NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David and Susan Miroballi and 94-00041 Name of Respondent Hamilton Investments, Inc. Andrew Martin Principal Financial Securities. Inc. REPRESENTATION OF PARTIES David and Susan Miroballi ("Claimants") were represented by Steve Senderowitz, Esq., Schwartz Cooper Greenberger & Krauss, Chicago, Illinois. Hamilton Invest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, REGULATION In the Matter of the Arbitration Between Name of Claimant First Albany Corporation Award No. vs. 94-00038 Name of Respondent Jonathan Lee REPRESENTATION For Claimant, First Albany Corporation ("Claimant"), appeared Joseph P. Carmichael, Esq. who is a sole practitioner at Salem, Massachusetts. For Respondent, Jonathan F. Lee ("Respondent"), appeared Bruce W. Warren, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry R. and Mary Jane Durrell 94-00036 Name of Respondents Merrill Lynch. Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994, Claimants Henry R. and Mary Jane Durrell. who appeared Pro Se, alleged that they purchased five shares of SCA Tax Ex

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimants Joan Ten Hoor & James Dobson 94-00030 Name of Respondent Ellen Schowalter REPRESENTATION Claimants, Joan Ten Hoor and James Dobson were represented by Bonnie L. Macfarlane, Esq., Island Lake, Illinois. Respondent, Ellen Schowalter was represented by Daniel L. Schwartz, Esq. of Day, Berry & Howard, Hartford, Connectic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant GKN Securities Corp., 94-00029 Name of Respondent Anthony V. Cincotta, Jr. .-.,'••"• •'•'•"'' ••. • .... •• ' REPRESENTATION'- • '•;-.«' •' " ••' .•• For Claimant GKN Securities Corp.: Katherine Nathan, Esq. of GKN Securities Corp. Respondent Anthony Cincotta, Jr. did not appear at the hearing. CASE INFORMATION Statement of Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between * DAVID F. MOSER, BEATRICE MOSER, EARL HETTZMAN.ETHEL HETTZMAN, CATHY KIMBALL and THOMAS KIMBALL, Claimants, v. NASD No. 94-28 SECURITIES WEST, INC., PHILLIP ANTON, JOSEPH ANTON, LAWRENCE DUCHENE and FRANK DETTENREIDER, Respondents. Representation For Claimants: Richard Sacks of Investors Recovery Service, Novato, California and James Su

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between V MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., v. JOSEPH BRONSON Claimant, Respondent NASD No. 94-00026 For Claimant: For Respondent: Representation Thomas Taylor, Esq. of Jones, Bell, Simpson & Abbott, Los Angeles, California Jeffrey Benice, Esq. of Benice & Associates, Irvine, California Case Information Statement of Cl

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Ingrid Ammondson, Claimant v. Salomon Smith Barney Inc. (n/k/a Citigroup Global Markets, Inc.) and Philip C. Hall, Respondents Case Number: 03-00024 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John S. Perkins, Esq. Law Offices of John S. Perkins San Jose, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bachrach & Associates, (Claimant) vs. Seaboard Securities, Inc., Mirsad A. Muharemovic, Anthony J. DiGiovanni, and Joseph T. Zappala, (Respondents) Case Number: 01-02905 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bachrach & Associates, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, New York, NY. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harriet Lawrence Webb, Claimant v. Robert Emmer and Associated Securities Corp., Respondents Case Number: 05-06512 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents: Samuel Y. Edgerton, III, Esq. Cha