Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Stuart Kingoff (Respondent) Case Number: 06-01986 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Maxim Group LLC hereinafter referred to as "Claimant": James E. Siegel, Esq., Maxim Group LLC, New York, NY. Respondent Stuart Kingoff hereinafter referred to as "Respondent" appea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01469 John N. Montalbano, (Claimant) vs. Merrill Lynch, Pierce, Fermer & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Rocky Hill, CT. For Respondent appeared in-house counsel Stuart T. Rebish, Esq., New York, NY. NATURE OF DISPUTE: Customer vs Member DATE FILED: March 21, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were uns

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01400 First Montauk Securities Corp., (Claimant) vs. John Sullivan, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 10, 2006 CASE SUMMARY: Claimant alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02699 Svetozar S. Stukovsky, Claimant vs. Frank Hickcox, II, GSP, Respondent. ATTORNEYS: Claimant, Svetokar S. Stukovsky, appeared Pro Se, Wasco, California. Respondent, Frank H. Hickcox, II. GSP, did not respond to the Statement of Claim. DATE FILED: May 22, 2001 CASE SUMMARY: Claimant alleged that respondent breached fiduciary duties. Claimant specifically alleged that respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00471 Ryan Beck & Co., Inc., (Claimant) vs. Frederick Blick, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Jeffrey Primiano, Esq., Livingston, NJ. Respondent appeared pro se, Sausalito, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 30, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repay mon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry Jimenez (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-06423 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Larry Jimenez hereinafter referred to as "Claimant" appeared pro se. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": Marcie S. Min

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vivian Orgel (Claimant) vs. Hennion & Walsh, Inc. and Dominic Nori (Respondents) Case Number. 05-03066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vivian Orgel hereinafter referred to as "Claimant" appeared pro-se. Respondents Hennion & Walsh, Inc. ("Hennion") and Dominic Nori ("Nori"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen Bliss Jeffrey Bliss Daniel Craig Case# vs. ' 93-03526 Name of Respondents Bailey, Martin & Appel Inc Financial Equities Resources, Inc. Mark Perron Howard Appel REPRESENTATION For Claimants, Stephen Bliss, Jeffrey Bliss and Daniel Craig ("Claimants"), Phillip Giordano, Esq. from the law firm of Gior

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alan J. & Karla J. Holt 93-03527 Name of Respondents Prudential Securities, Inc. John Bedford CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10,1993, Claimants Alan J. and Karla J. Holt, who appeared Pro Se, alleged that they were sold, by Respondent John Bedford, an em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Edward D. Seelig 93-03528 Name of Respondent/Counter-Claimant Wedgewood Partners, Inc. REPRESENTATION For Claimant/Counter-Respondent: Edward D. Seelig ("Seelig") was represented by Donald Kenneth Anderson, Jr., Esq. of St. Louis, Missouri. For Respondent/Counter-Claimant: Wedgewood Partners, Inc. ("Wedgewood