Award NASD Dispute Resolution In the Matter of the Arbitration Between: Therese Gmyrek (Claimant) v. A.G. Edwards & Sons and Marguerite Foley (Respondents) Case Number: 05-2821 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Therese Gmyrek hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, LLP, Holliston, MA. Respondents A.G. Edwa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01163 Fidelity Brokerage Services LLC, (Claimant) vs. Richard T. Evans, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: March 3, 2005 CASE SUMMARY: Claimant alleged that Respondent breached the terms of a contract by failing to repay

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Gale, M.D. and Elaine H. Cohen-Gale, M.D., individually and as Trustees of the Gale Living Trust, and Elaine H. Gale as the ACF of the Pamela Gale U/CA/UTMA, Claimants v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. and Martin B. Stocklan, Respondents Case Number: 05-00734 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Ass

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Sophie Seitchik, Individually Sophie Seitchik, Trustee Names of the Respondents Bainco International Investors, LLC Newbury Street Capital, L.P. Robert G. Katz Nancy von Stackelberg Case Number: 05-00578 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Roy R. Jones, Respondent Roy R. Jones, Counter-Claimant v. Bane of America Investment Services, Inc., Counter-Respondent Case Number: 05-00500 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Bane of America Investmen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08410 Paul A. Keough Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Paul A. Keough ("Keough"), hereinafter referred to as "Claimant": James M. Scutti, Esq., Attorney at Law, Boca Raton, Florida. For St

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Theodore A. Hasson and Case Number: 04-08380 Hearing Site: Houston, Texas Names of Respondents Western Reserve Life Assurance Co., Intersecurities, Inc., Belin Joint Life Insurance Trust, Bruce Belin, Mary Belin and Greg Belin NATURE OF DISPUTE Associated Person v. Member Firm and Non-Members REPRESENTATION OF PARTIES Theodore A. Hasson ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Dominic A. Cifelli, Sr. Mildred V. Cifelli Case No. 99-02377 Names of Respondents Palm State Equities, Inc. Timothy D. Lucas David Alterman Alliance Capital Management Corp. Steven E. Hutek Southern Capital Securities, Inc. REPRESENTATION OF PARTIES For Dominic A. Cifelli and Mildred V. Cifelli, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail J. Spicuzza, Claimant v. Jerome E. Liss, Jeffrey W. Dean, John R. Susnik, and Liss Financial Services, Respondents Jerome E. Liss, Jeffrey W. Dean, and John R. Susnik, Third Party Claimants v. Edward and Diane Godec, Third Party Respondents Case Number: 04-08249 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons Nature of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Quest Capital Strategies, Inc. Claimant(s) vs. Christopher S. Kim and Young Ja Kim Respondent(s) AWARD 88-03698 The Arbitrator/ Randall C. Schakner, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the Claimant on November 18, 1988;