NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) NOBLE INVESTMENT CO. and ) HERZOG HEINE GEDULD, INC.. ) Claimants, ) ) Case #89-02258 vs. ) Award ) EDWARD SHEA. JR. and ) JOAN SHEA. ) Respondents. ) ) Heard before the Arbitrator: Arthur J. Leibell, Esq. * CASE SUMMARY This claim was filed with the NASD, Inc. on August 11, 1989. The healing* was conducted in Fort Lauderdale

N.A.S.O. ANKRD NXTXCHftL ASSOCIATION CF SBCQRITTBS OGftUSS la the fetter of the Arbitration James D. Floyd 89-02255 Kama of Resocntlmt (a) interstate Securities Corporation Arthur M. Xlugh III For daiaant: Janes S. Belfc, Esq. For Raapondent** Geozge C. Gbviagtoa, Haq. of Kennedy Gbviagton Labdell & HidOMn. - Stateneat of CladB filed: Auguat n, 1589. dadaaat's SiibniMiaa AgxecoMat algaed on: August 7, 1989. Respondent, interstate Sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard A. Krause and Leslie C. Krause vs. Claimants Merrill Lynch Pierce Fenner & Smith, Inc. Respondent AWARD CASE #89-02252 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1989, Claimants Richard A. Krause and Leslie C. Krause alleged that Respondent through its employee entered th

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. vs. Case Number: 06-02634 Hearing Site: Houston, Texas Name of Respondent James D. Barmore NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. ("Claimants")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carl R. Lippert vs. Names of Respondents Woodbury Financial Services, Inc. and Eric Daniel Kondrit Case Number: 06-01436 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Carl R. Lippert ("Claimant") appeared pro se. Woodbury Financial Services, Inc. ("Woodbury

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David and Deborah Griffith on behalf of Andrew Griffith and Nicholas Griffith vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 06-00904 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES David and Deborah Griffith on behalf of Andrew Griffith and Nicholas Griffith

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas D. Christiansen and Stephanie Christiansen vs. Case Number: 06-00451 Hearing Site: Omaha, Nebraska Name of Respondent Securities America, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Thomas D. Christiansen and Stephanie Christiansen ("Claimants") were represented by Lawrence J. Klayman, Esq., Klayman & Toskes

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James D. Stoker, II vs. Case Number: 05-05334 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. d/b/a/Smith Barney NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James D. Stoker, II ("Claimant") was represented by Michelle Alcala, Esq. and Peter D. Kennedy, Esq., Graves Dougherty Hearon &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Israel Kazew vs. Names of Respondents Weatherly Securities Corporation and David Drury Case Number: 05-04940 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES Israel Kazew ("Claimant") was represented by Robert M. Kramer, Esq., Attorney at Law, Pitts

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J.C. Bradford & Co., LLC, Claimant, Vs. John W. Greathouse, Jr., Respondent, Vs. Stephen Shea, Third-Party Respondent. Case Number: 99-02793 Hearing Site: Louisville. Kentucky REPRESENTATION OF PARTIES Claimant J.C. Bradford & Co., LLC ("Bradford"): Douglas M. Hagerman and Mollie Pawlosky, Foley & Lardner, Chicago, Illinois Respondent