NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CAST?: 04-08183 James L. Mynes, (Claimant) vs. Merrill Lynch, Pierce, Fenncr & Smith, Inc. und Jeffrey D. Summerford, (Respondents) ATTORNEYS: For Claimant appeared Richard S. Frankowski of the firm Whatley Drake, LLC, Birmingham, AL For Respondents appeared Mclinda J. Lucas, Esq. of the firm Maynard, Cooper & Gale, P.C,, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member and Associated Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08180 Ping Ming Teng and Shu Hsien Kuo Teng (Claimants) v. Finance 500, Inc. (Respondent) ATTORNEYS: For Claimants Ping Ming Teng and Shu Hsien Kuo Teng (collectively "Claimants") appeared Fred L. Valentine, Jr., Esq., of the Law Offices of Fred L. Valentine, Jr., Ontario CA. For Respondent Finance 500, Inc. ("Respondent") appeared James R. Duncan, Esq., of the Law Offices of James R. Duncan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08178 The Social Ladies Investment Club (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimant The Social Ladies Investment Club ("Claimant") appeared Jan Graham, Esq., of the Jan Graham Law Offices, Salt Lake City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared A. Jami

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08162 Rosemary M. Smith IRA and Edward F. Smith, Jr. IRA (Claimants) v. Royal Alliance Associates, Inc. (Respondent) ATTORNEYS: Claimants Rosemary M. Smith IRA and Edward F. Smith, Jr. IRA (collectively "Claimants") appeared pro se through Edward F. Smith, Jr., Lake Arrowhead, CA. For Respondent Royal Alliance Associates, Inc. ("Respondent") appeared Gregory M. Curley, Esq., Associate Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Gerard Walsh (Claimant) v. First Union Brokerage Services, LLC n/k/a Wachovia Securities, LLC (Respondent) Case Number: 04-08161 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Gerard Walsh ("Walsh") hereinafter referred to as "Claimant": Harry V. Osborne, II, Esq., Evans, Osbome & Kreizman, LLC,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen A. Genna (Claimant) vs. S.W, Bach & Company, Michael Gogliucci, Berton Seltzberg and Daniel Otoya (Respondents) Case Number: 04-08160 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Stephen A. Genna hereinafter referred to as "Claimant": Appeared pro se. Previously represente

.T NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08152 Danelle M. Sadler, (Claimant) vs. Citigroup Global Markets, Inc. and Domenic Tomaro, (Respondents) ATTORNEYS: " ~~~~ Claimant appeared pro se, Naples, FL. For Respondents appeared Citigroup Global Markets, Inc.'s in-house counsel Ann Parry, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: November 24, 2004 CASE SUMMARY: Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kathleen Davidson and Jeffrey Davidson v. 04-08148 Minneapolis, Minnesota Respondent UBS Financial Services, Inc. NATURE OF DISPUTE Customers v. Member REPRESENTATION OF PARTIES Kathleen Davidson and Jeffrey Davidson ("Claimants") were represented by Rosalind M. Robertson, Esq., and Nicholas P. lavarone, Esq., of Simmons Cooper, P.C., East Alton, Ill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00373 Buckman, Buckman & Reid, Inc., claimant/counterclaim respondent vs. Kuljot S. Bhasin, respondent/counterclaim claimant. ATTORNEYS: For Claimant/Counterclaim Respondent appeared Martin P. Unger, Esq., of the firm Blank Rome Tenzer Greenblatt, LLP, New York, NY. Respondent/Counterclaim Claimant appeared pro. se, New York, NY. DATE FILED: January 23, 2001 CASE SUMMARY: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lien Tang, Claimant v. Cybertrader, Inc., Respondent Case Number: 04-08141 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Lien Tang, Vincent Tang San Jose, California For Respondent: Brandon K. Hemley Charles Schwab & Co. Inc. San Francisco, California CASE INFORMATION Statement of Claim