Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fahnestock & CO., Inc., Claimant vs. Kurt Anthony Lutz, Respondent. Case Number: 98-03931 Hearing Site: Kansas City, Missouri REPRESENTATION OF PARTIES Claimant, Fahnestock & CO., Inc., hereinafter referred to as "Claimant" was represented by Eric J. Shames, Esq., Fahnestock & CO., Inc., New York, New York. Respondent, Kurt Anthony Lutz, hereinafter referred to as "Respondent" w_as no

RECEIVE MOV 2 2 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD'Arbftration Mediat ) Arbitration No. 98-03929 In the Matter of the ) Arbitration Between ) Stipulation and Award Sam DeWeese as Trustee of the DeWeese ) Revocable Living Trust DTD 4/30/86 ) Claimant ) v. ) John Robert Brady and National Securities ) Corporation ) Respondents ) Claimant Sam DeWeese, trustee of the DeWeese Revocable Living Trust ("Claimant")

AWARD NASD Regulation, Inc. CASE: 98-03927 Richard A. Schwarzman, claimant vs. American Frontier Financial Corporation, f/k/a RAF Financial Corp., Troy Taggart and, Michael Patrick Nixon, respondents. ATTORNEYS: Claimant Richard A. Schwarzman appeared Pro Se., Burtonsville, MD For Respondents, American Frontier Financial Corporation f/k/a RAF Financial Corporation, Troy Taggart and, Michael Patrick Nixon appeared Thomas D. Birge, Esq. and Carla B. M

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. 98-03926 Name of Respondent Darrell Arvin REPRESENTATION For Claimant: Richard R. Karoly, Corporate Attorney, Charles Schwab & Co., Inc. ("Schwab"). Respondent Darrell Arvin ("Arvin") appeared pro se. CASE INFORMATION Statement of Claim filed: October 20, 1998. Claimant's Submission Agreement signed on: October 16, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David Saturnine Rodriguez Case No. 98-03917 Names of Respondents Dean Witter Reynolds, Inc. Pedro Juan Serralles, IV REPRESENTATION OF PARTIES For David Saturnino Rodriguez ("Rodriguez"), hereinafter also referred to as "Claimant": Amanda Acevedo Rhodes, Esq. of Luz, Ivette, Rivera & Associates, Hato Rey, Puerto Rico. For Respondents Dean Witter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-3245 Michael J. Kneib and Belinda S. Kneib, Claimants vs. Ron Golden and Lee Ann Leonard, Respondents. ATTORNEYS: Claimants appeared Pro Se., St. Joseph, MO. Respondents appeared through A. G. Edwards & Sons, Inc. in-house-counsel, Nuviah Shirazi, Esq., St. Louis, MO. DATE FILED: July 31, 2000 CASE SUMMARY: Claimant alleged that Respondents were negligent in the handling of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William C. Norcross Case No. 98-03915 Name of Respondents A.S. Goldmen & Company, Inc. Robert A. DiMinico Joseph W. Donohue, Jr. JtEPRESENTATTON OF PARTIES Claimant, William C. Norcross ("Claimant") was represented by Kimberly A. Hendrix, Esq. of the law form of Stradley Ronon Stevens & Young, LLP, Philadelphia, PA. .:' Robert A. DiMinico ("

AWARD NASD Regulation, Inc. CASE: 98-03913 Sean J. Kenny, claimant vs. E*Trade Securities Inc., respondent. ATTORNEYS: Claimant Sean J. Kenny appeared Pro Se,, Grand Rapids, MI Respondent E*Trade Securities, Inc., appeared through its Compliance Analyst, Bob Salvador, Palo Alto, CA DATE FILED: 10/20/1998 CASE SUMMARY: Claimant alleged that respondent acted improperly, erroneously and unprofessionally when they executed and then reversed a profit

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David A. Jackson, Claimant v. Arrowhead Investment Center, Respondent. Case Number: 98-03909 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondent: James L. Sanders, Esq. McDermott, Will & Emery Los Angeles, California CASE INFORMATION Statement

Stipulated Award NASD Dispute Resolution In the Matter oft le Arbitration Between: Tri- v. Gaines Berlan< . County Distributors, Inc. Profit Sharing Plan, Hubert W. Salomonson as Trustee (Claimant) , Inc., Michael Chakos, and Douglas Costabile (Respondents) and County Distr butors, Inc. Profit Sharing Plan, Hugh Salomonson and Stephen Salomonson, aimant) v. Gaines Berland, Inc., Michael Chakos, and Douglas Costabile Tri- as Trustees (Cl (