Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Mark T. Whaley, David D'Arcangelo, and Bear Stearns & Co., Inc. (Respondents) Case Number: 05-04493 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc. hereinafter referred to as "Claimant": Gary W. Garner, Esq., and Terri L. Ahrens

Amended Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimant Case Number: 06-02775 George Luis Saiguero Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Mari< ets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Luis Saiguero, hereinafter refen^ed to as "Claimant": William R. Amiong, Esq., Amiong & Amiong, P.A., Fort Lauderdale, Florid

Amended Award RNRA Dispute Resolution In the Matter of the Afbitration Between: Mama of the Claimant Case Number 01-07137 John M. Marriott Names of the Respondents Hearing gite: Tampa. Ftorida Morgan Stanley DW. Inc. WHllam Sid Sloan Nature of the Dlepute: Customer vs. Member and Associated person. REPREaErfTATIQN QF PARTIEg For John M. Marriott, hereinafter refsned to as XIaimanf: Marii A. Ossian, Esq., Parte and Ossian, P.A.. Clearwater, Flo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ronald C. Agel vs. Case No. 97-02878 Name of Respondents Legg Mason Wood Walker, Inc. John A. Pliakas Sean L. Sullivan REPRESENTATION For Claimant Ronald C. Agel ("Claimant") appeared Joseph P. CarmichaeK Esq., a sole practitioner with law offices located in Salem, Massachusetts. For Respondents Legg Mason Wood Walker, Inc. ("Legg Mason") and Jo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02874 Susan Goldberg and Michael Switzer, claimants v. Dreyfus Service Corp., respondent. ATTORNEYS: Claimants appeared pro se - Studio City, California. For Respondent appeared Paula Otenskyj - New York, New York. DATE FILED: June 09, 1997 CASE SUMMARY: Claimants alleged Respondent failed to return a check submitted with a deposit slip for a closed accoun

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Viki Verlene and Van John Walbridge and 97-02871 Name of Respondent Chase Manhattan Investment Services, Inc. a/k/a Chase Investment Services Corp. REPRESENTATION OF PARTIES Viki Verlene and Van John Walbridge ("Claimants") were represented by Jeffrey J. Scott, Esq., Scott & Associates, P.C., Denver, Colorado. Chase Manhatt

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Donald Simon Name of Respondent Fidelity Brokerage Services, Inc. Case No. 00-02034 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Donald Simon ("Simon"), hereinafter referred to as "Claimant," appeared pro se. For Fidelity Brokerage Services, Inc. ("Fidelity"), hereinafter referred to as "Respondent": Marcy Levine Aldrich, Esq., Akerman, Sen

;PEC.29.199S 12--02PM NflSD REGULATION FL NO.184 p.2/3 NA.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS CASE: 97-2870 Frank E. and kosemarie F. Stagliano, Claimants v. Olde Discount Corporation and Darrin Lee Hatter, Respondents REPRESENTATION-. Claimants Frank E. and Rosemarie F. Stagliano appeared Pro Se. For Respondents Olde Discount Corporation and Damn Lee Hatter: Amy Kutt Richards, Esq. of Olde Discount Corporation, Detroit, Michig

N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Chet and Betty Smurzynski Chet Smurzynski dba Tico Construction 97-02868 Name of Respondents Kensington Wells Incorporated Alden Capital Markets, Inc. Robert Bertsch Steven Jaross Eli as Tacher Sal Tacher Steven Vornea Adam Levy Marc Luxenberg Robert Thayer Alfred Salazar REPR

N.A.S.D. AMENDED AWARD NASD Regulation, IDC. Office of Dispute Resolution In the Matter of the Arbitration Between • Name of Claimant Gary Basing 97-02867 Name of Respondents Adam R. Lieberman Craig Kellerman Frank Joseph Monroig Sterling Foster & Co., Inc. REPRESENTATION For Claimant: Jeffrey S. Grubman, Esq of Herman & Grubman, Miami, FL. Respondent^d^;R.'Lieberman: Gregory- M..Curley >; ;Esq. of the Law Offices of Hunt