Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dean Perchall and David Doucette, JTWROS, Claimants v. Steve Perrin and Merrill Lynch Pierce Fenner and Smith, Inc., Respondents. Case Number: 98-04900 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael J. Andelson Dean Perchall and David Doucette Best, Best & Krieger LLP Rancho Mirage, Cdifomia For Respondents: Michael M. Gless Steve Pe

Award NASD Dispute Resolution In the Mati:er of the Arbitration Between: Name of the Claimant Case Number: 07-00166 Milton S. Helm, Jr., a/k/a Burch Helm Name of the Respondent Hearing Site: Oriando, FL Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Milton S. Helm, Jr., a/k/a Burch Helm, hereinafter referred to as "Claimant": Simon L. Wiseman, Esq., David A. Paul & Associates, P.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05313 Citigroup Global Markets, inc. d/b/a Smith Barney (Claimant/Counterclaim Respondent) vs. Kenneth C. Smith (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney appeared Catania T. Facher, Esq., of the law firm of Alonso, Andalkar & Kahn, P.C, New York, NY. For Respondent/Counterclaim Claimant Kenneth C.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00242 Viktor S. and Nina I. Goldmakher, (Claimants) vs. TD Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Newton, MA. For Respondent appeared in-house counsel, Kelly R. Davis, Esq., Bellevue, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: January 21, 2007 CASE SUMMARY: Claimants alleged breach of contract, negligence, misrepresentations and breach of fi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00445 Citigroup Global Markets Holdings Inc. and Citigroup Global Markets, Inc. d/b/a Smith Barney, Inc. (Claimants) vs. David V. Frederking (Respondent) ATTORNEYS: For Claimants Citigroup Global Markets Holdings Inc. and Citigroup Global Markets, Inc. d/b/a Smith Barney, Inc. ("Claimants") appeared Gregory R. Crochet, Esq., of the law firm of Kutak Rock LLP, Atlanta, GA. Respondent did

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Clifford and Jacqueline Soechtig Case No. 99-03804 Names of Respondents Prudential-Bache Securities, Inc Ronald Wayne Moore, Jr. REPRESENTATION OF PARTIES For Clifford and Jacqueline Soechtig, hereinafter referred to as "Claimants": Patrick A. Davis, P.A., Clearwater, Florida. For Respondent Prudential-Bache Securities, lnc' P ("Pruden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charlotte M. Hull vs. Case Number: 06-04359 Hearing Site: Des Moines, Iowa Names of Respondents Sll Investments, Inc. and Timothy R. Hawkins NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Chariotte M. Hull ("Claimant") was represented by Gail E, Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. and Advest, Inc. vs. Case Number: 06-00696 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents RBC Dain Rauscher Inc., James W. Keim, Michael D. Keim, George J. Dusckas, Jr., Charles M. Caryl, Nancy J. Sparks, and Cynthia Jepson NATURE OF THE DISPUTE Members vs. Member and Asso

N.A.S.D. REGLL.\TION AWARD \.\TIONAL ASSOCIATION OF SFXl RITIES DEALERS REGLL.\TION. INC. CASE: 98-04823 Ricliard J. Reynolds, claimant vs. Charles Schwab & Co., Inc.. respondent. ATTORNEYS: Claimant. Richard J. Reynolds, appeared Pro Se.. Ponola Valley. CA. Respondent, Charles Schwab & Co.. Inc.. appeared through in-house counsel. Sean B. Meehan, Esq.. San Francisco. CA. DATE FILED: 12/17/98 CASE SUMMARY: Claimant alleged negligence: failure to fol

stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rodney H. Wright and Joyce Wright, individually and as parents and legal guardians of Jennifer Wright; and Erica Wright, Claimants vs. Wheat First Securities, Inc., and Hugh Sloan, Respondents. Case Number. 98-04822 Hearino Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimants, Rodney H. Wright and Joyce Wright, individually and as parents and legal guardians o