NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02363 Joseph Stevens & Company, Inc., claimant vs. Brian Garnets, respondent. ATTORNEYS; For Claimant appeared Michael S. Colombo, President of Streetwide Asset Recovery Group, Inc., New York, NY. For Respondent appeared Howard S. Eilen, Esq. of the firm Lehman & Eilen, LLP, Uniondale, NY. DATE FILED: May 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: — Rrta Fisher (Claimant) vs. Fidelity Brokerage Services (Respondent) Case Number: 05-04473 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Rita Fisher hereinafter referred to as "Claimant": Ralph A. Gant, Esq., Law Office of Ralph A. Gant, Portsmouth, NH. Respondent Fidelity Brokerage Services hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel Barnathan (Claimant) vs. Neal Bohlman and Saxony Securities, Inc. (Respondents) Case Number: 05-01066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Daniel Barnathan hereinafter referred to as "Claimant": Scott L Warfman, Law Office of Scott Warfman, Miami, FL. Respondent Neal Bohlma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00928 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Tampa, Florida Francis Hartley-Edwards Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Leslie Reese, Esq., Raymond James Financial Services, Inc., St. Peter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: -—— — — Roslyn Berger (Claimant) vs. Salomon Smith Barney, Inc. k/n/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-08636 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Roslyn Berger hereinafter referred to as "Claimant": Debra Hayes, Esq., Woska Hayes, LLP, Kingwood, TX. Respondent Salomon Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Juan-Carlos Lonza (Claimant) vs. NYPPE, LLC f/k/a Allen Capital Group (Respondent) Case Number: 04-07939 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Juan-Carlos Lonza hereinafter referred to as "Claimant": Paul B. Garland, Esq., New York, NY. Respondent NYPPE, LLC f/k/a Allen Capital Group hereinafter r

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Stephen N. Foos, and Priscilla M. Foos, Immediate Medical Accounting Group, Inc., Samuel Foos and Rowena Foos v. 00-05024 Denver, Colorado Respondents First Union Securities Financial Network f/k/a JW Genesis Financial Services, Inc. f/k/a Corporate Securities Group, Inc., Marion Bass Securities Corporation, Chadwick E. Cochran and Tho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02357 Fidelity Brokerage Service, Inc., claimant vs. Mohamed Khaled Mansour and Stephanie R. Trapp, respondents. ATTORNEYS: ~ ~ For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 7, 2001 "~~ CASE SUMMARY: Claimant alleged that responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Charles Sawicki Christopher Sinkula Joseph S. Jones IV Name of the Respondent Dean Good Case Number: 05-05990 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member and Associated Person vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberiy Serino (Claimant) vs. Citigroup Global Markets, Inc. d/b/a Salomon Smith Barney (Respondent) Case Number: 05-02877 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Kimberiy Serino hereinafter referred to as "Claimant": Tricia Legittino, Esq., SimmonsCooper LLC, East Alton, IL. Previously represented by Nich