Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Sellers and Sherrell Gardner, Claimants v. SunAmerica Securities, Inc. and Sharon A. Kearney, Respondents Case Number: 05-04292 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. Law Offices of Howard M. Hoffman Sacramento, California For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Billy R. Bradford, Claimant v. TD Ameritrade, Inc. (f/k/a TD Waterhouse Investor Services, Inc.), Jason Jingeleski, Amy M. Reynolds, George E. Yazbeck, and Terrance S. DeWald, Respondents Case Number: 06-02984 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Billy R. Bradford ProSe Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edna Bartal (Claimant) vs. Citigroup Global Markets, Inc., Craig Goldberg, John A. McAuliffe, and Warren S. Alstodt (Respondents) Case Number: 05-05976 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Edna Bartal hereinafter collectively referred to as "Claimant" appeared pro se. Respondent Cit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Molinaro (Claimant) vs. Merrill Lynch, Pierce, Fenner, and Smith, Inc., and Herman L. Rij (Respondents) : Case Number: 05-06367 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas Molinaro hereinafter referred to as "Claimant": Peter A. Lennon, Esq., and Eric L. Youn

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lehman Brothers, Inc., Claimant v. The Alana Group L.T.D., Respondent Case Number: 99-03641 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Stephen Young, Esq. Keesal, Young & Logan Long Beach, California For Respondent: Did not appear CASE INFORMATION Statement of Claim filed: August 5, 1999 Claimant's Uniform Submission Agreement signed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kiang Mei Fung (Claimant) vs. H. Beck, Inc. (Respondent) Case Number: 06-03275 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kiang Mei Fung hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C., New York, NY. Respondent H. Beck, Inc. hereinafter referred to as "Respondent": Mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruno Scrivo (Claimant) v. Financial Network Investment Corporation, James P. Barrett, and Douglas R. Roth (Respondents) Case Number: 06-01980 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bruno Scrivo hereinafter referred to as "Claimant": Louis A. Modugno, Esq., McElroy, Deutsch, Mulvaney &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian S. Pun, Individually and as Trustee for the Retirement Trust of federal Standard Abstract, Inc. (Claimants) vs. Ernmet A. Larkin Company, Inc. (Respondent) Case Number: 06-02554 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Brian S. Pun, Individually ("Pun") and as Trustee for the Retirement Trust of Feder

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seth Tobias, Tobias Bros., Inc., Tobias GP, LLC, and Tobias Capital, L.P., (Claimants) v. Bane of America Securities LLC and Direct Trading Institutional L.P. (Respondents) Case Number: 05-06348 . Hearing Site: New York, New York Nature of the Dispute: Member, Non-Members, and Associated Person v. Members. REPRESENTATION OF PARTIES Claimants Seth Tobias ("S. Tobias"), Tobias Bros.,

Modified Award NASD Dispute Resolution !n the Matter of the Arbitration Between: Scott and Bruna Dinetz, Scott and Bruna Dinetz Pension Account, (Claimants) v. Weatherly Securities Corp., William Odenthal, Livermore Capital, Robert Grabeowetski, Pelinor Group, Inc., David Gorman, Pellinore Securities Corp., and Richard Messina (Respondents) Case Number: 01-04495 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons, No