AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. vs. Bennett James Johnson Case Number: 05-04749 SITUS: New Orleans, Louisiana NATURE OF DISPUTE: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("CGMI") and Citigroup Global Markets Holdings, Inc. ("CGMHI"), hereinafter collectively referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04728 National Securities Corporation, (Claimant/Counterclaim Respondent) vs. Phillip V. Renz, Michael L. Aga, Thomas J. Mackenroth, Kenneth S. Bush and Robert Thorson, (Respondents/Counterclaim Claimants) ATTORNEYS: For Claimant/Counterclaim Respondent appeared James K. Barbee, Esq., of the firm Golbeck Roth, PLLC, Seattle, WA. For Respondents/Counterclaim Claimants appeared Derek Y. Br

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04715 Georgina Hagel Name of the Respondent Hearing Site: Boca Raton, Florida F. Mackey Hughes Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Georgina Hagel, hereinafter referred to as "Claimant": Pamela A. Leone, Esq., Miami, Florida and Chandra Parker Doucette, Esq., Boca Raton, Florida.. For F.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. David Lomedico (Respondent) Case Number: 05-04712 Hearing Site: New York City, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC hereinafter referred to as "Claimant": J. Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Keith Berts, Betts Pump Service, Inc. and Berts Environmental, Inc., (Claimants) v. First Union Securities Fiancail, (Respondent) Case Number: 01-00609 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants Keith Betts, ("Betts") Betts Pump Service, Inc. ("Betts Pump Sevice") and Betts Environmental, Inc., ("Betts Inc."): William S. Shepherd, Esq., of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ruth E. Watkins (Claimant) vs. Edward D. Jones & Co., and Bob Bedinghaus (Respondents) Case Number: 05-04687 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ruth E. Watkins hereinafter referred to as "Claimant" appeared pro se. Respondents Edward D. Jones & Co. ("Edward Jones") and Bob Bedinghaus ("B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04658 Michael J. Osewalt, (Claimant) vs. Mony Securities Corporation, (Respondent) ATTORNEYS: Claimant appeared pro se, Bergen, NY. For Respondent appeared Stephen McDougall, Esq., in-house counsel for AXA Equitable Life Insurance Company, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 31, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to execute

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04641 Catalina Borrero, (Claimant) vs. Finacorp Securities, (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel Eduardo J. Prado, Esq., Irvine, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 5,2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repay monies owed for co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04640 SunAmerica Securities, Inc., (Claimant) vs. Albert J. Becker, Jr., (Respondent) ATTORNEYS: For Claimant appeared in-house counsel John K. Fahey, Esq., Phoenix, AZ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 6, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC, Claimant v. Isaiah David Tapius, Respondent Case Number: 05-04619 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates Quincy, Massachusetts For Respondent: Isaiah David Tapius In Propria Persona Beverly Hills, Cal