N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Neil S. and Barbara Saltzman 92-01044 Name of Respondent^ Shearson Lehman Brothers. Inc. For Claimants Neil and Barbara Saltzman: Claimants appeared Pro Se. For Respondent Shearson Lehman Brothers, Inc.: Paul Williams, Esq. of Schupbach. Williams & Pavone. CASE INFORMATION Statement of Claim filed: March 23. 1992. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy R. Kealy 92-01043 Name of Respondents John Moylan PirsTier Securities Services Inc. Invest Financial Corporation REPRESENTATION For Claimant at the hearing: Patrick M. Flood, Esq. of Omaha, Nebraska. For Respondent FirsTier Securities Service, Inc. at the hearing: Henry E. Pfeiffer, Esq. of Omaha, Nebraska.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Perry M. Perlman Case# vs. 92-01041 Name of Respondents Joann Hyman Corporate Securities Group Inc. REPRESENTATION For Claimant, Perry M. Perlman ("Claimant"), Ronald A. Markowitz, Esq. from the law firm of Markowitz. Markowitz & Piro. For Respondents, Corporate Securities Group, Inc. ("CSG") and Joann Hyman ("Hyman"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald Chabal, William Allison, Charles Anderson & Nancy Anderson, Patrick Anderson, John Chadwick, Hector Correa, Jeffrey Daise & Anita Daise, Thomas OriscoU, Harold Qranzow, David Hixenbaugh & Susan Hixenbaugh, Susan Holbrook, Gerald Hudac, Ray Jones, Georgette Murray, Karen Kasiroirsky, Chester Kasimirsky, Norma J. Kasimirsky, Howard Kel

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