AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mauricia Molnar And 04-05746 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. d/b/a Smith Barney William David Hobby MichaelJay Grace Phillips L. Spartis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Mauricia Moinar ("Claimant") was represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Olivia Lanfair on behalf of her IRA, Case Number: 05-01662 Claimant, v. Hearing Site: St. Louis, Missouri UBS Financial Services, Inc. and Kenneth George Neely, Respondents, Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Olivia Lanfair on behalf of her IRA ("Lanfair"), hereinafter referred to as "Claimant": Stuart R. Berkowitz,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant r^^]sfi irn hpr- 01-02331 Dennis J. Murphy n f th? PFSp""dp!fli H^^g ^jtC' Philadelphia, PA Vanguard Brokerage Services Claimant, Dennis J. Murphy ("Murphy"), hereinafter referred to as "Claimant": Daniel Bernheim, Esq. Silverman Bernheirn & Vogel, Philadelphia, PA. Respondent, Vanguard Brokerage Services ("Vanguard"), hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06604 Wells Fargo Investments, LLC, (Claimant) vs. Joshua R. Ballinger, (Respondent) ATTORNEYS^ For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated PersorT "~~ DATE FILED: December 23,2005 CASE SUMMARY: Claimant alleged that Respondent breach

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05172 Steven Richard Block, (Claimant) vs. Finacorp Securities, (Respondent) ATTORNEYS: Claimant appeared pro se, Baldwin, NY. For Respondent appeared in-house counsel, Eduardo J. Prado, Irvine, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: October 1, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed for compensation. Claimant maintaine

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Isaac Goldlust (Claimant) vs. Salomon Smith Barney, n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 05-04591 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Isaac Goldlust hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Salom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00628 Philip L Risley Carol S. Risley Name of the Respondent Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Philip L. Risley and Carol S. Risley, hereinafter collectively referred to as "Claimants", were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald G. Ventura (Claimant) vs. vs. Quick & Reilly, Inc. (Respondent) Case Number: 04-03157 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Ronald G. Ventura hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Law Office of Christopher J. Gray, P.C., New York, NY. Claimant previously appeared pro $e.

Award NASD In the Matter of the Arbitration Between: Isabel K. Coyle-Sesty, Claimant v. Werbel-Roth Securities, Inc. and Michael L. Zaccaro, Respondents Case Number: 01-02328 Hearing Site: Boca Raton, Flbrida REPRESENTATION OF PARTIES For Isabel K. Coyle-Sesty, hereinafter referred to as "Claimant": Melanie S. Cherdack, Esq., Genovese Lichtman Joblove & Battista, Miami, FL. For Werbel-Roth Securities, Inc. ("WRS") and Michael L. Zaccaro ("Zaccaro"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Kusher and Margery Melton Kusher, Stuart Kusher, IRA and Margery Melton Kusher, IRA, Claimants v. A.G. Edwards & Sons, Inc. and Michael F. Fangman, Respondents Case Number: 05-02559 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Speci