otf « New York Stock Exchange In the Matter of Arbitration Between NYSE Case; James W. Zucker v. Lawrence, O'Donnell, Marcus, LLC; Lawrence, O'Donnell, Marcus & Co.: John O'tJonnell, Robert Flanagan; James P. Cleaver, Jr.; John V. Hoey, III; Stave Mareus; Michael F. Stem; and Michael T. Russo. indivklually and as members o^the ManagementCommittee of Lawrence, O'Donnell, Marcus, LLC.(LOM); and as general partners of (LOM) Attomeys: For Clalmant(s):

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hubert D. Mazzacca v BT Alex. Brown Inc. Attorneys: For Claimant(s): Peter S. Pearlman Esq. - Saddle Brook. NJ For Respondent(s): Daniel J. Donovan Esq. - Baltimore, MD Date Filed: 06/13/1997 First Scheduled: 03/24/1998 Decided: 06/25/1998 Case Summary: Claimant alleges that the respondentin direct contravention to repeated instructions interceded in a dispute behwee

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gmntal & Co., LLC. v Anthony Gentile Attomeys: For Claimants): Joseph A. Valk) Esq. - New Yoric, NY For Respondent(s): Anthony Gentile - Atlanta, GA Date Filed: 06/23/1997 First Scheduled: 10/02/1997 Decided: 01/29/1998 Case Summary: Claimant alleges that Respondentbreached the tenns of a settlement agreemenL Product: Market: Claim Data Claim: $53,156

New York Stock Exchange In the Matter of Arbitration Between V NYSE Case: J.C. Bradford & Co. v Christopher Glenn Attorneys: For Claimant(s): Linda Gibbons Willis Esq. - Nashville, TN Fer Respandent(s): ChrlstopherGlenn - Prattville, AL Date Filed: 06/O3/1997 First Scheduled: 12/02/1997 Decided: 01/27/1998 Case Summary: Claimant alleges that Respondent has failed to reimburse Claimant for the unamortoed portion of the expenses incurr

( ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: John Stratton & John D. Stratton, Tmstee of John D. Stratton and Vtetoria P. Stratton Trust under Agreementdated 10/8/91 v A.G. Edwards & Sons, Inc. '• Attorneys: For Claimant(s): John S. Preston Esq. - Oakland, CA For Respondents): Jeff Jamieson Esq. - St. Louis, MO Date Filed: 05/27/1997 First Scheduled: 02/04/1998 Decided: 03/26/1998 Case Summa

•^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities, Inc. vs. Robert Hwang and Grace Hwang Attorneys: For Claimant(s): Arthur BaumgartnerEsq. - New Yorit, NY For Respondent(s): Dan A. Druz Esq. - Manasquan,NJ Date Fiied: 05/21/1997 First Scheduled: 09/25/1997 Decided: 01/29/1998 Case Summary: Member Finn vs. Customers alleging account deposits on insufficient funds and a resulting sell out

New York Stock Exchange In the Matter of Arbitration Between y^ NYSE Case: Prudential Securities, Inc. vs. Jeffrey Allen Carter Attorneys: For Claimants): Charles LaChaussee Esq. - New Yorit, NY For Respondents): Joel B. Fein Esq. - Brandon, FL Date Filed: 05/16/1997 First Scheduled: 10/14/1997 Decided: 04/24/1998 Case Summary: Member Firm vs. Registered Rep (ex-employee) seeking to recover amounts allegedly due underthe terms of hwo

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Lehman Brothers Inc. v. Randolph Peyton Attorneys: For Claimant(s): Adam M. Bond Esq. - New Yorit. NY For Respondent(s): Thomas P. Mains, Jr. Esq. - McLean, VA Date Filed: 05/19/1997 First Scheduled: 10/25/1997 Decided: 3/12/98 Case Summary: Memberfirm claimant alleges breach of agreementand nonpaymentof promissory note. Product: PROMISSORY NOTE Market: C

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: David E. Lee v. Bear. Steams & Co. Inc and Mark S. Gardner Attorneys: For Claimanl(a|: Donald G. Stanford Esq. - DaHas, TX For Respondentis): Christine L. Stetson Esq. - DaHas. TX Date Filed: 0SA)8/1997 First Scheduled: 03X>3/1998 Decided: 10-1-1998 Case Summary: Customer daims the registered reprasentativesoM vakiable slock in the customei's poitfoHo 'n onJerlo

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-04040 Jimmie Appleberry Names of Respondents Hearing Site: Little Rock, AR Continental Broker Dealer Corporation John Joseph Stapleton Carlos Filipe Goncalves REPRESENTATION OF PARTIES For Jimmie Appleberry, hereinafter referred to as "Claimant": Drake Mann, Esq., Gill Elrod Ragon Owen Calhoun Skinner & Sherman, P.A., Little Rock, AR.