NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05273 Miguela Floras, (Claimant) vs. Alberto R. Torres and Citicorp Investment Services, Inc., (Respondents) ATTORNEYS: ~~ For Claimant appeared Jessica Brand of John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Citicorp Investment Services, Inc.'s in-house counsel, Karl L. Marquardt, Long Island City, NY. NATURE OF DISPUTE: Customer v. Member and Associated P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05249 Renee Morris, Ian Monris and Jennifer Liss, (Claimants) vs. B.B. Graham & co., Inc., (Respondent/Third-Party Claimant) vs. David Morris (Third-Party Respondent) ATTORNEYS: ~ " " ~~ Claimants appeared pro se t Fair Lawn, NJ. For Respondent/Third-Party Claimant appeared in-house counsel Donald P. Condit, Orange r CA. Third-Party Respondent appeared pro se, Fair Lawn,

CASE: 05-05248 Toni L. Weisel, (Claimant) vs. Warren William Schliiter and KMS Financial Services, Inc. (Respondents) ATTORNEYS: Claimant appeared pro se, Portland, OR. For Respondents appeared in-house counsel Eric S. Westberg, Esq., Seattle, WA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 6, 2005 CASE SUMMARY: Claimant alleged that Respondents made unauthorized trades in her account. Claimant further alleged bre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION _ _ ..___..__ i i CASE: 05-05238 Marilyn M. Webber, (Claimant)-vs. Tradestation Securities, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Campbell, CA. For Respondent appeared in-house counsel Joseph Nikolson, Esq., Plantation, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 4, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted facts

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05231 Mark Hart and Susan Hart, et al, (Claimants) vs. Fidelity Brokerage Services LLC, (Respondent) ATTORNEYS: For Claimants appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associate, LLC, Pittsburgh, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 5, 2005 CASE SUMMARY: Claimants alleged that Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05190 - Zachary Fiombcrg, (Claimant) vs. WathovJa Securities, LLC., (Respondent) ATTORNEYS: ~ ~~ Claimant appearedjjro re, Chevy Chase, MD. • • • " ' For Respondent appeared in-house counsel, Demian J. Bete, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 3,2005 CASE SUMMARY: Claimant alleged that Respondent bleached its fiduciary duty. Claimant fur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:OI-00621 Charles Schwab & Co., Inc., claimant vs. Gloria Haines, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: February 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance that remains in her account from

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05176 Scott Boyd, (Claimant) vs. Donna Tkach, (Respondent) ATTORNEYS: For Claimant appeared Todd C. Atkins, Esq., of the firm Atkins & Davidson, San Diego, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: October 4, 2005 CASE SUMMARY: Claimant requested expungement of the customer complaint filed by R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05175 David B. Cady and Ruth J. Cady, (Claimants) vs. Huntington Investment Company, Inc., (Respondent) ATTORNEYS: For Claimants appeared Stephen P. Meyer, Esq., of the firm Meyer & Ford, Charleston, WV, For Respondent appeared Emily A. Smith, Esq., of the firm Carlile Patchen & Murphy, LLP, Columbus, OH. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 3, 2005 CASE SU

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05162 Angelina Burnley, (Claimant) vs. Cheryl Jimerson and Westrock Advisors, Inc., (Respondents) ATTORNEYS: ~~ For Claimant appeared Romaine Gardner, of Fordham University, New York, NY. Respondent Cheryl Jimerson did not submit an Answer to the Statement of Claim. Respondent Westrock Advisors, Inc. did not submit an Answer to the Statement of Claim. Respondents Cheryl Jimerson and Westrock