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 (

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