Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carlin Equities Corporation (Claimant) vs. Pat Franzese (Respondent) Case Number: 05-00223 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Carlin Equities Corporation hereinafter referred to as "Claimant": Daniel Viola, Esq., Carlin Equities Corporation, New York, NY. Respondent Pat Franzese hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: G. Keith Dolan, Claimant v. Royal Hutton Securities Corp., Michael F. Dobbs., and John T. Pisapia, Respondents Case Number: 01-00435 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondent Royal Hutton Securities Corp. For Respondent Michael F. Dobbs: For Respondent John T. Pisapia: CASE INFORMATION Arthur Leider Investors A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00219 Doreen Keeley (Claimant) v. Citigroup Global Markets, Inc. (Respondent) ATTORNEYS: ~~~~~~ For Claimant Doreen Keeley ("Claimant") appeared David Bishop, Esq., Sayville, NY. Claimant appeared Pro Se For Respondent Citigroup Global Markets, Inc. ("Respondent") appeared Joseph L. Calabrese, Esq., in-house counsel, Citigroup Global Markets, Inc., New York, NY. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Larry A. Trailer, Respondent Larry A. Trailer, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 05-00217 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Wachovia Securities, LLC ("Wac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00199 Wachovia Securities, LLC, (Claimant) vs. Anna M. Johnson, (Respondent) ATTORNEYS: For Claimant appeared Renan Sugarman, Esq., Chicago, IL. Respondent appeared pro se, Glendale, AZ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 11, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed pursuant to the terms of a Promissory Note. Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert C. Naumann i v. 05-00198 Denver, Colorado Respondents Janney Montgomery Scott, LLC and Albert J. Copperstone NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert C. Naumann ("Claimant") was represented by Eric H. Schunk, Esq., of The Law Offices of Eric H. Schunk, Esq., Boulder, Colorado, i Jan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00180 Cheri R. Damitio IRA (Claimant) v. Charles Schwab & Co., Inc. (Respondent) ATTORNEYS: Claimant Cheri R. Damitio IRA ("Claimant") appeared pro se, Blodgett, OR. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Brandon K. Hemley, Esq., in-house counsel, Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: January 3, 2005.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. (Claimant) v. John M. Murphy (Respondent) Case Number: 05-00177 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc. f7k/a Salomon Smith Barney Inc. hereinafter referred to as "Claimant": David W. Schmidt, Esq., Cranford, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nana A. Barwise and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 05-00162 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Nana A. Barwise ("Claimant") was represented by Ryan K. Bakhtiari, Esq., Aldikoff, Uhl & Bakhtlari, Beverly Hills, California. Merrill Lynch

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00159 Lawrence R. Berger, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: " ~~ Claimant appeared pro se, Ridgefield, CT. For Respondent appeared in-house counsel James J. Vihstadt, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 11,2005 CASE SUMMARY: Claimant alleged that Respondent made an error in the execution of a trade. Claimant further alleged man