NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00601 Joseph M. Melisky, Claimant vs. J. Christopher Landers & NatCity Investments, Inc., Respondents. ATTORNEYS: Claimant, Joseph M. Melisky, ("Claimant"), appeared Pro Se, North Olmsted, OH. Respondents, J. Christopher Landers & NatCity Investments, Inc., (collectively "Respondents" appeared through their Assistant Compliance Director, Cynthia J. Foresta, Cleveland, OH. DATE FILE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard J. Kuntz, III (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 05-04162 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Howard J. Kuntz, III hereinafter referred to as "Claimant": Alan L. Frank, Esq., Frank, Rosen, Snyder & Moss, LLP, Elkins Park, PA. Respondent M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04157 Michael Pochna, (Claimant) vs. T.D. Waterhouse Investor Services, Inc. and Randy Kornberg, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared in-house counsel, Janis Campanella, Esq., Boca Raton, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 7, 2005 CASE SUMMARY: Claimant alleged that Respondents made e

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elisa Brizuela, Claimant, Case Number: 05-04109 Hearing Location: Chicago, Illinois v. CMC Institutional Trading, L.L.C., Respondent. NATURE OF THE DISPUTE: Associated Person v. Member REPRESENTATION OF PARTIES Elisa Brizuela ("Brizuela"), hereinafter referred to as "Claimant" was represented by James J. Eccleston and Ronald M. Amato, Shaheen, Novosels

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Katrina Schalensky (Claimant) vs. Citigroup Global Markets i7k/a Salomon Smith Barney (Respondent) Case Number: 05-04104 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Katrina Schalensky hereinafter referred to as "Claimant" appeared pro-se. Respondent Citigroup Global Markets fTk/a Salomon Smith Barney hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04103 National Securities Corporation, (Claimant) vs. Christopher Halstead, (Respondent) ATTORNEYS: ~ For Claimant appeared Michael S. Colombo, President/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: August 1, 2005 CASE SUMMARY: Claimant al

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent BOSC, Inc. and Respondents/Counter-Claimant Case Number: 05-04061 Hearing Site: Oklahoma City, Oklahoma Citigroup Global Markets, Inc., individually and d/b/a Smith Barney, an unincorporated division and service mark of Citigroup Global Markets, Inc., and Jeffrey R. Thompson NATURE OF DISPUTE Member Firm vs. Member Firm and Associat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04038 Kelly S. Ramsay Name of the Respondents Hearing Site: Des Moines, Iowa Ameriprise Financial Services, Inc. and Deniz Tuncay Franke NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Kelly S. Ramsay, hereinafter referred to as "Claimant": John D. Hudson, Esq., of the firm o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04036 Richard B. Dannenberg, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: ~ Claimant appeared pro se, Purchase, NY. For Respondent appeared in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 1, 2005 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitable for

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04009 Perry A. Sproul, (Claimant) vs. National Securities Corporation, (Respondent) ATTORNEYS: ~~ Claimant appeared pro se, Brooklyn, NY. For Respondent appeared in-house counsel Andrew M. Heath, III, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 25, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account and omitted facts reg