NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In th Matter of the Arbitration Between ) ) DianP' E. Garden a/k/a Gilbert ) ) Claimant ) and ) A W A R D ) 88-0007 A.G. iwards & Sons, Inc. ) ) Respondents ) CASE SUMMARY ' ^aimant Dianne E. Darden (hereinafter "Claimant") alleged that er ex-husband sold her First Federal Savings & Loan Assoc iition Stock (hereinafter "FFS") without her approval. Clai/r.Mt a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number" 03-07266 Stuart R. Rubens Stuart R. Rubens Revocable Trust Name of tfa Respondent Hearing Site; Washington, D.C. American Express Financial Advisors, Inc. Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants, Stuart R. Rubens and Stuart R. Rubens Revocable Trust, hereinafter collectively referred to as "Claim

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Joseph and Tomas Sollitto, Claimants vs. Global Capital Securities, Corp., Respondent Case Number: 03-07261 Situs: New York, NY NATURE OF DISPUTE: Customers vs. Members & Associated Person REPRESENTATION OF PARTIES Joseph and Thomas Sollitto, hereinafter referred to as "Claimants": Jenice Malecki, Esq., Law Office of Jenice L. Malecki, New York, NY. Respondent did not enter an a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard W. Johnson and Names of Respondents Oppenheimer & Co., Inc., Albert G. Lowenthal, Eric J. Shames, Noel C. Reschke, Douglas R. Kline, and John W. Russell Case Number: 03-07254 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES Richard W. Johnson ("Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Zahedi, Claimant v. Wachovia Securities, LLC, Respondent Case Number: 03-07252 Hearing Site: Los Angeles, California Nature of the Dispute; Customer v. Member REPRESENTATION OF PARTIES For Claimant: In Propria Persona For Respondent: Todd Ratner, Esq. Wachovia Securities, LLC Richmond, Virginia CASE INFORMATION Statement of Claim filed: October 3, 2003 Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07251 James C. Habschied & Suzanne J. Habschied JOINT, Claimants v. Pamela Price, Respondent. ATTORNEYS: Claimants, James C. Habschied & Suzanne J. Habschied JOINT, ("Claimants")* appeared pro se, New Port Richey, FL. For Respondent, Pamela Price, ("Respondent"), appeared Mildred M. McLaney, Esq., of Prudential Equity Group, LLC, New York, NY. NATURE OF DISPUTE: Customers v. Associated P

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Cynthia A. Orvedahl v 03-07249 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Scott D. Mundal Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Cynthia A. Orvedahl ("Claimant 5 ') was represented by Steven E. Rau, Esq., of Flynn, Gaskins & Bennett, L.L.P, Minneapolis, Minnesota. Edward D. J

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Felix E. Perez and Enriqueta Perez 95-02837 Name of Respondents Janney Montgomery Scott Inc. Napoleon C. Birch REPRESENTATION Claimants Felix E. Perez and Enriqueta Perez ("Claimants") appeared pro se. Respondent Janney Montgomery Scott, Inc. ("JMS") was represented by Thomas J. Hanrahan, Esq., Glen Rock, New Jerse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mildred Barteck 95-01607 Name of Respondents Smith Barney Shearson, Inc. Bob Watral BUI Seweil In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1995, Qainumt Mildred Baiteck ("Qaimant"), who appeared Pro Se, alleged that Respondents Smith Barney Shearson, Inc. ("SBS"), Bob Watral ("Watral")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07247 Alan E. Slootsky, D.M.D. Jill Leslie Slootsky Names of the Respondents Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Michael Logan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alan E. Slootsky. D.M.D. and Jill Lesli