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $923.19 BROKERAGE FIRM ARBITRATION (1477 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 04/12/1989 Case Number: 89-00069 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,661,506.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,661,350.00 BROKERAGE FIRM ARBITRATION (1478 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/02/1989 Case Number: 89-00010 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $232,444.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/22/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $69,884.00 BROKERAGE FIRM ARBITRATION (1479 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-99930 Allegations: EXECUTIONS-EXECUTION PRICE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,421.66 NASD BrokerCheck October 17, 2005 Page 860 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,205.78 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $2,250.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/19/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1480 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03974 Allegations: EXECUTIONS-EXECUTION PRICE; FRAUDULENT ACTIVITY-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $192,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/09/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/09/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1481 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/08/1990 Case Number: 88-03965 Allegations: Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,984.35 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1482 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 861 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03952 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $49,994.83 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $27,764.34 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/15/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1483 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03935 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/23/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,600.00 BROKERAGE FIRM ARBITRATION (1484 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03928 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: LIMITED PARTNERSHIPS;CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,503.70 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 862 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $20,608.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/26/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1485 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 07/19/1989 Case Number: 88-03912 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00; INTEREST, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $115,000.00 JOINTLY AND SEVERALLY; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $48,300.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1486 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03882 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; OTHER-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $413,252.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/29/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/29/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1487 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 863 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/04/1989 Case Number: 88-03853 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $312,883.00 Disposition: AWARD AGAINST PARTY Disposition Date: 05/28/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $156,700.50 BROKERAGE FIRM ARBITRATION (1488 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/13/1989 Case Number: 88-03820 Allegations: ACCOUNT RELATED-NEGLIGENCE; SUITABILITY; ACCOUNT RELATED-OTHER Type of Securities: LIMITED PARTNERSHIPS; OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $14,200.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $3,624.50 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $460.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $12,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY PAPERS Disposition Date: 01/14/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1489 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03813 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,640.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,074.00 BROKERAGE FIRM ARBITRATION (1490 of 1602) NASD BrokerCheck October 17, 2005 Page 864 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/05/1989 Case Number: 88-03799 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,750,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 04/15/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1491 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03784 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,648.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1492 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03783 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,300.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1493 of 1602) NASD BrokerCheck October 17, 2005 Page 865 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/01/1989 Case Number: 88-03757 Allegations: SUITABILITY; OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/01/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $2,652.25 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1494 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/13/1988 Case Number: 88-03727 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $216,708.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $127,948.21 BROKERAGE FIRM ARBITRATION (1495 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 02/02/1989 Case Number: 88-03726 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,071,194.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $1,325,564.16 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,071,194.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/08/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $870,153.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,074,401.75; PUNITIVE/EXEMPLARY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL NASD BrokerCheck October 17, 2005 Page 866 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1496 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03708 Allegations: ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,002.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/24/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $35,002.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/24/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1497 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03703 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,400.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/29/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,063.00 BROKERAGE FIRM ARBITRATION (1498 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03680 Allegations: ACCOUNT RELATED-TRANSFER; ACCOUNT RELATED-OTHER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,000.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $100.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 867 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1499 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 12/21/1988 Case Number: 88-03671 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,172,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 08/16/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $250,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1500 of 1602) Type of Event: ARBITRATION Update: YES Arbitration Forum: NASD Case Served Date: 08/02/1989 Case Number: 88-03666 Allegations: Not Provided Type of Securities: Not Provided Relief Asked: Not Provided Disposition: AWARD AGAINST PARTY Disposition Date: FRAUDULENT ACTIVITY-MISREPRESENTATION Relief Awarded: Not Provided BROKERAGE FIRM ARBITRATION (1501 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03594 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/20/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,000.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/20/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF NASD BrokerCheck October 17, 2005 Page 868 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1502 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03573 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,000.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $5,000,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/21/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,600.00; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1503 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03570 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/17/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $20,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $16,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $43,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,000,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $10,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/17/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,076.00; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 869 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1504 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03560 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: MUTUAL FUNDS;GOVERNMENT SECURITIES;OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/21/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $247,158.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $300,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/21/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,918.00; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1505 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03556 Allegations: EXECUTIONS-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,310.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,310.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/26/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $772.32; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $60.68 BROKERAGE FIRM ARBITRATION (1506 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 870 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 11/02/1989 Case Number: 88-03529 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/07/1992 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $60,000.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/07/1992 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1507 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03510 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $35,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 11/14/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1508 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03364 Allegations: ACCOUNT RELATED-COLLECTION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OPTIONS NASD BrokerCheck October 17, 2005 Page 871 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/03/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $96,500.00 BROKERAGE FIRM ARBITRATION (1509 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03356 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $800,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $2,000,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $370,653.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/06/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1510 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03331 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,914.50 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, NASD BrokerCheck October 17, 2005 Page 872 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1511 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03327 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS;COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $200,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/23/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,110.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/23/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1512 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03212 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/01/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $17,968.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,637.05 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/01/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,908.12; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $102,320.72; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,320.72; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 873 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1513 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-03004 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,165.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/01/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 08/01/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1514 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02956 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,186.83 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,186.83 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/27/1990 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $100.00 BROKERAGE FIRM ARBITRATION (1515 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02914 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES NASD BrokerCheck October 17, 2005 Page 874 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $98,868.25 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1516 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02819 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $54,200.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 10/24/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1517 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02771 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,700.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/17/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1518 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 NASD BrokerCheck October 17, 2005 Page 875 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 88-02730 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,212.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/24/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1519 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02687 Allegations: EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $897.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 10/09/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $875.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 10/09/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1520 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02672 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,188.33 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,188.83 NASD BrokerCheck October 17, 2005 Page 876 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1521 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02670 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $17,079.20 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/19/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/19/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1522 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02649 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,500.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1523 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02633 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/10/1989 NASD BrokerCheck October 17, 2005 Page 877 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $4,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 11/10/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1524 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02610 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,765.89 BROKERAGE FIRM ARBITRATION (1525 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02561 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $22,699.77 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/31/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1526 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 NASD BrokerCheck October 17, 2005 Page 878 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 88-02486 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $82,060.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,500.00 BROKERAGE FIRM ARBITRATION (1527 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02484 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $50,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/19/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/19/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $400.00 BROKERAGE FIRM ARBITRATION (1528 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02479 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $57,313.70 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/05/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 06/05/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 879 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1529 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 08/10/1988 Case Number: 88-02421 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $96,677.73 Disposition: AWARD AGAINST PARTY Disposition Date: 11/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $85,000.00 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1530 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02410 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED-DIVIDENDS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $7,369.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/27/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1531 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02363 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $71,523.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,500.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: NASD BrokerCheck October 17, 2005 Page 880 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) 08/25/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,000.00 BROKERAGE FIRM ARBITRATION (1532 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02358 Allegations: ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-ERRORS-CHARGES; ACCOUNT RELATED-OTHER Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,567.47 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,500.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1533 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02228 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/05/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $7,500.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/05/1990 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 BROKERAGE FIRM ARBITRATION (1534 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 NASD BrokerCheck October 17, 2005 Page 881 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 88-02205 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $24,401.81 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/24/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1535 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02189 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-MARGIN CALLS; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,231.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 01/02/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $26,231.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $1,500.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 01/02/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $10,017.98; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1536 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02169 Allegations: ACCOUNT RELATED-COLLECTION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $500,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 882 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 07/31/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $154,087.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1537 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02108 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $118,638.69 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $4,945.71 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $14,806.16 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $200,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $400,334.55 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/11/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $81,220.00 BROKERAGE FIRM ARBITRATION (1538 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02097 Allegations: ACCOUNT RELATED-ERRORS-CHARGES Type of Securities: COMMON STOCK;MUNICIPAL BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,265.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $1,265.00 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/11/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; NASD BrokerCheck October 17, 2005 Page 883 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1539 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02071 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,187.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/07/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,000.00 BROKERAGE FIRM ARBITRATION (1540 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-02032 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $76,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 03/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $32,500.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 03/16/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1541 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01977 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $9,978.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 884 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1542 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01965 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $37,867.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 06/18/1990 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1543 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01941 Allegations: EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $163,469.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/16/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $73,795.22 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $4,500.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/16/1990 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $6,661.42; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,750.00 BROKERAGE FIRM ARBITRATION (1544 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 885 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01918 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $250,000.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $380,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/18/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,825.28; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1545 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01910 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 02/27/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 02/27/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1546 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01897 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-OTHER Type of Securities: COMMON STOCK NASD BrokerCheck October 17, 2005 Page 886 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $370,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/15/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/15/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1547 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01845 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $133,198.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $22,320.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/17/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1548 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1988 Case Number: 88-01821 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $186,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/06/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $64,804.00 NASD BrokerCheck October 17, 2005 Page 887 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1549 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1988 Case Number: 88-01801 Allegations: Not Provided Type of Securities: Not Provided Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,000,000.00 Disposition: AWARD AGAINST PARTY Disposition Date: 02/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $60,720.15 JOINTLY AND SEVERALLY BROKERAGE FIRM ARBITRATION (1550 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01783 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $67,973.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $13,547.00 BROKERAGE FIRM ARBITRATION (1551 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01779 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $116,827.90 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $113,917.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, NASD BrokerCheck October 17, 2005 Page 888 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $2,250.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/02/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $41,010.12; SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT ; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,250.00 BROKERAGE FIRM ARBITRATION (1552 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01762 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $48,932.28 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/29/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $14,454.00 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/29/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1553 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01751 Allegations: ACCOUNT RELATED-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $25,069.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $16,409.33 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/10/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,297.31; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,297.31; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL NASD BrokerCheck October 17, 2005 Page 889 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1554 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/17/1988 Case Number: 88-01686 Allegations: Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $865,804.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/17/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $40,397.00 BROKERAGE FIRM ARBITRATION (1555 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01601 Allegations: ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,528.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/16/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $18,900.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 11/16/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,363.96; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1556 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/14/1988 Case Number: 88-01555 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $145,686.59 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 890 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 07/26/1991 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1557 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01550 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,167.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1558 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01549 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $33,350.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 08/09/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1559 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01522 Allegations: ACCOUNT RELATED-NEGLIGENCE; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,500.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY NASD BrokerCheck October 17, 2005 Page 891 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1560 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01465 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $439,531.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 02/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $1,318,593.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 02/28/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1561 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01457 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,814.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/25/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1562 of 1602) Type of Event: ARBITRATION NASD BrokerCheck October 17, 2005 Page 892 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01449 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $270,386.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/28/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1563 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01444 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $46,928.22 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/19/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $28,974.15 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 06/19/1990 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1564 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01379 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $5,000.00 SEVERALLY ; OTHER MONETARY RELIEF, ASKED AMOUNT NASD BrokerCheck October 17, 2005 Page 893 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) $912.34 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/24/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1565 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 05/24/1988 Case Number: 88-01280 Allegations: Not Provided Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $619,434.00 Disposition: AWARD AGAINST PARTY Disposition Date: 12/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $34,079.00 BROKERAGE FIRM ARBITRATION (1566 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01169 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $349,701.66 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/06/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $210,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/06/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1567 of 1602) Type of Event: ARBITRATION Update: NO NASD BrokerCheck October 17, 2005 Page 894 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01149 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE; FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,534,528.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/26/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $1,037,116.00 JOINTLY AND SEVERALLY; RACKETEERING INTERSTATE CORRUPTION ORG, ASKED AMOUNT $10,603,584.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $7,069,000.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 03/26/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; RACKETEERING INTERSTATE CORRUPTION ORG, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1568 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01127 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT Type of Securities: OTHER TYPES OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $3,105.13 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $3,105.13; INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; OTHER COSTS, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL BROKERAGE FIRM ARBITRATION (1569 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01126 Allegations: ACCOUNT RELATED-ERRORS-CHARGES; EXECUTIONS-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,455.00 JOINTLY AND SEVERALLY NASD BrokerCheck October 17, 2005 Page 895 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition: AWARD AGAINST PARTY Disposition Date: 12/15/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,455.00 SEVERALLY ; OTHER NON-MONETARY RELIEF, ASKED AMOUNT SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/15/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,384.00; OTHER NON-MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT BROKERAGE FIRM ARBITRATION (1570 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/21/1988 Case Number: 88-01098 Allegations: Not Provided Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $417,633.80 Disposition: AWARD AGAINST PARTY Disposition Date: 09/13/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL), AWARD AMOUNT $96,952.60 BROKERAGE FIRM ARBITRATION (1571 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-01024 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-MISREPRESENTATION; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $15,000.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 09/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 09/21/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1572 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD NASD BrokerCheck October 17, 2005 Page 896 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Served Date: 01/01/1988 Case Number: 88-01005 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $11,167.19 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $2,500.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 11/03/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $9,403.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1573 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: PRECRAFTIS Case Number: 88-00985 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 Disposition: AWARD AGAINST PARTY Disposition Date: 07/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL) BROKERAGE FIRM ARBITRATION (1574 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00957 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $377,169.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $19,788.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD NASD BrokerCheck October 17, 2005 Page 897 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) AGAINST PARTY 8B. STATUS DATE: 06/21/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $11,000.00 BROKERAGE FIRM ARBITRATION (1575 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00913 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-OTHER Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,718,913.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/21/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 07/21/1989 8C. RELIEF AWARDED: ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1576 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00845 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $13,500.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 10/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1577 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00831 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED - FAILURE TO SUPERVISE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $75,000.00 NASD BrokerCheck October 17, 2005 Page 898 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 06/14/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 06/14/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1578 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00792 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: CORPORATE BONDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $63,471.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 05/10/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 05/10/1989 8C. RELIEF AWARDED: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1579 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00723 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $116,267.44 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/28/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $49,500.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 899 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) 8B. STATUS DATE: 09/28/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $8,662.00; ATTORNEY'S FEES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $23,600.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1580 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00691 Allegations: FRAUDULENT ACTIVITY-OTHER; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY ; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $90,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/31/1989 Relief Awarded: OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $115,750.00; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1581 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00646 Allegations: FRAUDULENT ACTIVITY-OTHER; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $88,646.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 03/12/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1582 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00553 NASD BrokerCheck October 17, 2005 Page 900 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; ACCOUNT RELATED-BREACH OF CONTRACT Type of Securities: OPTIONS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $45,817.49 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 09/29/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $30,000.00 7C. RELIEF ASKED: TREBLE DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 09/29/1989 8C. RELIEF AWARDED: TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1583 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00528 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $18,174.56 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $5,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $6,000.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $25,000.00 JOINTLY AND SEVERALLY; TREBLE DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/31/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; TREBLE DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1584 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00313 Allegations: UNKNOWN TYPE OF CONTROVERSY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $30,555.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 901 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 06/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1585 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00116 Allegations: ACCOUNT RELATED-OTHER Type of Securities: MUTUAL FUNDS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,171.73 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/02/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $585.00 BROKERAGE FIRM ARBITRATION (1586 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1988 Case Number: 88-00075 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-CHURNING; EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $468,284.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $50,000.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 08/11/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1587 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02868 NASD BrokerCheck October 17, 2005 Page 902 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 11/14/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1588 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02717 Allegations: ACCOUNT RELATED-DIVIDENDS; ACCOUNT RELATED-COLLECTION; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/12/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $275.00 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $1,800.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/12/1989 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1589 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02703 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: GOVERNMENT SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,403.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 06/27/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $2,403.70 NASD BrokerCheck October 17, 2005 Page 903 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) BROKERAGE FIRM ARBITRATION (1590 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02613 Allegations: BRCH OF FIDUCIARY DT; SUITABILITY; CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: SPECIFIC PERFORMANCE, ASKED AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: CASE IS CLOSED, BY HEARING Disposition Date: 09/19/1989 Relief Awarded: SPECIFIC PERFORMANCE, RELIEF REQUEST HAS BEEN DENIED IN FULL, AWARD AMOUNT JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1591 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02574 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $84,067.05 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 12/08/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 12/08/1989 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1592 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02550 Allegations: ACCOUNT RELATED-BREACH OF CONTRACT; FRAUDULENT NASD BrokerCheck October 17, 2005 Page 904 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $72,000.00 SEVERALLY ; INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 07/11/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1593 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02519 Allegations: FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-NEGLIGENCE Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $74,853.69 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 07/18/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $37,500.00 7C. RELIEF ASKED: PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $150,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; INTEREST, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 07/18/1989 8C. RELIEF AWARDED: PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1594 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-02459 Allegations: FRAUDULENT ACTIVITY-BRCH OF FIDUCIARY DT; ACCOUNT RELATED-BREACH OF CONTRACT; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: OPTIONS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $136,354.82 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY NASD BrokerCheck October 17, 2005 Page 905 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Disposition Date: 03/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $129,000.00; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1595 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01731 Allegations: FRAUDULENT ACTIVITY-SUITABILITY Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,500.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 12/26/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $4,978.01 7C. RELIEF ASKED: OTHER MONETARY RELIEF, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 12/26/1989 8C. RELIEF AWARDED: OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1596 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01537 Allegations: FRAUDULENT ACTIVITY - OMISSION OF FACTS; FRAUDULENT ACTIVITY - OMISSION OF FACTS; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-CHURNING Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $269,071.00 JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/18/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $233,259.00 JOINTLY AND SEVERALLY; OTHER MONETARY RELIEF, ASKED AMOUNT $100,000.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY 8A. CURRENT STATUS: NO AWARD AGAINST PARTY 8B. STATUS DATE: 01/18/1990 8C. RELIEF AWARDED: INTEREST, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER MONETARY RELIEF, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1597 of 1602) NASD BrokerCheck October 17, 2005 Page 906 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01460 Allegations: FRAUDULENT ACTIVITY-MISREPRESENTATION; FRAUDULENT ACTIVITY-CHURNING; ACCOUNT RELATED-MARGIN CALLS Type of Securities: LIMITED PARTNERSHIPS;UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $133,518.76 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 04/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL 7C. RELIEF ASKED: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $133,518.76 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 04/30/1990 8C. RELIEF AWARDED: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 BROKERAGE FIRM ARBITRATION (1598 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-01195 Allegations: ACCOUNT RELATED-NEGLIGENCE; ACCOUNT RELATED-TRANSFER Type of Securities: COMMON STOCK Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,847.47 JOINTLY AND SEVERALLY; ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $2,847.47 SEVERALLY ; PUNITIVE/EXEMPLARY DAMAGES, ASKED AMOUNT $3,171.47 JOINTLY AND SEVERALLY; OTHER COSTS, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY; ATTORNEY'S FEES, ASKED AMOUNT $0.00 JOINTLY AND SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/31/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $500.00; PUNITIVE/EXEMPLARY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1599 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 06/30/1988 Case Number: 87-00426 Allegations: Type of Securities: Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $400,000.00 NASD BrokerCheck October 17, 2005 Page 907 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) JOINTLY AND SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 11/14/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1600 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1987 Case Number: 87-00198 Allegations: EXECUTIONS-FAILURE TO EXECUTE; ACCOUNT RELATED-NEGLIGENCE; FRAUDULENT ACTIVITY-MISREPRESENTATION Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $340,112.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 05/25/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $12,504.00 7C. RELIEF ASKED: INTEREST, ASKED AMOUNT $0.00 SEVERALLY ; ATTORNEY'S FEES, ASKED AMOUNT $0.00 SEVERALLY ; OTHER COSTS, ASKED AMOUNT $0.00 SEVERALLY 8A. CURRENT STATUS: AWARD AGAINST PARTY 8B. STATUS DATE: 05/25/1989 8C. RELIEF AWARDED: INTEREST, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL; ATTORNEY'S FEES, RELIEF REQUEST HAS BEEN DENIED IN FULL; OTHER COSTS, RELIEF REQUEST HAS BEEN DENIED IN FULL BROKERAGE FIRM ARBITRATION (1601 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1986 Case Number: 86-01115 Allegations: FRAUDULENT ACTIVITY-SUITABILITY; FRAUDULENT ACTIVITY - OMISSION OF FACTS Type of Securities: LIMITED PARTNERSHIPS Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $65,000.00 SEVERALLY Disposition: AWARD AGAINST PARTY Disposition Date: 08/30/1989 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF HAS BEEN AWARDED (PARTIAL OR FULL, AWARD AMOUNT $7,500.00 BROKERAGE FIRM ARBITRATION (1602 of 1602) Type of Event: ARBITRATION Update: NO Arbitration Forum: NASD Case Served Date: 01/01/1986 NASD BrokerCheck October 17, 2005 Page 908 This information is current as of: 10/17/2005 ________________________________________________________________________________ NASD Member Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD Number: 7691 BROKERAGE FIRM ARBITRATIONS(cont.) Case Number: 86-01004 Allegations: FRAUDULENT ACTIVITY-CHURNING; FRAUDULENT ACTIVITY-UNAUTHORIZED TRADING; FRAUDULENT ACTIVITY-MISREPRESENTATION; EXECUTIONS-FAILURE TO EXECUTE Type of Securities: UNKNOWN TYPE OF SECURITIES Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $12,000,000.00 SEVERALLY Disposition: NO AWARD AGAINST PARTY Disposition Date: 01/30/1990 Relief Awarded: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST HAS BEEN DENIED IN FULL ************ END OF REPORT ************