NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03807 Stifel, Nicolaus & Co., Inc., Claimant v. Brooks Stephen Speirs, Respondent. ATTORNEYS: For Claimant, Stifel, Nicolaus & Co., Inc., ("Claimant"), appeared Peter R. Sonderby, Esq., Chicago, EL Respondent, Brooks Stephen Speirs, ("Respondent"), appeared pro. se. Thornton, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 27, 2003 CASE SUMMARY: Claimant alleged th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03779 Ralph Ruffolo, Claimant v. Sheldon Andre and First Montauk Securities Corporation. Respondents. ATTORNEYS: For Claimant. Ralph Ruffolo, ("Claimant") appeared Marcel la Silverman. Esq.. New York. N" Respondents, Sheldon Andre and First Montauk Securities Corporation, ("Respondents' appeared through their in-house counsel Joel Levinson. Esq.. Red Bank. NJ. NATURE OF DISPUTE: Customer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03562 Abdul Khalil Rashidzada, Claimant vs. Morgan Stanley DW Inc. and John Ulrich, Respondents. ATTORNEYS: For Claimant, Abdul Khalil Rashidzada, ("Claimant"), appeared John T. McGuire, Esq., New York, NY. Respondents, Morgan Stanley DW Inc. and John Ulrich, ("Respondents"), appeared through their in-house counsel Keith Guifoyle, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03440 Fahnestock & Co., Inc., Claimant v. Julian C. Curry, Respondent ATTORNEYS: Claimant, Fahnestock & Co., Inc., ("Claimant"), appeared through its in-house counsel Eric. J. Schames, New York, NY. Respondent, Julian C. Curry, ("Respondent") appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 9, 2003 CASE SUMMARY: Claimant alleged that Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Joginder S. Soni, Claimant v. Brookshire Securities Corp., Brookshire Holdings, Inc. Timothy B. Ruggiero, Sheldon M. Goldberg and Renzo D. Traverse, Respondents Case Number: 01-03090 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Scott M. Ratchick, Esq. Hunton & Will

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Esmerelda Vega and Case Number: 03-03396 Hearing Site: Detroit, Michigan Names of Respondents Edward D. Jones & Co. and Gary Martin NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Esmerelda Vega ("Claimant") was represented by Maureen Cajoux, Esq., Hooper & Weiss, LLC, Orlando, Florida. Edward D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03394 Arlene M. Rosenthal, Claimant vs. John Golliozo, Oldham Resources, Inc., and Prime Capital Services Inc., Respondents. ATTORNEYS: Claimant, Arlene M. Rosenthal, ("Claimant"), appeared pro se, Wilton, CT. For Respondents, John Golliozo, Oldham Resources, Inc., and Prime Capital Services Inc., (collectively "Respondents"), appeared Martin J. Burns, Esq., of the Law Offices of Wilson,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03210 Patricia J. Robbins Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. George Paul Bayer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia J. Robbins, hereinafter referred to as "Claimant": Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01894 Mary and Walter Cunningham, Trustees and Stacey L. and Walter J. Cunningham, JTWROS, (Claimants) vs. Citigroup Global Markets, Inc. and Robin L. .Williams, (Respondents) ATTORNEYS: Claimants appeared pro se, La Jolla, CA. For Respondents appeared Julie A. Kole, Esq., of the firm Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member and Associated Pers

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01474 Fidelity Brokerage Services, LLC, (Claimant) vs. Richard Lara, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 22, 2006 CASE SUMMARY: Claimant alleged that Respondent fai