N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Michael G. Scheer and Bette B. Scheer 92-00305 Name of Resoondent(s) Citizens & Southern Securities Corp. REPRESENTATION For Claimants Michael G. Scheer and Bette B. Scheer: Taylor Jones, Esq. and Timothy Brennan, Esq. of Atlanta, GA. For Respondent Citizens & Southern Securities Corp: G. Wayne Hillis, Jr., Esq. of Parker

N.A.S.D. AWARD NAITCNAL AssocrancN OP SECURITIES DEALERS in the Matter of the Arbitration Betinmeo Nas of Edward and Joyce Ranniger MASD NO. 92-00303 PainaMebber, Inc. G. Brsaisr For Claimants: Jama* D. Perkins, Esq., and Philip J. Amis, Spofcane, Waafaisgtcn. Caratau, Jr.,. Luddaa 6 Fear Respondents: WilliamMaC. zacntgonery, Esq., PalneWabber, Dae., lam Aog«lM, Statement of Claim filed: January 28, 1992 13, 1992 Joint St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03055 Earle P. Ledwell, Claimant vs. Jeffery C. Welch and Multi-Financial Securities Corp., Respondents. ATTORNEYS: Claimant, Earle P. Ledwell, ("Claimant"), appeared Pro Se., San Jose, CA. For Respondent, Jeffery C. Welch, ("Respondent"), appeared Renee Des Voigne of Financial Network Investment Corporation, Torrance CA. For Respondent, Multi-Financial Securities Corporation, ("Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul J. D'Orazio Claimant vs. Warren Five Cents Savings Bank Invest Financial Corp. Wall Street Investor Corp. Respondents CASE CASE #92-00298 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992, Claimant Paul D'Orazio who appeared Pro Se. alleged that Respondent Invest Financial Corp. ref

-." -v i D \WARD NATIONAL ASSOCIATION OF SECURITIES DEALEST In the Matter of the Arbitration Between Name of Claimants Russell and Ann Kotfila 92-00297 Name of Respondents Advest, Inc. The Advest Group, Inc. John Nave For Claimants Russell and Ann Kotfila ("Claimants"): Paul Peter Nicolai, Esq., of the Nicolai Law Group, P.C. For Respondents Advest, Inc. and The Advest Group, Inc. (collectively known as "Advest 1 "*: Dean M.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00294 AWARD In the Matter of the Arbitration Between Bert J. Wilson Claimant vs. D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1992, Claimant, Bert J. Wilson who appeared Pro Se, alleged that on December 12, 1991, at 3:30 pm, Respondent D.H. Blair & Co., Inc., by and through t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the~~Arbitration Between Name of Claimants Alfred Ronald Daniell, Mark Alexander, Tommy Gore and Paul Gudat and 92-00287 Name of Respondent and Third Party Claimant Southwest Securities, Inc. Name of Respondent T.L. Smith Securities, Inc. and Name of Third Party Respondent Metroplex VJ Income Partners I and Frederick E. Jury REPRESENTATION OF PAR

N.A.S.D. SHKSD NKTIOSM. ASSOCIATION OF SBCOSITXnS DEMURS In the Matter of'"the Arbitration Between John Xanbeitz 92-00284 Dougherty/ DawJcins, Strand & Yost, Incorporated For Qaiggint: Brace Pearson, of Fargo, North Dakota. For Respondent: Frank Taylor, Ssq. of Popnzm & Balk, MLnne«pol±3, Minnesota. Statement of n.a< in filed* December 30/ 1991. Claimant's SubniBBlon Agreement signed oni January 16, 1992. Statawat .of Anerwer filed by Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DBALBE3 In the Hatter of the Arbitration Between Name of .Claimant Harlan Kletstad 92-00283 Hame of Respondent Daugherty Dawkins Strand Yost For Claimant at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondent at the hearing: Frank A. Taylor, Esq. of Popham Haik, Minneapolis, Minnesota. CASK INFORMATION Statement of Claim filed: January 27, 1992. Claimant's Submission Agree

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc., Claimant v. David M. Homer, Respondent Case Number: 04-05323 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Glen R. Mozingo, Esq. The Mozingo Law Firm Newport Beach, California For Respondent: David M. Homer