Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07036 Leonard and Sharon Golod I • ' Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Sharon Rickett , Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leonard and Sharon Golod, hereinafter collectively referred to as "Claimants": John T. Getz, Esq.,

12/07/2005 10:38 FAX NASD 002/005 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William B. Waring and Respondents BBC Dain Rauscher Inc., and Eart D, Wierenga, Jr. Case Number: 02-07034 Hearing Site; Detroit, Michigan NATURE OF CASE i Customer v. Member and Associated Person i REPRESENTATION OF PARTIES William B. Waring {"Claimant") appeared in pro per, RBC Dain

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean-Claude Kaufmann, Christine C. Kaufinann, Christine C. Kaufinann ACF Nicholas Kaufmann, Christine C. Kauirnann ACF Sarah Kaufmann, and Marguerite Kaufmann (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jerrold P. Tepper (Respondents) Case Number: 02-07030 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne I. Kappel and Jeanne I. Kappel IRA (Claimant) v. Commonwealth Financial Network and John DelVecchio (Respondents) Case Number: 02-07029 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jeanne I. Kappel ("Kappel") and Jeanne I. Kappel IRA ("Kappel IRA") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francis J. Palmer! (Claimant) v. Alfred F. Palladino, Joseph V. Battipaglia, Ralph H. Bradley, Lee Fensterstock, Henry D. Gottmann, Rosemary Johnson, Joanne T. Marren, John R. Pellegrino, Robert P. Rittereiser, Hal Pomeranz, Joseph A. Muro, Ryan Beck & Co., Inc., Gruntal & Co., LLC, and Morgan Stanley DW, Inc. (Respondents) Case Number: 02-07028 Hearing Site: New York, New York Natu

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04170 Dave Scott, Claimant vs. H & R Block Financial Advisors and W. Eliott Grigg, Respondents. ATTORNEYS: Claimant appeared Pro Se, Bartlett, IL. For Respondents appeared in-house counsel, Laura M. Nelson, Esq., Detroit, MI. DATE FILED: September 22, 2000 ARBITRATOR'S REPORT: Weight of the evidence is that on or about August 2, 2000, no trade order to purchase Inverness Medical Te

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:02-07027 John Armato, Claimant vs. Eric Citrin and EarlyBird Capital, Inc., Respondents. ATTORNEYS: Claimant, John Armato, ("Claimant"), appeared pro se, Katonah, NY. For Respondents, Eric Citrin and EarlyBird Capital, Inc.,(collectively "Respondents"), appeared Meredith Rosen Cavallaro of the firm Paduano & Weintraub LLP, New York, NY. DATE FILED; November 20, 2002 CASE SUMMARY: Claimant al

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary W. Sims Trust DTD 08/08/96, Mary W. Sims, Trustee, and Kenneth S. Sims (Claimants) v. McDonald Investments, Inc. and Jeffrey P. Levesque (Respondents) Case Number: 02-07024 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Mary W. Sims Trust DTD 08/08/96, Mary Sims, Trustee ("Sims Trus

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 02-07023 Thomas J. Textor, Lawrence M. Waterhouse, Jr., Louis Giacalone and John Gavey, Claimants vs. Nathan Stark and Genia Stark, Respondents. ATTORNEYS: For Claimants appeared April M. Chung, Esq., of the firm Theodore A. Krebsbach & Associates, P.C., New York, NY. For Respondents appeared Martin J. Gofberg, J.D. of the firm Equitable Resolution Group, LLC, Malven, NY. DAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07021 Ken Iverson trust, Claimant vs. Larry Little and Bob Chambers, Respondents. ATTORNEYS: Claimant, Ken Iverson Trust, ("Claimant") appeared Pro Se., Morris, IL. For Respondents, Larry Little and Bob Chambers (collectively "Respondents") appeared Thomas S. Rea, Esq. of the Law Office of Bryan Cave LLP, St.Louis, MO. DATE FILED: November 20, 2002. CASE SUMMARY: Claimant alleged that Re