Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-06328 Dorothye A. Roten and Michelle M. Roten Name of the Respondents Hearing Site: Dallas, Texas Lehman Brothers Inc.; Sanders Morris Harris, Inc.; and, Anthony Benson Hall NATURE OF THE DISPUTE Public Customers vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Claimants Dorothye A. Roten ("D. Roten") and Mich

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Citigroup Global Markets, Inc. v. 05-06242 Minneapolis, Minnesota Respondent Christopher D. Jones NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Jessica E. Price, Esq., of Brouse McDowell, LPA, Cleveland, Ohio, Christopher D. Jones ("Respondent") appeared pro

Award In the Matter of the Arbitration Between: Charles E. Hill, Individually and on behalf of Yahoo Imports, Inc., n p 01-2350 jtf Houston, Texas Southwest Securities, Inc., Advantages Securities, Inc., Kelly Case and Lee Nguyen OF PAPTIF.S Charles E. Hill, ("Hill") Individually and on behalf of Yahoo Imports, Inc., ("Yahoo") hereinafter Collectively referred to as "Claimants": William S. Shepherd, Esq. of Shepherd, Smith and Bebel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. McNamara, Maryanne McNamara, and Coril, Inc. f/b/o Richard E. McNamara, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-01925 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Richard E. McNamara, Maryanne McNamara, and Coril, Inc. f/b/o Richard E. McNama

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. (Claimant) vs. Joseph Broyles, John Bergen and James Byrns (Respondents) Case Number: 04-07282 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Milestone Financial Services, Inc. hereinafter referred to as "Claimant": Margaret A. DeGooyer, Esq. and Gordon C. Youn

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03029 Bruce Ravdin TTEE Bruce Ravdin Enterprises, Inc. EPP Bruce Ravdin Designated BENE PLAN/TOD Bruce Ravdin Charles Schwab & Co. Inc, CUST IRA ROLLOVER Bruce Ravdin TTEE Bruce Ravdin Revocable Living Trust U/A DTD 03/06/97 Names of the Respondents Hearing Site: Boca Raton, Florida Steve Athanassie Charles Schwab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen A. Poppe (Claimant) vs. Glen Gerald Pisani and Securities America, Inc. (Respondents) Case Number: 05-00779 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Kathleen A. Poppe hereinafter referred to as "Claimant": Thomas Clarke, Esq., Red Bank, NJ. Previously represented by Joseph R. Sah

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charles Timothy Farrell Names of the Respondents Morgan Stanley Dean Witter, Inc. Thomas R. Molnar Case Number: 04-01878 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles Timothy Farrell, hereinafter referred to as "Claimant": Arnold Y. Steinberg,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00209 Seasons Nursery, Inc., [Claimant) vs. Financial Network Investment Corporation and R. Carole Wiberg, (Respondents) ATTORNEYS: ' ~ For Claimant appeared Steven P. Fisher, Esq.. of the firm Sanders, Bruin, Coll & Wortey, PA. Roswell. 'W. For Respondents appeared Edwin A. Barkel, Esq., of the firm Lewis and Roca LLP, Phoenix, AZ. NATURE OF DISPUTE-: Customer v. Member and Associat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03233 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Gary N. Reichbach Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Wachovia Securities, LLC ('Wachovia"): Gregorys. Tendrich, Esq., Law Office of Gregory S. Tendrich, P.A., Boca Raton, Florida.