Award NASD Dispute Resolution In the Matter of the Arbitration Between: Myer David Snowise and Myra Waynik (Claimants) vs. Citigroup Global Markets, Inc. d/b/a Smith Barney (Respondent) Case Number: 05-02760 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Myer David Snowise ("Snowise") and Myra Waynik ("Waynik"), hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02759 Oppenheimer & Co., Inc., (Claimant) vs. Mark R. Del Valle, (Respondent) ATTORNEYS: ~~~~ For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Merrick, NY, NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 24, 2005 , CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed pu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul S. Holloway CGM IRA Rollover Custodian and Linda K. Holloway SSB IRA Rollover Custodian (Claimants) v. Citigroup Global Markets Inc., Anthony Townsend Williams, Daniel Wayne Doer, and Brendan Willmann (Respondents) Case Number: 05-02728 - Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02726 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Salvadore D. Palermo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum LLP, Orangeburg, New York. Salv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee I. Goldfarb, by: Richard Goldfarb Attorney-in-Fact, and Joan Goldfarb Achtermann Attomey-in-Fact (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 05-02723 : Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES „ - Claimant Lee I. Goldfarb, individually by his Attorneys-in-Fact, Richard Goldf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. (Claimant) v. Ronald Cournoyer (Respondent) Case Number: 05-02720 Hearing Site: Providence, Rhode Island Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James Financial Services, Inc. hereinafter referred to as "Claimant": Leslie A. Reese, Esq., Raymond James Financial Services, Inc., St. Petersburg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Salvini and Ruth Salvini IRA (Claimants) vs. Linsco/Private Ledger Corporation and Frank Antonucci (Respondents) Case Number: 05-02716 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Frank Salvini ("F. Salvini") and Ruth Salvini IRA ("R. Salvini") hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02708 Dewey Harold Brazelton Name of the Respondent Hearing Site: Birmingham, Alabama Edward D. Jones & Company, LP Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dewey Harold Brazelton , hereinafter referred to as "Claimant": Stuart M. Maples, Esq., Johnston, Moore, Maples & Thompson, Huntsville, Alabama. F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Healey, Howard Kapp, Philip Aronoff, and Allisen Modder, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Mark Healey, Howard Kapp, Philip Aronoff, Allisen Modder, and Salomon Smith Barney, Inc. (Respondents) Case Number: 01-00553 (Consolidated w/01-00617) Hearing Site: New York, New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Blais, Claimant v. Wells Fargo Investments, LLC, Wells Fargo Funds Management, LLC, and Jason D. Sands, Respondents Case Number: 05-02700 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward O. Lear, Esq. Century Law Group Los Angeles, California For Responde