Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph R. Jackson, (Claimant) vs. Roy M, Henry, FFP Securities, Inc., First Financial Planners, Inc.(Respondents), Case Number: 98-03901 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant, Joseph R. Jackson (" Jackson"): Kenneth R. Jones, Esq., Law Offices of Kenneth R. Jones, Jr. Nashville, Tennessee; Respondents, Roy M. Henry ("Henry") and FFP Securities, Inc.

AWARD NASD Regulation, Inc. CASE: 98-03899 Estate of Samuel H. Jones, claimant vs, Michael Stein, Rose Cefalo, & Kirlin Securities, Inc., respondents. ATTORNEYS: Claimant, Estate of Samuel H. Jones appeared Pro Se, through its Executor Daniel J. Jones, Commack, NY For Respondents Michael Stein, Rose Cefalo, and Kirlin Securities, Inc., appeared Patrice Vellecca, Director of Compliance, Syosset, NY DATE FILED: 10/20/98 CASE SUMMARY: Claimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dennis Cook, (Claimant) vs. A.G. Edwards and David A. Fortmeyer, (Respondents). Case Number: 98-03898 Hearing Site: Ft. Wayne, Indiana REPRESENTATION OF PARTIES Claimant Dennis A. Cook ("Claimant") represented himself. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and David A. Fortmeyer ('Tortmeyer"), hereinafter collectively referred to as "Respondents": Jeff Jamieson, Esq.

Award NASD Dispute Resolution, lac. In the Matter of the Arbitration Between Names of Claimants Hannah Miller IRA Hannah, Howard and Arthur Miller Case No. 98-03897 Names of Respondents Hamilton-Shea Group, Inc. Keith Allen Mills Michael Thomas O'Hara Michele Mente Taylor Paul Milton Efron Foundation Capital Corp. Joseph J. Salerno, III REPRESENTATION OF PARTIES For Hannah Miller IRA ("Miller IRA") and Hannah, Howard and

Award NASD Regulation, Inc. mthe Matter of the Arbitration Between Infotek, Inc., Harold Adkins and Dolores Adkins Trustees (Claimant) vs. Gruntal & Co., LLC and Steven Gottesman (Respondents) Case Number: 98-03894 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Infotek, Inc. ("Infotek"), Harold Adkins ("Mr. Adkins") and Delores Adkins ("Mrs. Adkins"), hereinafter collectively referred to as "Claimants": Harold Adkins from Infotek,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fei Xu. (Claimant) vs. Gold Country Securities, Inc., David Wong, and Hung Kwong Yu a/k/a Ken Yin Yu, (Respondents) Case Number: 98-03891 Hearing Siter New York, New York REPRESENTATION OF PARTIES Claimant Fei Xu, hereinafter referred to as "Claimant": Gena Lai, Raymond Chan, and Iram Valentin, Law Student Interns, Lincoln Square Legal Services?Inc., New York. NY. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03244 Joseph M. Ferraro, Jr., Claimant vs. TD Waterhouse Investor Services, Respondent. ATTORNEYS: Claimant appeared Pro Se, Jackson, NJ. Respondent appeared through its in-house, Janis Campanella, Esq., New York, NY. DATE FILED: July 31, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to provide the "best execution" prices on trades when requested which resulted in loss

AWARD NASD Regulation, Inc. CASE: 98-03889 Elliott Widolok and Joyce Widolok, claimants vs. Salomon Smith Barney, Inc., Laura Fennell, Linda R. Schaffer and Jason Torres, respondents. ATTORNEYS: Claimants appeared Pro Se - Merrick, NY. For Respondents appeared in-house counsel, Ann Parry, Esq. - New York, NY. DATE FILED: October 19, 1998 CASE SUMMARY: Claimants alleged that based on respondents representations and recommendation he purchased sha

AWARD NASD Regulation, Inc. CASE: 98-03888 Alfred John Thomas Bryant and Lorraine Bryant, claimants vs. Bryan Robert Brush and First Security Investments, Inc., respondents. ATTORNEYS: For Claimants appeared Rizwan Gondal, Attorney in fact, New York, NY. For Respondent Bryan Robert Brush appeared M. David Sayid, Esq., of the firm, Sayid and Associates, New York, NY. For Respondent First Security Investments, Inc. appeared its Compliance Officer, Meg

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Marvin P. Martin and Mary Ann Martin NASD Case No. 98-03884 Hearing Site: Charlotte, North Carolina Names of Paul Fitzgerald, Linda S. Kimbrough, Rob Moses, Kimball N, Whitfield, Debra L. Whitfield, and First Allied Securities, Inc. REPRESENTATION OF PARTIES Claimants, Marvin P. Martin and Mary Ann Martin, hereinafter referred to as "Claimants",