PUCL1C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mark Elzweig Company, LTD 92-01033 Name of Respondents JJC Securities Co.. Inc. Josephthal Lyon & Ross Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Mark Elzweig Company, LTD, through it's counsel, Adam D. Goodfarb, Esq., White Plains. NY,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Maner of the Arbitration Between James K. Merrill & Muriel Sample. Trustees FBO J.I. Montgomery and Pearl May Montgomery Trusts dtd January 23. 1979 Claimants CASE #92-01029 AWARD vs. M.L. Stem & Co.. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 23. 1992. Claimants James K. Merrill and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William B. Framz Systems Data Inc. 92-01027 Name of Respondents PCI Financial Securities Inc. Joseph Teti Danny White Frank Csabai Charles Childers Michael Rogan Al Bennett Dwayne Pass REPRESENTATION For Claimants William B. Frantz and Systems Data Inc. ("Claimants"): Ronald O. Kaffen. of Baker. Cha

N.A.S.D. AWARD HKFZCNAti ASSOCIATION OP HhEAiRiTJiffi DEAIHJS In the Matter of the Arbitration Between SOf iOS 92-01025 Name of Respondents Mathetm, Holmquist & Associates, Inc. Robdenburg Claimant: Theodore Sofioa appeared pro se. Peter D. Mathewe appeared as corporate representative for Respondent Matbaws, Holxnquist & Associates, Inc. Respondent Mt^'N'f*' 1 Robdenburg failed to myoar at the bearing. Statement of Claim filed: A

Arbitration N.A.S.D. AWARD NKTICNMi AS90CIATICN OF SECURITIES DEALERS In the Hatter of the Arbitration Between Henry Better c/f Mali Chaym Banker National Association of Securities Orators, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 92-01020 J. Gregory & Company, Inc. For Claimant: Henry Bobker, Pro Se. For Respondent: Jacqueline Goode, Gregory & Company, lac. Fi lal Operati

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03132 Carlito M. Castillo, Jr., claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Carlito M. Castillo, Jr. ("Claimant") appeared Pro Se., San Jose, California. For Respondent E*Trade Securities, Inc. ("Respondent"), Bob Salvadore, Senior Compliance Officer, E*Trade Securities, Inc., Menlo Park, California. DATE FILED: 07/08/1999 CASE S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s> John and Debi Tamsett 92-01019 Name of Respondent^) Edward D. Jones & Co. Kevin Batliner For Claimants, John and Debi Tamsett ("the Tamsetts"): pro se. For Respondents, Edward D. Jones & Co., ("E.D. Jones") and Kevin Batliner ("Batliner"): Cynthia A. Doria, Esq. of Edward D. Jones < fc Co.. CASE INFORMATION Statement

N.A.S.D. AWARD NATICHAL ASSOCIATICN OF SHUKI'l'liB EEXLBRS In the Matter of the Arbitration Between T Name of Claimant (s) ) Donald a. and Cynthia F. Brock ) ) Case No. 92-01018 Wheat First Securities, me. ) Scott Littlefield - ) For Claimants, Donald and Cynthia Brock ("the Brock*"): Kenneth Kirknan, Eaq. of Kirkoem 6 Khitfanl, P.A. For Reepondaabs , Hhaat First Securitiea, Inc. ("Ibaat") and Scott Littlefield ("Littlefield"): Jbtnathan Pow

NRTIOKMi ASSOCIATTOH OP SBCDRTTIBS DEALERS, INC. In the Matter of the Arbitration Between Abram Speiser Trust, Bernie W. Speiser, TTEE Claimants CASE #92-01016 AHARD vs. Kober Financial Corp. Bonnie Motyka Respondents CASH STOMARY In a claim filed with Che National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Abram Speiser Trust through its representative, Bernice W. Speiser TTEE, alleged that Responden

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hank J. Wolfert Claimant vs. CASE #92-01010 AWARD Sands Brothers & Company Ltd. Robert J. Bonaventura Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on March 23, 1992,.Claimant Hank J. Wolfert by and through his counsel James A. Stanziola, Esq. of Perry & Hamill, Overland Park,