11 WUl street N8wYbri(, NY 10006 New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Donald O. Burkhardt and Ada Lee Burfchardt v. J.C. Bradford & Company and Keith Anderson mB LjSr- Attorneys: For Claimant(s): Sandra L. Malkin Esq. - Atlanta, GA For Respondent(s): Claude O. Ramer Esq. - Nashville, TN New York Stocic Exchange, Inc. Date Filed: 01/11/1999 First Scheduied: 07/20/1999 Decided: 09/16/1

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan Herman, Claimant v. H&R Block Financial Advisors, Inc. f/k/a Olde Discount Stockbrokers and Brian T. Gabbard, Respondents Case Number: 01-03932 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Susan Berman, hereinafter referred to as ("Claimant")'. Richard R. Logsdon, Esq., The Law Offices of Richard R. Logsdon, P.A., Clearwater, Eorida. For H&R

y . 4 «w York Stock Exchange NYSE In the Matter of Arbitration Between Cass: Robert and Susan Simpson v. PaineWebberlnoarponitad Attomeya: F M plaimant(s): Roberts. Simpun • C019I O^btec, FL Robtn Simpson * • ceshiera. NC Far Ra«pofMlBnl(s)'. V\tes Hotelen E»q, • Miami, FL Date Filed: oi/iSMOOe First Scheduled: 07/1^1899 Decided: (>^/10/1999 Case Summary: Rsguarad RepiesentathwCteknam alteges negllganeaand Mum to dtedos* infannatten

New York Stock Exchange NYSE In the Matter of Arbitration Between Case: Salomon Smith Bamey, Inc. v. Andrey Konovalchik Attorneys: For Claimant(s): Jaymee Kahn Esq. - New Yoric, NY For Re«pondent(s): Andrey Konovalchik - Danvers, MA Date Filed: 01/15/1999 First Scheduied: 05ao/i999 Decided: 07/11/1999 Case Summary: Member Finn Claimant alleges breach of Commodity citent Agreement and non-paymentof debit balance. Product: OTHER Maricet: Claim

New York Stock Exchange In the Matter of Arbitration Between / NYSE Case: Kristi Leah Cline vs. Wheat First Securites, ite successors and Assigns, Jay C. Beck and Milon S. Christman, III Attorneys: For Claimants): Henry D. McCoy Esq. - Peterstown,WV For Respondent(s): Peter J. Crossett Esq. - Syracuse, NY Jonathan M. Harris Esq. - Richmond, VA Date Filed: 01/15/1999 First Scheduied: 05/19/1999 Decided: 06/22/1999 Case Summary: Cu

New York Stock Exchange In the Matter of Arbitration Between ly NYSE Case: Steven Levinson v. Gruntel & Company, L.L.C. Attorneys: For Ciaimant(^ Willtem McSheny Esq. - New Yoric, NY For Respondenlts): Edwin Zipf Esq. - iMonistown, NJ Date Filed: 01/07/1999 First Scheduled: 07/20/1999 Decided: 05/24/2001 Case Summary: Claimant a registered representetive, alleges breach of contrad, breach of the implied ccxivenant of good teith and f

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: CIBC Oppenheimer Corporation v. Maria A. Steele Attorneys: For Claimant(s): Andrew Harvin Esq. - Houston, TX For Respondent(s): Peter J. Steele - Henderson, NV Date Filed: oi/06/l999 First Scheduled: 07/i3/i999 Decided: 10/20/1999 Case Summary: Claimant, a member firni, alleges respondent, a publk: customer, felted to pay for transadions conducted in her margin accou

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Salomon Smith Barney vs. Terence M. Taylor 81 Cove Capitel Management Attorneys: For Claimant(s): Lorraine Ferrigno Esq. - New Yorit, NY Jaymee Kahn Esq. - New York, NY For Respondents): Terence M. Taylor - Oyster Bay, NY Date Filed: 01/06/1999 First Scheduled: 05/05/1999 Decided: 06/24/1999 Case Summary: IMemberFIrm vs. Customer alleging Respondentteited to pay

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael J. Mayer vs. Prudential Securities, Inc. Attorneys: For Claimants): Michael J. Mayer - Scottsdate, AZ For Respondent(s): John O'Leary Esq. - New Yoric, NY Date Filed: 02/09/1999 First Scheduled: 07/15/1999 Decided: 07/02/1999 Case Summary: Customer vs. Member Firm alleging inconsistent handling of options transadions and teilure to properly pay proceeds on th

0 New York JKK Exchange In the MatWpf Arbitration Between NYSE Case: Paul Un^^; Lynch. Pierce. Fenner & Smith Incorporated Attomeys: For Cteimant(s): Paul Unger - Washington. OC For Respondent(s): Peter Bon Viso Esq. - NeM Yorii, NY Date Filed: 02/01/1999 First Scheduled: 08/19/1999 Decided: August 21, 1999 Case Summary: customer cteknant aHeges negligence in teilure to transfer Sunburst Hospitelity Corporatnn shares hi a timely