NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Lou Willdigg ) Claimant ) and AWARD James L. Fainter 88-02315 Consolidated Investment Services, Inc. Respondents ) CASE SUMMARY Mary Lou Hilldigg ("Claimant") invested approximately $70,000, generated from the sale of her residence, with Consolidated Investment Services, Inc. and James L. Fainter (collectively referred to herein as "Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) ) Case #88-02314 vs. ) Award Bradley E. Kerr Respondent ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the % Claimant on June 30, 1988 but not signed by the Respondent a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carlo DiBello ) Claimant ) ) Case #88-02310 vs. ) Award W.T. Cabe & Co., Inc. Bertram Aber Respondents CASE SUMMARY Claimant alleges Respondents failed to execute his sell orders for 200 shares of General Electric Co. and 100 shares of Digital Equipment Corp. Respondents maintain the sell orders were placed with Morgan, Olmstead, Kennedy and Gardn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sham Pirnia Virginia Pirnia vs. Claimants Case *88-02309 Award Charles Schwab & Co., Inc. Guy Bryant Mike Babul sky Respondents On May 2, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Sham and Virginia Pirnia, on July 7, 1988, and by Respondent, Cha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03261 Donna Fryburg, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: ~"~~ —— ___ Claimant appeared pro se, Eugene, OR. For Respondent appeared in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 4, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to properly advise her on investments in her a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03039 Christiana Lusher, (Claimant) vs. Roland Austin Jacobus III, (Respondent) ATTORNEYS: Claimant appeared pro se, Palatine, IL. For Respondent appeared Citigroup Global Markets, Inc.'s in-house counsel, Lydia R. Zaidman, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: June 22, 2006 CASE SUMMARY: Claimant alleged that Respondent breach his fiduciar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn Nevard Herrmann (Claimant) vs. Bear Stearns & Co., Inc. (Respondent) Case Number: 05-05549 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marilyn Nevard Herrmann hereinafter referred to as "Claimant": Leslie Trager, Esq., Morley & Trager, New York, NY. Respondent Bear Stearns & Co., Inc. hereinafter referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Balta, Julia Balta and Marjorie Balta (Claimants) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and John F. Sorensen (Respondents) Case Number: 05-05026 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants James Balta, Julia Balta and Marjorie Balta hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey R. Chicola (Claimant) v. Gregory Goldstein, Sammi Goldstein, Steven Cohen, and Marquis Financials Services, Inc. (Respondents) v. Computer Clearing Services, Inc. (Third-Party Respondent). Case Number: 05-04245 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimant Je

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jane E. Pattison and Richard A. Pattison (Claimants) vs. Commonwealth Financial Network and Mark S. Singer (Respondents) Case Number: 05-03764 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Jane E. Pattison ("J. Pattison") and Richard A. Pattison ("R. Pattison") hereinafter colle