NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03422 Michael E. and Grace C. NG- Hogan, (Claimants) vs. B. Chen, M. Hepworth, Tim Ratty & Alexander Torso, Jr., (Respondents) ATTORNEYS: Claimants appeared pro se, TWP of Washington, NJ. For Respondents appeared Citigroup Global Markets, Inc.'s in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Persons DATE FILED: July 19, 2

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Nast (Claimant) v. Walnut Street Securities, Inc., Nathan & Lewis Securities, Inc. and Laurence Braunstein (Respondents) Case Number: 04-07353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Nast hereinafter referred to as "Claimant": Ross B. Intelisano, Esq., Rich Intel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred DiRico (Claimant) vs. Ellen Davidson and Bane of America Investment Services, Inc. (Respondents) Case Number: 05-02485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Alfred DiRico hereinafter referred to as "Claimant": Jonathan Braverman, Esq., Baker, Braverman & Barbadoro, P.C., Brai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03048 Jeffrey Daniel Herbst, Claimant vs. Tuschner & Company, Inc., Respondent. ATTORNEYS: Claimant, Jeffrey Daniel Herbst, ("Claimant"), appeared Pro Se., Rio De Janeiro, Brazil Respondent, Tuschner & Company, Inc. ("Respondent"), did not respond to the Statement of Claim. DATE FILED: July 6, 1999 ^^ ~ CASE SUMMARY: Claimant alleged that Respondent business practices were unethica

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Veravest Investments, Inc., First Allamerica Financial Life Insurance Company, and Allmerica Financial Insurance and Annuity Company (Claimants) v. Louis G. Pelletier and Frank Germano (Respondents) Case Number: 03-06597 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member and Non-Members v. Associated Persons. REPRESENTATION OF PARTIES Claimants Veravest Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eva M. Davis (Claimant) vs. Jesup & Lament Securities Corp. and Charles James Moni (Respondents) Case Number: 06-00886 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Eva M. Davis hereinafter referred to as "Claimant": James F. Mahon, Jr., Esq., James F. Mahon, Jr., Esq., Attorney at Law, Princ

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00208 AWARD In the Matter of the Arbitration Between Susan Nielsen Claimant vs. A.G. Edwards & Sons, Ine. Ronald Billings Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992 Claimant Susan Nielsen, who appeared Pro Se, alleged that in July 1989 she was awarded half of her former husband's IRAs through a di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of lii LaMar Dugan, Hollis B. Logan. - - Don W. Lieberknecht and Harry F. Chapman and 92-00204 Name of Respondents Bear, Stearns < & Co., Inc. and Timothy J. Faust OF PARTIES Claimants LaMar Dugan, Hollis B. Logan, Don W. Lieberknecht and Harry F. Chapman were represented by Coyt Randal Johnston, Esq. of Johnston & Budner, Dallas,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent Belmonte and Anita Busciglio 92-00199 Name of Respondents Prudential Securities Inc Arthur Dickert REPRESENTATION For Claimants: Susan N. Perkins. Esq., a sole practitioner. For Respondents: Allen Meyer. Esq. and Richard Miller. Esq. of Katten Muchin & Zavis. CASE INFORMATION Statement of Claim filed: January 1

N.A.S.D. AWARD NATIONAL ASSOdXTICN OF Htf?JH.VV-ii*t DBaUSRS In the Matter of the Arbitration Betnieen Raymond Smith. Isabella M. vs. 92-00198 Sutro & Qp, T Kirk G. Aguer For Claimants; Jbaeph L. Stogner, Esq./ O'Brien, Whttera, Dsvi* & Piaata, For Reajxaodeflt Sutro 6 Co. Inooaporatadj J«ffray J. Cole, Eaq., Jadcaon, Tufts, Cole & Blade, San Francisco, Oi11f< im1a For Respondent Klxk G. Agueri Bruce Bryaon, Eaq., San Rafael, Statanan