Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Owens, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Caesar A. Cepeda, Respondents Case Number. 05-05020 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Peter L. Steinman, Esq. Gaims, Weil, West & Epstein, LLP Los Angeles, California For Resp

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ibrahim Khan, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and John D. Bacich, Respondents Case Number: 05-01031 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law Office of Douglas A. Ames Huntington Beach, Cali

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Walter A. Bonner vs. Case Number: 06-00780 Hearing Site: Dallas, Texas Names of Respondents Linsco/Private Ledger Corp. and Greg Froning NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Walter A. Bonner ("Claimant") was represented by Robert E. Karoly, Investor Recovery Specialists, Inc., Savannah, Geo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Markets, Inc. vs. Case Number: 05-06527 Hearing Site: Troy, Michigan Name of Respondent/Counter-Claimant Steven Mosshart NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Todd A. Holleman, Esq., Miller, Canfield, Paddock a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher, Inc. vs. Case Number: 05-02286 Hearing Site: Des Moines, Iowa Names of Respondents Citigroup Global Markets, Inc., Gary L. Aronson, and John R. Stengel NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by W. Ross Forbes, Jr., Esq. an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) JOSEPH S. MCKINSEY ) Claimant ) NASO No. 88-03028 v. ) SMITH BARNEY HARRIS UPHAH & CO., INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASO on September 28, 1988, Claimant Joseph S. McKinsey (Claimant) alleged that contrary to Claimant's instructions, his IRA funds were invested in an unsuitable investment in his individual retiremen

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. and Marion E. Lerch Claimant(s) vs. 88-03021 Blinder, Robinson & Co., Inc. vs. D. Pastula, C. Flack, G.J. Pheribo Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. and Marion E. Lerch alleged that Respondent(s) Blinder, Robinson & Co., Inc., D. Pastula, C. Flack, G.J. Pheribo negligently mishandled Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Boesky, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent Case Number: 99-02450 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John H. L'Estrange, Jr., Esq. Wright & L'Estrange San Diego, California For Respondent: Kenneth C. Mennemeier, Esq. Mennemeier, Glassman & Stroud, LLP Sacramento, California CASE INFO

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between• Susan A. Woolley Claimant(s) vs, 88-03011 John J. Colcolough Respondent(s) MODIFICATION OF NOTICE OF ARBITRATION AWARD This Notice of Arbitration Award Supersedes the Notice of Arbitration Award dated 7/3/89. CASE SUMMARY Claimant Susan A. Woolley alleged that Respondent John J. Colcolough neglected to inform Claimant that a transfer fee woul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of^Claimantfsl Rudolph J. & Patricia A. Malusa 88-03008 Mama of Rsapoivientfsi PaineWebber, Inc. Susan Fisher & John Doe Fisher Rudolph L. Ferlan & Jane Doe Ferlan In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about September 26, 1988, Rudolph J. and Patricia A. Malusa ("Claimants") alleged t