Stipulated Award NASD In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-05452 Bernard C. Noble and Mary H. Noble, JT TEN and Bernard Noble II SEP IRA, FCC as Custodian Hearing Site: Boca Raton, Florida Names of Respondents First Union Securities, Inc. and Robert M. Burns, Jr. REPRESENTATION OF PARTIES For Bernard C. Noble and Mary H. Noble, JT TEN and Bernard Noble n SEP IRA, FCC as Custodian, hereinafter colle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r* 01-05449 Joseph K. Winters ng gitfv Philadelphia, PA Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Mary Anne J. Perrone Bernhard A. Sack, II nN Claimant, Joseph K. Winters ("Winters"), hereinafter referred to as "Claimant": Arthur L. Jenkins, Jr., Esq., Attorney at Law, Norristown, PA. Respondent, Salomon Smith Barney, Inc., n/k/a Citigroup Glob

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-05448 Fred Almonti and Tosca Almonti Name of the Respondents Hearing Site: Philadelphia, PA Capital Analysts Inc., Robert J. Richards and EPA Financial Services Corp. REPRESENTATION OF PARTIES Claimants, Fred and Tosca Almonti, hereinafter referred to as "Claimants," were represented by Chad N. Cagan, Esq., Sonnenblick, Parker

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEC1.1UTIES DEALERS In i\w Matter of the Arbitration Between Nanitf or' C'fjjmants Leonard E. and Mary P. Arman 95-02827 Name of Respondent Olde Discount Corporation In a claim filed with the National Association of Securities Dealers. Inc. on June 12. 1995. Claimants Leonard E. and Mary P. Arman ("Claimants"), who appeared Pro Se. alleged that Respondent Olde Discount Corporation ("Olde"), through its represent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Case Number 01-05447 Marie A. Shevlin Name r>f the Respondents Rearing Site: Philadelphia, PA FSC Securities Corporation Anita M. Woodside REPRESENTATION OF PARTTFS Claimant, Marie A. Shevlin ("Shevlin"), hereinafter referred to as "Claimant", was represented by Douglas R. Lally, Attorney at Law, Jenkintown, Pennsylvania. Respondents, FSC Secur

Finra FINRA DR In the Matter of Axbitnulon Between Case: Doug Shaw v. Salomon Smifh Barney, Inc. n/k/a Citigroup Global Markets, Inc. Docket: 2007-016780 AiioRicys! For OaimatuWi Jeffrey L Llddle, David Feklstein - New York. NY For Respondent(i)i Ira G. Rosenstein - New York, NY Date Filed. 7/17/2007 FixK Schedulfidi 2/29/200S Decided* 2/16/Q9 Case Summary: Claimant, a registered representative and former employee of Respondent, a member

Finra FINRA DR In the Matter of Arbitration Between Caset Wachovia Securities, LLC v. Eric W. Gillman v. Wachovia Securities, LLC. and Prudential Equity Group, Inc. Docketi 2006-016498 Attomeyst For Oaimanti Jennifer Seltenrich, Esq. - Boston, MA For Respondent: Martin P. Unger, Esq.-Glen Head, NY For TTiird F&rty: Robert Whitman, Esq. - New York, NY Date Rledx 04/28/2006 First Scheduled: 11/28/2006 Decided: "T ^ ^ DOCf] Case Summary

Finra FINRA DR In die Xlatter of Arbitration Between Case: Maximino Jimmy Acosta and Angelica Moremil Aguilera v. Bear Steams & Co., Inc. Docket: 2004^15767 Attorneys: For Claimant(s): Mark Raymond, Esq.- Miami, FL For Respondent(s): Joseph Baumgarten, Esq.- Ne\v York, NY Date Filed: 10/19/2004 First Scheduled: 12/11/2006 Decided: 4/04/09 Case Sumttiary: RegLstered rcprcsentativ'e Hnd employee cluimants allege race discriminatidii

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05446 Harvey C. Sacks, claimant vs. Fahnestock & Co., respondent. ATTORNEYS: For Claimant appeared James P. Demetriou, Esq., Doylestown, PA. For Respondents appeared in-house counsel, Eric J. Shames, Esq., New York, NY. DATE FILED: October 15, 2001 CASE SUMMARY: Claimant alleged that respondent's "back office" gave him incorrect instructions regarding the sale of two certificates b

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between The Bernice Carmen Revocable Trust UAD 6/21/82, By and through its Co-Trustees Mark Greenstone and Paul Greenstone v. 00-01447 UBS PaineWebber, Inc. Southfield, Michigan Charles P. Huebner James Layden v. Mark Greenstone, and Paul Greenstone REPRESENTATION OF PARTIES The Bernice Carmen Revocable Trust UAD 6/21/82, Mark Greenstone, and Paul Greenstone