NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leonard Willig Claimant vs. E.F. Hutton & Co., Inc., Respondents Kenneth Zigoures, James Cliffton and Joseph Molinari CASE NO. 87-00770 SUMMARY OF ISSUES This case was filed with the NASD, Inc. on June 8, 1987 by Claimant Leonard Willig against E.F. Hutton and Company. Inc., branch managers Kenneth Zigoures and Joseph Molinari, and Regional sales manager

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03835 Martavius D. Jones Name of the Respondent Hearing Site: Memphis, TN Wachovia Securities Financial Network f/k/a First Union Securities Financial Network Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Martavius D. Jones, hereinafter referred to as "Claimant", appeared pro se. For Wachovia Securities Financi

N.A.S.D. AWARD NATIONAL ASSOCIATICW OF SECURITIES DEALERS In the Matter of the Arbitration Between Mae CJ.ainHoUa). Wilbert & IDthel Long 87-00306 Nane of Respondent f s ^ Quick and Reilly, Inc. Carl Bardenheier Betty Solanon Wanda Thuman CASE SCHMARY In a claim filed with the NASD on or about January 30, 1987, Wilbert and Ethel Long (collectively "Claiirantis") alleged thst Quick & Reilly, Inc., Carl Bardenheier, Betty Solomon and Wan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Greg Skelly Claimant(s) vs. Blinder, Robinson & Co., Inc. and James G, Mahoney Respondent(s) 'Region rear NOTICE OF ARBITRATION AWARD 87-00281 CASE SUMMARY Claimant(s) Greg Skelly alleged that Respondent(s) Blinder, Robinson & Co. , Inc. and James G. Mahoney executed unauthorized transactions in Claimant's account. Respondent(s) denied t

•lATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. [n the Matter or the Arbitration Between Dennis M. Crean, Individually Crean Investments, Ltd. Claimants PaineWebber. Inc. Tom W. Alison Respondents Case =86-01394 Award On March 15, 16, 17 and April 26 and 27, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Denms M. Crean, Individually and Crean Inve

Y4T":0NAL ASSOCIATION OF SECURITIIi:: DEALERS, INC. lin the )*AZZ—er of the Arbitration Between Donna Tiber and Claimant Vanderb-ft Securities, Inc. and Marvin 5jse=^ihl Respondents AWARD 86-01199 On Mor--nday, May_J^ 1989 in Sccrr-tsda 1 e, Arizona, the undersigne^F^ z arbi trators heard the crrtjnt roversy between the parties as " set forth in submissions to a'"UTI it rat ion signed on .tjay J3^ .19fi7 t . Claimant Donna Taber and on

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-04362 Case Number: 04-04285 Leonard Polonsky, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Bernard F. Wozniak, John R. Shoemaker, and Paul S. Tanzman, Respondents Case Number: 04-04362 Leonard Polonsky, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. f/k/a Salomon Smith Barney I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mary L. Demetree, Trustee U/A DTD 4/24/96 Collegiate Village Inn, Inc. Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack Grubman Case Number: 02-03828 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Members and Associated Person.

N.A.S.D. AWARD NATIONAL ASSOCIAnCN OF SECURITIES DEALERS In cne Matter of th?'Arbitration Between Alvina Brandon 89-p;S59, 89^1^83, 90-01776 "and 90-01769-^a "sv&c Blinder Harvey cohen International Enterprises, inc. FEB I 5 1991 - I .rlCAGO •—————^ MflirrRATio f«=T'««««=^ S ^Sr^^v^. ^' «de various Aaaociation Interest Qnly^S^iee^Sif^e^?**^ Mwlonal Robinson ndsrepresented th^^J^J^ ^^'^^^ ^'^^ of SSST ij^tments b)^

^^^^^^ N.A.S.O. imSD NATTOWAL ASSOClAnoW OF SECURmES DEALERS zne mtter of ti^ Arbitration Between"" ~ Name of ^ Alvina Brandon 89-01659, 89-01^83, 90-01776'"and 90-01769^ .^a.,^^^ JlAndBr Robinson & Co., inc. MWTBUnater Hiaurvey Qsben Sli«lBr International Enterprises, inc. FEB I 5 1991 "I MaiiTflATIO?: .r'.CAGO i«ssa^ ^^^Sst^y^^ ^ ^^^^^mta b) wscB suitable f^ ^^L^^rL.V *^ ^® secur4 steacfy stream of inocme, d) WBM