N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant GKN Securities Corp., 94-00029 Name of Respondent Anthony V. Cincotta, Jr. .-.,'••"• •'•'•"'' ••. • .... •• ' REPRESENTATION'- • '•;-.«' •' " ••' .•• For Claimant GKN Securities Corp.: Katherine Nathan, Esq. of GKN Securities Corp. Respondent Anthony Cincotta, Jr. did not appear at the hearing. CASE INFORMATION Statement of Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between * DAVID F. MOSER, BEATRICE MOSER, EARL HETTZMAN.ETHEL HETTZMAN, CATHY KIMBALL and THOMAS KIMBALL, Claimants, v. NASD No. 94-28 SECURITIES WEST, INC., PHILLIP ANTON, JOSEPH ANTON, LAWRENCE DUCHENE and FRANK DETTENREIDER, Respondents. Representation For Claimants: Richard Sacks of Investors Recovery Service, Novato, California and James Su

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between V MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., v. JOSEPH BRONSON Claimant, Respondent NASD No. 94-00026 For Claimant: For Respondent: Representation Thomas Taylor, Esq. of Jones, Bell, Simpson & Abbott, Los Angeles, California Jeffrey Benice, Esq. of Benice & Associates, Irvine, California Case Information Statement of Cl

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Ingrid Ammondson, Claimant v. Salomon Smith Barney Inc. (n/k/a Citigroup Global Markets, Inc.) and Philip C. Hall, Respondents Case Number: 03-00024 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John S. Perkins, Esq. Law Offices of John S. Perkins San Jose, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bachrach & Associates, (Claimant) vs. Seaboard Securities, Inc., Mirsad A. Muharemovic, Anthony J. DiGiovanni, and Joseph T. Zappala, (Respondents) Case Number: 01-02905 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bachrach & Associates, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, NY. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harriet Lawrence Webb, Claimant v. Robert Emmer and Associated Securities Corp., Respondents Case Number: 05-06512 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents: Samuel Y. Edgerton, III, Esq. Cha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara E. Richards, Claimant v. Morgan Stanley DW Inc., C. Michael Jennings and John H. Polhemus, Respondents Case Number: 05-03458 Hearing Site: San Francisco, California and Redding, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: W. Stephen Wilson, Esq. Tobin & Tobin San Francisco, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherry Kettering, Claimant v. Cheryl D. Jimerson, InvestPrivate, Inc., Westrock Advisors, Inc., Scott L. Mathis, and Donald Geraghty, Respondents Case Number: 05-05146 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Hokanson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Thomas Patterson, Respondents Case Number: 05-04780 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irwin Stein Law Offices of Timothy A. Canning Novato, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lyon Investments, Inc., Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 05-03292 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: James A. Hughes, Esq. Sullwold & Hughes San Francisco, California For Respondent: Philip McLeod, Esq. Julie A. Kole, Esq. Keesal, Young & Logan