NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05231 Mark Hart and Susan Hart, et al, (Claimants) vs. Fidelity Brokerage Services LLC, (Respondent) ATTORNEYS: For Claimants appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associate, LLC, Pittsburgh, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 5, 2005 CASE SUMMARY: Claimants alleged that Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05190 - Zachary Fiombcrg, (Claimant) vs. WathovJa Securities, LLC., (Respondent) ATTORNEYS: ~ ~~ Claimant appearedjjro re, Chevy Chase, MD. • • • " ' For Respondent appeared in-house counsel, Demian J. Bete, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 3,2005 CASE SUMMARY: Claimant alleged that Respondent bleached its fiduciary duty. Claimant fur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:OI-00621 Charles Schwab & Co., Inc., claimant vs. Gloria Haines, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: February 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance that remains in her account from

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05176 Scott Boyd, (Claimant) vs. Donna Tkach, (Respondent) ATTORNEYS: For Claimant appeared Todd C. Atkins, Esq., of the firm Atkins & Davidson, San Diego, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: October 4, 2005 CASE SUMMARY: Claimant requested expungement of the customer complaint filed by R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05175 David B. Cady and Ruth J. Cady, (Claimants) vs. Huntington Investment Company, Inc., (Respondent) ATTORNEYS: For Claimants appeared Stephen P. Meyer, Esq., of the firm Meyer & Ford, Charleston, WV, For Respondent appeared Emily A. Smith, Esq., of the firm Carlile Patchen & Murphy, LLP, Columbus, OH. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 3, 2005 CASE SU

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05162 Angelina Burnley, (Claimant) vs. Cheryl Jimerson and Westrock Advisors, Inc., (Respondents) ATTORNEYS: ~~ For Claimant appeared Romaine Gardner, of Fordham University, New York, NY. Respondent Cheryl Jimerson did not submit an Answer to the Statement of Claim. Respondent Westrock Advisors, Inc. did not submit an Answer to the Statement of Claim. Respondents Cheryl Jimerson and Westrock

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05151 Mayrene Earle, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Kallie C. Lunsford, Esq., of the firm Riiey & Jackson, P.C., Birmingham, AL. For Respondents appeared Mark Parmelee, Esq., of the firm Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: Au

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05149 Grace Ruth Capo, (Claimant) vs. Wells Fargo Investments, LLC and Ashley Morris, (Respondents) ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondents appeared in-house counsel Thomas F. Kopshever, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 29, 2005 CASE SUMMARY: Claimant alleged that Respondents misrepr

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., Claimant vs. Richard H. Thompson, Respondent Case Number: 05-05133 SITUS: Dallas, Texas NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Joyce M. Mocek, Esq., of the firm of Kutak Rock LLP, located in Atlanta, Georgia. Respondent did not enter an appear

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05074 Jeffrey P. Graves, (Claimant) vs. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared F. Louis Behrends, Esq., of the Behrends Law Offices, Peoria, IL. For Respondent appeared in-house counsel Adam M. Kauff, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 28, 2005 CASE SUMMARY: Claimant alleg