Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Darling (Claimant) v. Emmet & Co., Inc. and Christopher Emmet (Respondents) Case Number: 04-07730 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Dennis Darling hereinafter referred to as "Claimant": Samuel J. Samaro, Esq., Pashman Stein, P.C., Hackensack, New Jersey. Respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03022 Charles Schwab & Co., claimant vs. Randall A. Goddard, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Randall A. Goddard ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 07/02/1999 CASE SUMMARY: Claimant maintained that on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roland Edward Engel vs. Robert Thomas Crothers, Gaines Berland, Inc. n/k/a Ladenburg Capital Management, Inc., and Bear Stearns Securities Corporation. Case Number: 04-07696 Hearing Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Roland Edward Engel, hereinafter referred to as "Claimant", was not rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Haenel (Claimant) vs. North Ridge Securities Corporation and Daniel Levy (Respondents) Case Number: 04-07630 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Alan Haenel ("Haenel") hereinafter referred to as "Claimant": Noah Shapiro, Esq., Akabas & Cohen, New York, NY. Respondents N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Jacobs, IRA, Claimant v. McDonald Investments, Inc. and Matthew G. Presjak, Respondents Case Number: 04-07608 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard M. Layne, Esq. Layne & Lewis LLP Portland, Oregon For Respondents: Bruce L. Campbell, Esq. Miller Nash LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Marshall, Valerie Marshall and Nickel City Sales, Inc. (Claimants) v. Signator Investment Company, Joseph S. Porto, John Hancock Financial Services and Goodwin Insurance Agency (Respondents) Case Number: 04-07109 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants Greg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant i, Jeanne L. Wyrosdick, TTEE Jeanne L. Wyrosdick Rev/Trust Name of the Respondent Edward D. Jones & Co. Case Number: 04-07080 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SF.NTATTON OF PARTTF.S Claimant, Jeanne L. Wyrosdick, TTEE, Jeanne L Wyrosdick Rev/Trust, hereinafter referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheldon Blumberg, Lucille Blumberg, Penny Blumberg, Lauren Ann Roberts and Kelly Ann Roberts (Claimants) v. Ronald Sarao, ST., Kirsten Monika Cody and Neal Albert Bohlman (Respondents) Case Number: 04-05546 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Sheldon Blumberg ("S. Blumberg"), Luci

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-04362 Case Number: 04-04285 Leonard Polonsky, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Bernard F. Wozniak, John R. Shoemaker, and Paul S. Tanzman, Respondents Case Number: 04-04362 Leonard Polonsky, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. f/k/a Salomon Smith Barney

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norbert Baumann (Claimant) vs. Lehman Brothers Inc. (Respondent) Case Number:04-04636 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Norbert Baumann ("Baumann") hereinafter referred to as "Claimant": Joseph J. Dehner, Esq., Frost Brown Todd LLC, Cincinnati, OH. Respondent Lehman Brothers, Inc. ("Lehman") hereinafter r