Award NASD Dispute Resolution In the Matter of the Arbitration Between: -—— — — Roslyn Berger (Claimant) vs. Salomon Smith Barney, Inc. k/n/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-08636 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Roslyn Berger hereinafter referred to as "Claimant": Debra Hayes, Esq., Woska Hayes, LLP, Kingwood, TX. Respondent Salomon Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Juan-Carlos Lonza (Claimant) vs. NYPPE, LLC f/k/a Allen Capital Group (Respondent) Case Number: 04-07939 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Juan-Carlos Lonza hereinafter referred to as "Claimant": Paul B. Garland, Esq., New York, NY. Respondent NYPPE, LLC f/k/a Allen Capital Group hereinafter r

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Stephen N. Foos, and Priscilla M. Foos, Immediate Medical Accounting Group, Inc., Samuel Foos and Rowena Foos v. 00-05024 Denver, Colorado Respondents First Union Securities Financial Network f/k/a JW Genesis Financial Services, Inc. f/k/a Corporate Securities Group, Inc., Marion Bass Securities Corporation, Chadwick E. Cochran and Tho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02357 Fidelity Brokerage Service, Inc., claimant vs. Mohamed Khaled Mansour and Stephanie R. Trapp, respondents. ATTORNEYS: ~ ~ For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 7, 2001 "~~ CASE SUMMARY: Claimant alleged that responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Charles Sawicki Christopher Sinkula Joseph S. Jones IV Name of the Respondent Dean Good Case Number: 05-05990 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member and Associated Person vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberiy Serino (Claimant) vs. Citigroup Global Markets, Inc. d/b/a Salomon Smith Barney (Respondent) Case Number: 05-02877 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Kimberiy Serino hereinafter referred to as "Claimant": Tricia Legittino, Esq., SimmonsCooper LLC, East Alton, IL. Previously represented by Nich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01183 Wilbur P. Williams, Jr. Name of the Respondents Hearing Site: Charlotte, North Carolina Wachovia Securities, LLC Robert Suddreth Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Wilbur P. Williams, Jr., hereinafter referred to as "Claimant", was represented by Staten L. Wilcox,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Denise Radomski, Claimant v. Bane of America Investment Services, Inc., E*Trade Securities LLC, and Irene R. Sinow, Respondents E*Trade Securities LLC, Cross-Claimant v. Bane of America Investment Services, Inc. and Irene R. Sinow, Cross-Respondents Case Number: 04-08016 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person Memb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 1992 Samuel Harris Family Trust and The Charlotte Harris Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Morgan Stanley DW, Inc. (Respondents) Case Number: 05-04195 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES Claimants 1992 Samuel Harris Family Trust ("Family Trust") and The Charlotte Harris Trust

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02355 Robert M. Ashen, claimant vs. Morgan Stanley Dean Witter and Jac B. Stulberg, respondents. ATTORNEYS: Claimant appeared Pro Se, Beverly Hills, CA. For Respondents appeared Wendy R. Robinson, Esq., in-house counsel, San Francisco, CA. DATE FILED: May 7, 2001 CASE SUMMARY: Claimant alleged that without notice or disclosure, respondent changed his long-standing customer account t