Award NASD Dispute Resolution In the Matter of the Arbitration Between: ,' Name nf the Claimant Page Number: 05-03262 Joyce M. Sills Names nf the Kftspondents Hearing Site' Richmond, VA SunTrust Investment Services, Inc. Wachovia Securities, LLC Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant, Joyce M. Sills, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sentra Securities Corporation, Claimant v. Michael R. Zent, Jr., Respondent Case Number: 05-03259 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: John K. Fahey Sentra Securities Corporation Phoenix, Arizona For Respondent: Kathleen A. Herdell, Esq. Law Offices of Kathleen A. Herdell St. Helena,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joy S. Bloom v. 05-03253 Denver, Colorado Respondents Citigroup Global Markets, Inc. and Richard Parker NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Joy S. Bloom ("Claimant") of Denver, Colorado, appeared pro se. Citigroup Global Markets, Inc. ("Citigroup") and Richard Parker ("Parker"), hereinafter collectively

I AWARD ' NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven L. Baru and 05-03247 Kansas City, Missouri Name of Respondent Archer Alexander Securities Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Steven L. Baru ("Claimant") was represented by Robert B. Van Cleave, Esq., Overland Park, Kansas. Archer Alexander Securities Corporation ("AASC") was rep

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-00588 First Union Securities, Inc., claimant vs. Joseph C. Allen, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Renan I. Sugarman, Esq., Chicago, 3L. Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay his remaining overdraw deficit balance upon termination of his employment. Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) vs. Yosef Bleier a/k/a J. Bleier (Respondent) Case Number: 05-03236 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, MA. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) vs. Ahron Y. Kats (Respondent) Case Number: 05-03223 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent Ahron K.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03219 SunAmerica Securities, Inc., (Claimant) vs. Carla S. Marines, (Respondent) ATTORNEYS: ^~ For Claimant appeared John K. Fahey, of the firm AIG Financial Advisors, Inc., Phoenix, AZ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 20, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03209 Mark I. Lev and Neal Scott, (Claimants) vs. Luther Cooper, (Respondent) ATTORNEYS: Claimant appeared pro se through Mark I. Lev, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Persons vs. Associated Person DATE FILED: June 22, 2005 CASE SUMMARY: Claimants alleged that Respondent breached an employment contract by faili

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03206 Jeffrey A. Topham and Amy S. Coon, (Claimants) vs. Fidelity Brokerage Services LLC and Fidelity Investments Inc., (Respondents) ATTORNEYS: For Claimants appeared Gail Boliver, Esq., of the Boliver Law Firm, Griswald, IA. For Respondent Fidelity Brokerage Services LLC appeared in-house counsel Bryan G. Killian, Esq., Boston, MA. Respondent Fidelity Investments Inc. did not submit an