NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. waterman, Sr. Claimant vs. Shearson Lehman Mutton, Inc. Donald M. Donaldson Respondents AWARD #88-03509 Case Summary Claimant alleged that Respondents Shearson Lehman Mutton, Inc. and John M. Donaldson executed unauthorized transactions in his account and misrepresented to the Claimant that the transactions executed would be investigated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02950 Citigroup Global Markets, Inc. Names of the Respondents Hearing Site: Orlando, FL Raymond, James & Associates, Inc. William Gregory Barker Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Andre R. Per

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03566 New Castle Financial Group, Inc., (Claimant) vs. Kenneth Nieves, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Brett D. Zinner, Esq., Melville, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 1, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02257 Ryan Beck & Co., Inc., (Claimant) vs. Thomas Dalton, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Jeffrey C. Primiano, Esq., Livingston, NJ. For Respondent appeared A.J. Bohner, Esq., of the firm Bohner Law Office, Boise, ID. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an em

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nora Curley (Claimant) vs. Signator Investors, Inc. and Richard Brief (Respondents) Case Number: 06-01393 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Nora Curley hereinafter referred to as "Claimant": Debra G. Speyer, Esq., The Law Office of Debra Speyer, Bala Cynwyd, PA. Previously represented

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00743 McGinn, Smith & Co., Inc., (Claimant) vs. Rhonda Fishman, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel David L. Smith, Esq., Albany, NY. For Respondent appeared Brian H. Reis, Esq., of the firm Law Offices of Brian Reis, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 14, 2006 CASE SUMMARY: Claimant alleged that Respondent bre

08/07/2003 15:58 FAX NASD @]010/014 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Franciszksa Ciochon and Janusz Ciochon, (Claimants) vs. Zbigniew Jerry Markowski and Securities America, Inc., (Respondents). Case Number: Hearing Site: 99-02516 Chicago, Illinois REPRESErJTATlQN OF PARTIES Claimants, Franciszksa Ciochon and Janusz Ciochon, hereinafter collectively referred to as "Claimants": Kenneth F, Berg, Esq., C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Greenwhich Global, LLC (Claimant) vs. William Michael Banks, Stephen Jay Landa and John William Engelskirger (Respondents) Case Number: 06-00317 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Greenwhich Global, LLC hereinafter referred to as "Claimant": Hilary B. Miller, Esq., Hilary B. Miller,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06602 R.L. Burgess and Linda J. Burgess, (Claimants) vs. Legg Mason Wood Walker, Inc. and Joseph Glen Laird, (Respondents) ATTORNEYS: —— For Claimants appeared Edward W. Russey, III, Esq., of the firm the Law Offices of Edward W. Russey, III, Laguana Hills, CA. For Respondents appeared in-house counsel Gretchen L. Klebasko, Esq., Baltimore, MD. NATURE OF DISPUTE: Customers v,-Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elser & Co. (Claimant) vs. Bear Stearns Securities Corp. (Respondent) Case Number: 05-05741 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Elser & Co. hereinafter referred to as "Claimant": Jacqueline I. Meyer, Esq., Hodgson Russ LLP, New York, NY. ' Respondent Bear Stearns Securities Corp. hereinafter referred to a