Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Patricia Elizabeth Curran, (Claimant) vs. Josephthal & Co., Inc., Julie Vita, and First Trust Corporation, (Respondents) Case Number: 00-01158 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Patricia Elizabeth Curran, hereinafter referred to as "Claimant": Robert A. Horn, Esq., a sole practitioner, New York, NY. Respondents, Josephthal & Co., Inc. ("Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04443 James M. Chandler Richard D. Hooper Shiriey P. Hooper Florence R. Cooper Danny R. Kiger Chariotte H. Logan Name of Respondent Hearing Site: Chariotte, North Carolina FSC Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James M. Chandler ("Chandler"), Richard D. Hooper

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Barry M. Sine (Claimant) v. TD Securities (USA), Inc. (Respondent) Case Number: 98-04235 Hearing Site: New Yorlc, New York REPRESENTATION OF PARTIES Claimant, Barry M. Sine ("Claimant"): Allan N. Taffet, Esq., Paradise, Alberts & Fisher LLP, New York, New York. Respondent, TD Securities (USA), Inc. ("Respondent"): J. Scott Dyer, Esq., Simpson Thacher & Bartlett, New York, New York.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edwin "Bob" Bearb, Individually as Trustee for the Bearb Family Tmst and on behalf of his Individual Retirement Accounts vs. Case Number: 06-01360 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Edwin "Bob" Bearb, Individually as Tr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jason Blake vs. Case Number: 06-03474 Hearing Site: Chicago, Illinois Name of Respondent VFInance Investments, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jason Blake ("Claimant") appeared pro se. On April 20,2007, James Carlson, Esq., made an oral Notice or Appearance on behalf of Claimant at the hearing. VFInanc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03475 Francis Laska Name of the Respondent Hearing Site: New Orleans, Louisiana Edi Financial, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Francis Laska, hereinafter referred to as "Claimant": Jessica M. Vasquez, Esq., Willeford Law Firm, New Orleans, Louisiana. For Edi Financial, Inc., hereinafter r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00218 Citigroup Global Markets, Inc., (Claimant) vs. Doug Lawrence, (Respondent) ATTORNEYS: For Claimant appeared Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: January 22, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a consumer agreement contract by leaving

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Michelle Colizzo and James Colizzo (Claimants) vs. Michael Joseph Salovay and Midsouth Capital, Inc. (Respondents) Case Number: 06-04281 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Mary Michelle Colizzo ("M. Colizzo") and James Colizzo ("J. Colizzo") hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert H. Volpe and Kim M. Voipe (Claimants) vs. Janney Montgomery Scott, LLC, Anthony Comeila, and Brian McKenna (Respondents) Case Number: 06-02149 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimans Herbert H. Volpe ("H. Volpe") and Kim M. Volpe ("K. Volpe"), hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00063 Ralpti Saslove and Sylvia Saslove, JT-TEN (Claimants) vs. Janney Montgomery Scott LLC (Respondent) ATTORNEYS: For Claimants Ralph Saslove and Sylvia Saslove, JT-TEN appeared Gregory S. Tendricti, Esq., Boca Raton, FL. For Respondent Janney Montgomery Scott LLC (Respondent) appeared in-house counsel Carrie L. Cheiko, Esq., Philadelphia, PA. NATURE OF DISPUTE: Customer v. Member