NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01136 Ryan Beck & Co., Inc, Claimant v. Theodore Clark Rosen, Respondent ATTORNEYS: For Claimant Ryan Beck & Co., Inc. ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Theodore Clark Rosen ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 20, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles E. Ryan, Claimant v. Raymond James Financial Services, Inc. and Investors Capital Corp., Respondents Investors Capital Corp., Third Party Claimant v. James Calvin Abel, Jr., Third Party Respondent Case Number: 04-01133 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Members Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Jan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01132 Brian D. Fylak, Claimant vs. ,Citigroup Global Market, Inc. f/k/a Salomon Smith Barney, Inc. and J. Palmer Patton Respondents. ATTORNEYS: Claimant, Brian D. Fylak ("Claimant") appeared pro se, Charlotte, NC. For Respondents, Citigroup Global Market, Inc. f/k/a Salomon Smith Barney, Inc. J. Palmer Patton (collectively "Respondents' 1 ) appeared Louis G. Santangelo, Esq., in-hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George W. Stillwaggon (Claimant) vs. Morgan Stanley Dean Witter Inc. and Kevin Burke (Respondents) Case Number: 04-01130 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George W. Stillwaggon ("Claimant"): Richard L. Burstein, Esq., Tuczinski, Cavalier, Burstein & Collura Albany, NY. Claimant prev

} Jf: Award NASD Dispute Resolution Li the Matter of the Arbitration Between: ffl" 04-01128 Fred D. and Amanda N. George Jiie: Dallas, Texas Prudential Equity Group, LLC; and, Justin T. Cummings NATTTpF OF ^TTF mfiPTTTF. Public Customers v. Member Firm and Former Associated Person Claimants Fred D. and Amanda N. George, hereinafter collectively referred to as "Claimants": H. Grady Tenill, Esq. and Janna Kay Fulfer, Esq., of the firm

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bane of America Investment Services, Inc. and 04-01127 Oklahoma City, Oklahoma Respondent James Billingsley Counter-Claimant James Billingsley and Counter-Respondent Bane of America Investment Services, Inc. NATURE OF THE DISPUTE Member Firm vs. Associated Person, Associated Person vs. Member Firm REPRESENTATION OF PARTIES Bane of America

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Impact Trading, LLC, (Claimant) vs. Investment Services Capital Corp., Jeffrey Tognetti, and Nicholas Piazza, (Respondents) Case Number: 00-05660 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Impact Trading, LLC, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondents, Investment Services Capital Cor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number; 04-01 121 Anthony and Frances D' Ambrosio Names nf thg Respondents Hearing Site! Philadelphia, PA H&R Block Financial Advisors, Inc. Mark Gillespie Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Anthony and Frances D'Ambrosio, hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01114 J. P. Turner & Company, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Composite Technology Corp. Nature of the Dispute: Member vs. Non-Member With Agreement to Arbitrate. REPRESENTATION OF PARTIES For J. P. Turner & Company, LLC, hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia Ross Freidma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01107 Stephen L. Braslow, Claimant v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc., and Daniel Liff, Respondents ATTORNEYS; Claimant appeared Pro Se, Stephen L. Braslow, Amityville, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Daniel Liff, ("Respondents"), appeared Ann Parry, Esq., of Citigroup Global Markets, Inc., New York,