NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05172 Steven Richard Block, (Claimant) vs. Finacorp Securities, (Respondent) ATTORNEYS: Claimant appeared pro se, Baldwin, NY. For Respondent appeared in-house counsel, Eduardo J. Prado, Irvine, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: October 1, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed for compensation. Claimant maintaine

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Isaac Goldlust (Claimant) vs. Salomon Smith Barney, n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 05-04591 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Isaac Goldlust hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Salom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00628 Philip L Risley Carol S. Risley Name of the Respondent Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Philip L. Risley and Carol S. Risley, hereinafter collectively referred to as "Claimants", were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald G. Ventura (Claimant) vs. vs. Quick & Reilly, Inc. (Respondent) Case Number: 04-03157 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Ronald G. Ventura hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Law Office of Christopher J. Gray, P.C., New York, NY. Claimant previously appeared pro $e.

Award NASD In the Matter of the Arbitration Between: Isabel K. Coyle-Sesty, Claimant v. Werbel-Roth Securities, Inc. and Michael L. Zaccaro, Respondents Case Number: 01-02328 Hearing Site: Boca Raton, Flbrida REPRESENTATION OF PARTIES For Isabel K. Coyle-Sesty, hereinafter referred to as "Claimant": Melanie S. Cherdack, Esq., Genovese Lichtman Joblove & Battista, Miami, FL. For Werbel-Roth Securities, Inc. ("WRS") and Michael L. Zaccaro ("Zaccaro"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Kusher and Margery Melton Kusher, Stuart Kusher, IRA and Margery Melton Kusher, IRA, Claimants v. A.G. Edwards & Sons, Inc. and Michael F. Fangman, Respondents Case Number: 05-02559 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Speci

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Wade, Sr. IRA vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., John M. Jones and Virgil L. Underwood. Case Number: 05-01369 Hearing Location: Charleston, W V Nature of the Dispute: Customer vs. Member and Associated Persons. REPRFSFMTATIOM OF PARTIFS Claimant, John D. Wade, Sr. IRA, hereinafter referred to as "Claimant", was represented by Shawn P. George, Esq., George &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul R. Yamshon, Paul R. Yamshon, IRA, Patricia L. Yamshon, Patricia L. Yamshon, IRA, Paul R. Yamshon TTEE and Patricia L. Yamshon TTEE of the Yamshon Family Trust U/A dtd 11/20/96, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Uwe M. Ruttke, Respondents Case Number: 03-07273 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph I. Bubonic and Versailles LLC, Claimants v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and Robert J. Klein, Respondents Case Number: 05-06676 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Joseph T. Bubonic and Versailles LLC: Jeff Dennis Ferentz, Esq. Na

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Khen Yu Ly and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and lain A. Sharpe Case Number: 05-03072 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES -Khen^u-Ly4"CJaimant'^_vvasLrep_i:esented by Jeffrey J. Tompkins, Esq.. Houston. Texas. Merrill Lynch P