NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03394 Arlene M. Rosenthal, Claimant vs. John Golliozo, Oldham Resources, Inc., and Prime Capital Services Inc., Respondents. ATTORNEYS: Claimant, Arlene M. Rosenthal, ("Claimant"), appeared pro se, Wilton, CT. For Respondents, John Golliozo, Oldham Resources, Inc., and Prime Capital Services Inc., (collectively "Respondents"), appeared Martin J. Burns, Esq., of the Law Offices of Wilson,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03210 Patricia J. Robbins Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. George Paul Bayer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia J. Robbins, hereinafter referred to as "Claimant": Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01894 Mary and Walter Cunningham, Trustees and Stacey L. and Walter J. Cunningham, JTWROS, (Claimants) vs. Citigroup Global Markets, Inc. and Robin L. .Williams, (Respondents) ATTORNEYS: Claimants appeared pro se, La Jolla, CA. For Respondents appeared Julie A. Kole, Esq., of the firm Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member and Associated Pers

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01474 Fidelity Brokerage Services, LLC, (Claimant) vs. Richard Lara, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 22, 2006 CASE SUMMARY: Claimant alleged that Respondent fai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01043 Anderson & Strudwick, Incorporated, (Claimant) vs. Harrison Lee Blackwell, (Respondent) ATTORNEYS: For Claimant appeared Douglas M. Nabhan, Esq., of the firm Williams Mullen, Richmond, VA. Respondent appeared pro se, Charleston, SC. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 28, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01789 Stewart Laurie McFadden, (Claimant) vs. Wells Fargo Investments, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Colorado Springs, CO. For Respondent appeared in-house counsel Thomas F. Kopshever, Esq., San Francisco, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 6, 2006 CASE SUMMARY: Claimant alleged libel or slander on his Form U-5. Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elka Goldenberg (Claimant) vs. Capital Securities of America, Inc. (Respondent) Case Number: 06-00848 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Elka Goldenberg, hereinafter referred to as ("Claimant"): Benjamin Lapin, Stock Market Recovery Center, Brooklyn, NY. Respondent Capital Securities of America, Inc., he

Award NASD Dispute Resolution Thomas P. Higgins vs. Allmerica Investments, Inc. n/k/a Veravest Investments, Inc. and Robert A. Healy Case Number: 06-00815 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Thomas P. Higgins, hereinafter referred to as "Claimant", was represented by Nicholas D. Thomas, Esq., Attorney at Law, Vero Beach, Florida. Respondent, All

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00753 Richard Larry Eggers and JoAnna Eggers, (Claimants) vs. Legg Mason Wood Walker, Inc. and Paul Higgins, (Respondents) ATTORNEYS: Claimants appeared pro se, Buchanan, VA, For Respondent Legg Mason Wood Walker, Inc. appeared in-house counsel Jason W. Gaarder, Esq., Baltimore, MD. Respondent Paul Higgins did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Custome

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan Lyman (Claimant) v. Charles Schwab & Company Inc., Ogilvie Security Advisors Corporation, Huber Financial Group, Limited, and David J. Huber (Respondents). Case Number: 01-03088 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Paul J. Sussman, Esq. located in Chicago, Illinois represented Claimant Joan Lyman. Curt H. Mueller, Esq., located in San Francisco, C