NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00471 Ryan Beck & Co., Inc., (Claimant) vs. Frederick Blick, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Jeffrey Primiano, Esq., Livingston, NJ. Respondent appeared pro se, Sausalito, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 30, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repay mon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Jimenez (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-06423 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Larry Jimenez hereinafter referred to as "Claimant" appeared pro se. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": Marcie S. Min

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vivian Orgel (Claimant) vs. Hennion & Walsh, Inc. and Dominic Nori (Respondents) Case Number. 05-03066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vivian Orgel hereinafter referred to as "Claimant" appeared pro-se. Respondents Hennion & Walsh, Inc. ("Hennion") and Dominic Nori ("Nori"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen Bliss Jeffrey Bliss Daniel Craig Case# vs. ' 93-03526 Name of Respondents Bailey, Martin & Appel Inc Financial Equities Resources, Inc. Mark Perron Howard Appel REPRESENTATION For Claimants, Stephen Bliss, Jeffrey Bliss and Daniel Craig ("Claimants"), Phillip Giordano, Esq. from the law firm of Gior

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan J. & Karla J. Holt 93-03527 Name of Respondents Prudential Securities, Inc. John Bedford CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10,1993, Claimants Alan J. and Karla J. Holt, who appeared Pro Se, alleged that they were sold, by Respondent John Bedford, an em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Edward D. Seelig 93-03528 Name of Respondent/Counter-Claimant Wedgewood Partners, Inc. REPRESENTATION For Claimant/Counter-Respondent: Edward D. Seelig ("Seelig") was represented by Donald Kenneth Anderson, Jr., Esq. of St. Louis, Missouri. For Respondent/Counter-Claimant: Wedgewood Partners, Inc. ("Wedgewood

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert A. Lamminen 93-03539 Name of Respondents Dain Bosworth Inc. and Robert Bayless OF PARTIES Claimant, Robert Lamminen ("Lamminen") was represented at the hearing by Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, P. A., Minneapolis, Minnesota. Respondents, Dain Bosworth, Inc. ("Dain") and Robert Bayless ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant LeBaron Robinson, Jr. 93-03543 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant LeBaron Robinson, Jr. ("Robinson") was represented at the hearing by Anthony D. Reagoso, Esq. of Reagoso & Baer of Media, Pennsylvania. Respondent Prudential Securities, Inc. ("Prudential Securities") was represented at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Gollnick, Jr. 93-03544 Name of Respondents J.C. Bradford & Co. Jonathan D. Schlackman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10,1993, Claimant Robert F. Gollnick, Jr., who appeared Pro Se, alleged that Respondent Jonathan D. Schlackman of the Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF _SECURJTTES DffALERg. INC. In the matter of the Arbitration Between Mame of Claimant is) Benjamin Lincoln Elsie Lincoln NASD Arbitration No. 93-03523 Name of R&gppndent ( s ) Quick i Reilly, Inc. Robert William Bayliff RgPRHSgNTATION For Claimants: Benjamin Lincoln, Santa Barbara, California For Respondents: Nicholas J. Chopey, Quick & Reilly, Inc., New York, New York CASE INFORMATION