Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Patricia Angel Case No. 99-02378 Name of Respondent American Fronteer Financial Corp. REPRESENTATION OF PARTIES For Patricia Angel ("Claimant"): Philip J. Snyderburn, Esq. of the Law Offices of Snyderburn, Rishoi, and Swann, Winter Park, Florida. For American Fronteer Financial Corp. ("Respondent"): Carla B. Minckley, Esq. of Birge and Minckley, P.C., D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MARJORIE P. JAFFEE, JOAN B. PUCKETT ) and MARJORIE P. JAFFEE i CO., INC., ) Claimants, ) ) Case #88-02707 vs. ) Award COPELAND SECURITIES, INC., KENNETH ' ) GERMAIN and KENNETH LISSAK, ) Respondents. } Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Sidney M. Dubbin, Esq. Alfred Seaber CASE SUMMARY This claim was f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph lacobellis vs. Claimant F.D. Roberts Securities, Inc. Mike McGowan Respondents Award #88-02706 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on September 1, 1988, October 10, 1988 and O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Drozdz (Claimant) v. Securities America, Inc., Reliance Financial Group, and John Matthew Lunghino (Respondents) Case Number: 05-05189 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimant John J. Drozdz hereinafter referred to as "Claimant": Timothy L. Burke, Esq. and Joel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Therese Gmyrek (Claimant) v. A.G. Edwards & Sons and Marguerite Foley (Respondents) Case Number: 05-2821 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Therese Gmyrek hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, LLP, Holliston, MA. Respondents A.G. Edwa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01163 Fidelity Brokerage Services LLC, (Claimant) vs. Richard T. Evans, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: March 3, 2005 CASE SUMMARY: Claimant alleged that Respondent breached the terms of a contract by failing to repay

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Gale, M.D. and Elaine H. Cohen-Gale, M.D., individually and as Trustees of the Gale Living Trust, and Elaine H. Gale as the ACF of the Pamela Gale U/CA/UTMA, Claimants v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc. and Martin B. Stocklan, Respondents Case Number: 05-00734 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Ass

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Sophie Seitchik, Individually Sophie Seitchik, Trustee Names of the Respondents Bainco International Investors, LLC Newbury Street Capital, L.P. Robert G. Katz Nancy von Stackelberg Case Number: 05-00578 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Roy R. Jones, Respondent Roy R. Jones, Counter-Claimant v. Bane of America Investment Services, Inc., Counter-Respondent Case Number: 05-00500 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Bane of America Investmen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08410 Paul A. Keough Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Paul A. Keough ("Keough"), hereinafter referred to as "Claimant": James M. Scutti, Esq., Attorney at Law, Boca Raton, Florida. For St