Mutual Fund Scorecard

Fund Company

 Total Settlements

 Company Executive Settlements

Company Executive Banned

Other Company Executives Fired, Resigned, Left

Alliance Capital Management

       600,000,000

4

American Express Financial Advisors

           6,706,693

Bank of America

       535,000,000

1

Bank One

         90,000,000

        100,000

1 for 2 years

1

Bridgeway Capital Mgt

           5,108,764

          50,000

Canary Capital Partners

         40,000,000

FleetBoston Financial/Columbia Funds

       140,000,000

3

Franklin Resources

         68,000,000

Fremont Investment Advisors

           4,100,000

Invesco

       450,000,000

        840,000

1 for 2 years, 4 for 1 year

3

Janus Capital Group

       226,200,000

2

Legg Mason Wood Walker

           2,315,467

Massachusetts Financial Services

       350,000,000

        600,000

1 for 9 months, 1 for 6 months

Millenium Partners

1

PEA Capital/Pimco

         86,600,000

Pilgrim, Baxter & Associates

       100,000,000

 160,000,000

2 – lifetime bans

Putnam

       110,000,000

1

Raymond James Financial Services

           2,595,129

RS Investments

         25,000,000

State Street Research Investment Services

           1,500,000

Strong Financial

       115,000,000

   60,800,000

3 – lifetime bans

UBS Financial Services

           4,621,768

Van Wagoner Capital Mgt

              800,000

Wachovia Securities

           4,844,465

Total

    2,968,392,286

 222,390,000

13

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