New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles Schwab & Co., Inc. vs. Mary R. Turner Attorneys: For Claimant(s): Richard A. Karoly Esq. - San Francisco, CA For Respondent(s): Harry P. Friedlander Esq. - Mesa, /VZ Date Filed: 05/10/2000 First Scheduled: 11/29/2000 Decided: 03/01/2001 Case Summary: Member Rrm vs. Customer alleging Respondent withdrew erroneous sales pnx:eeds of 930 shs. of NMK&E instead of

ly New York Stock Exchange n the Matter of Arbitration Between NYSE I ^ase: Theresa B. Bradley v OUe Discount Corp and Steve Belloli Attorneys: For Clalmant(s): Theresa Bradley - Palm Beach Gardens, FL For Respondents): Wayne H. Schwartz Esq.' Fort Lauderdale, FL Date Filed: 03W7/2000 First Scheduled: 01/11/2001 Decided: 01/11/2001 Case Summary: Customer claimant alleges misrepresentation, negligence, unauthorizedtransadions, fai

4ew York Stock Esiuis^ - NYSE in the Matter of AiMmtkn BctwecB Case: E«« ViMdaitNMiv AudHMSMHrilas bic and Attorneys: Pvt ClilMieiiHi) Evwln Cohn Eaq. - CMogoh I. F«rl Jordan Becker Esq. - New York,- NY CwlF. SdwappiEsq.- DaleFiettosmoM* FiistSchaduMciaruBM UttSOtA 04/05/2001 Case SuRimafy: nutewrlifciBii•••n iil^iiMi>HL,J»wi>n.MiMfci*rt>—i»iHiiipmiaiilie>in^iaiiri.fcl amended awomit of daiiaes requested to a lesser aowiwt during the hearing

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rcxiakl L. Ccxnes and Terry Jo Ccxnes v Ira Tilchen and Bear, Steams & Co., Inc. Attorneys: For Clainiant(s): Frederick S. Cassman Esq. - Omaha, NE For Respondent(s): Pabick B. Griflin Esq. - Omaha. NE Date Filed: 04/27/2000 First Scheduled: 03/26/200i Decided: U _y o _ ^ ^ Case Summary: Customer against member firm fbr investment in unsultebte stcxdc, excessiv

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Mary Elizabeth Whyte v Salomon Smitti Barney Inc. Attorneys: For Claimant(s): Bruce H. Nagel Esq. - Livingston, NJ For Respondent(s): Sean J. Coughlin Esq. - New York. NY Date Filed: 04/24/2000 First Scheduled: 01/17/2001 Decided: 01/29/2001 Case Summary: Claimant a former employee, has alleged ttiat respondent breached their contract converted funds and engaged in f

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: Clyde E. "Doc" Swalwell (Indivklual and as Representative of CES Services. Ltd..) Joan Swalwell, Bo Crossen and Daflas Friends of Young Peopte V. Fxst Union Securities (formeriy known as Everen Securities) and Bradley E. White Attorneys: For ClainMnt(s): John E. Dees Jr. - Dallas, TX For Respondent(s): Ashley E. Inten-ante Esq. - Dallas. TX Bradley E. White - DaHas. TX

Award NASD Dispute Resolution in me Matter ot the Arbitration between: Names of the Claimants Case Number: 01-03908 Michael and Pamela Adams Virginia Golasz Names of the Respondents Hearing Site: Tampa, FL. William F. Perkins Rushmore Securities Corporation REPRESENTATION OF PARTIES For Michael and Pamela Adams ("Adams") and Virginia Golasz ("Golasz"), hereinafter referred to as "Claimants": Allan J. Fedor, Esq., Fedor & Fedor, Largo, FL.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01266 Igor Shraybman, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant appeared Pro Se, Needham, MA. For Respondent appeared Richard Cadigan, Vice President of Compliance, Jersey City, NJ. DATE FILED: March 23, 2000 CASE SUMMARY: Claimant alleged that he purchased shares of common stock and although he mailed a check for payment of said shares, respondent sol

y ^ New York Stock Exchange ;In the Matter of Arbitration Between NYSE Case: William and Laura Liss v. Quick & Reilly, Inc., Eugene C. Pettinger & Robert Cell! Attorneys: For Claimant(s): Lee Applebaum Esq. - Philadelphia, PA For Respondent(s): Bennett Falk Esq. - Miami, FL Date Filed: 03/03/2000 First Scheduled: 12/19/2000 Decided: (g//-?/^?/ Case Summary: William Liss and Laura Liss, customers of Qudc and Reilly, allege ttiat M

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Naomi Carr Lucas (Individually and as Trustee of The Naomi Carr Lucas Charitable Remainder Trust) v. Edward D. Jones & Company, L.P. and Timothy Neimann Attorneys: For Claimant(s): Daniel I. Maclntyre Esq. - Atlanta. GA For Respondent(s): Lisa A. Nielson Esq. - St. Louis, MO Date Filed: 02/14/2000 First Scheduled: 11/15/2000 Decided: 2/26/2001 Case Summary: Claim