Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08318 Guzman & Company, a Florida corporation Name of the Respondent Hearing Site: Boca Raton, Florida Patrick Joseph Comack Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Guzman & Company, a Florida corporation, hereinafter referred to as "Claimant": Richard E. Brodsky, Esq., Steel, Hector &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel S. Kalemis, Individually and as Trustee for the Joel S. Kalemis Trust, Claimants, Case Number: 04-08317 Hearing Site: St. Louis, Missouri v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc. and David J. McKay, IV, Respondents. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joel S. Kalemis, Ind

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08314 Rose Marie Reed IRA, Paul A. and Karen M. Cigrang, Karen M. Cigrang IRA, Paul A. Cigrang IRA, Walter Reed, Jr. IRA, Robert D. and Maria A. Kiler, Michael Edward Reed, Matthew W. Geiman and Rose Marie Reed, Joanne Dickie Custodian For Hilary Geiman, Karen Cigrant Custodian For Carter Cigrang, Maria Kiler Custodian For Whitney Kiler, Joanne Dickie Custodian For Leah Geiman, Joanne Dickie Cus

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08306 Kevin P. Suszko, (Claimant) vs. Park Avenue Securities, LLC, Steven Alan Ferrara and Larry David Moore, (Respondents) ATTORNEYS: " " ™ Claimant appeared pro se, Short Hills, NJ. For Respondent Park Avenue Securities, LLC appeared in-house counsel Gordon F. Wylie. Respondent Steven Alan Ferrara appeared pro se, Colts Neck, NJ. Respondent Larry David Moore appeared pro se

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Bobby Dean Taylor, Claimant v. Bane of America Investment Services, Inc., GE Life And Annuity Assurance Company and Francis J. Dolan, Respondents Bane of America Investment Services, Inc. and Francis J. Dolan, Third-Party Claimants v. Patricia Taylor, Third-Party Respondent GE Life And Annuity Assurance Company, Third-Party Claimant v. Patricia Taylor, Third-Party Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eleonore Van den Berghe, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and David A. Kahn, Respondents Case Number: 04-08299 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chad P. Hemmat, Esq. Anderson, Hemmat and Levine L.L.C. Denver, Colorado For Respondents; Eri

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the rigitnant Past* Number: 04-08295 Anthony S. Pattee Namftg nf tViR RcfipfmHante Hearing Site! Washington, DC Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. ttF.PttF.SF.NTATfffcN OF PARTIF.S Claimant, Anthony S. Pattee, hereinafter referred to as "Claimant", was represented by William

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08292 Sandro Grimaldi Name of the Respondent Hearing Site: Boca Raton, Florida VFinance Investments, Inc. Nature of the Dispute: Customer vs. Member. ( REPRESENTATION OF PARTIES i For Sandro Grimaldi, hereinafter referred to as "Claimant": Jonathan M. Drucker, Esq., Trescott, Drucker & Vasallo, P.L., Coral Gables, Florida, For

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vanguard Capital, Inc. (Claimant) v. Jean A. Vitale, Jean A. Vitale IRA (Respondents) and Jean A. Vitale and Jean A. Vitale IRA (Claimants) v. Vanguard Capital, Inc. Case Number: 01-00376 (consolidated w/Ql-06335) Hearing Site: Boston, Massachusetts Nature of the Dispute: (01-00376) Member v. Customers. (01-06335) Customers v. Member. REPRESENTATION OF PARTIES 01-00376

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Christopher and Angela G. LaCombe Name of the Respondent Edward D. Jones & Co. L.P. oVb/a Edward Jones Case Number: 04-08291 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christopher and Angela G. LaCombe, hereinafter collectively referred to as "Claimants": Charles Hunter, Es