Nevi^ York Stock Exchange In the Matter of Arbitration Between NYSE Case: Isaac WKs, MD; The Isaac Willis MD ProM Sharing Plan/ The Willis Family Trust. AKric Isaac Willis and Isaac Home WHis v. J.C. Bradfcad and Darren SchUf Attorneys: For ClaimanKa): Sandra L. Malkin Esq. Atlanta, GA For Respondenlts): Pat Huddleston 11 Esq. - Marietta, GA Jeiflrey W. Willis Esq. - AOanta, GA For 3rd Party: Ed Boyte Esq. AOanta, GA Date Fil

I^ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Mark jmal v. Jack Whila & Co. (DivMon of WatertrauseSecuiWu bw.) ,Atlomeys: For Ctaimanl(>): Mark SmaH - Miami, FL For Rospondtnt(s): Maria J. SeadnerEaq. - San Diago. CA Date Filed: 04/14/1999 Rrat Scheduled: 10/06/1999 Deckled: 1,0/12/1999 Case Summary: Cushmwr claimant alteges fiaaure to execula properly m order tor America on Lim. Product: EQU Market NYSE Claim Data

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Brlttingham, Inc. v. Douglas J. McKenna Attorneys: For Claimant(s): Raymond J. DiCamillo Esq. - Wilmington, DE For Respondent(s): Douglas J. McKenna - Famiingdale, NY Date Filed: 04/13/1999 First Scheduled: 07/29/1999 Decided: 07/29/1999 Case Summary: BrltUngham, a member, leased its seat to Douglas J. McKenna. Brittingham seeks an order compelling Mr. McKenna

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James Rose v Okie Discount Corporatnn Attomeys: For Claimant(s): James Rose • Oxford, IMI For Respondents): Kathleen A. Mulcahy Esq. - Detroit, Ml Date Filed: 04/i4/i999 First Scheduled: Decided: 07/07/1999 Case Summary: claimant, a customer, has alleged that respondents failed to execute an order to cancel a purchase The Globe Com stock. Product: Marke

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Clndy Akierier Clark v. Waterhouse Securities, Inc. Attorneys: For Ciaimant(s): Cindy Alderf^r Clark - Perksie, PA For Respondent(s): Janis Campanella - New York, NY Date Filed: 04/06/1999 First Scheduled: 07/15/1999 Decided: 7-28-1999 Case Summary: Cindy AMerfer Clark, a public customer, alleges that a registered representative at Watertiouse Securities encourag

]Vew York Stock Exchange In the Matter of Arbitration Between NYSE Case: RobertW. Komer v. Robert Fratkin and Sotomon Smith Bamey, inc. >\ttomeys: For Claimantls): Gregory Todd DuMont Esq. - Washington, DC For Respondeiit(8): Victor A. IMachcinsici Esq. - New Yoik. NY Date Filed: 04/09/1999 First Scheduled: 12/09/1999 Decided: 11/23/1999 Case Summary: Customer claimant alleges unsuitable trading in covered optnns In Service Corporatkin i

'/ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp. v Waterhouse Securities, inc. and Jack White Diviskin of Waterhouse Securities, Inc. Attorneys: For Claimant(s): Howard M. Sendrovitz Esq. - New York, NY For Respondent(s): Louis M. Solomon Esq. - New York, NY Date Filed: 04/01/1999 First Scheduled; O8/24/1999 Decided: 11/18/1999 Case Summa

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: William N. DeGrootv Salomon Smith Barney, Inc. Attorneys: For Claimant(s): William N. DeGroot- Kingafbrd, Ml For Respondent(8): Ann Parry Esq. - New York, NY Date Filed: 03/29/1999 First Scheduled: Decided: 06/30/99 Case Summary: claimant has alleged that there too long a delay in transferring his mutual funds. Product: Market: Claim Data Claim: $2,59

Award NASD Dispute Resolution In the Matter of the Arbitration Benveer Edwin V. Fredric, Claimant v. Evercn $ecurifce$ ; Inc.. First Union Securities, Inc.. I>crothy Peisner, Robert Venezia, Respondents Case Number: 01-03936 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Christine Magarian, Esq. Berney Law Corporation Los Angeles, California For Respondents: Todd C. Atkins, Esq. Keesai, Young & Logan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 00-01267 Olde Discount Corp. (n/k/a known as H&R Block Financial Advisors, Inc.), claimant vs. Mark W. McCormack, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert M. Visconti, Esq., Detroit, ML Respondent did not reply to the Statement of Claim. DATE FILED: March 23, 2003 CASE SUMMARY: Claimant alleged that respondent delivered a certificate representing 60 shares o