NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03305 Joseph DiMola, (Claimant) vs. Morgan Stanley DW Inc., Kathleen Marie Reese and Frank Valanzola, (Respondents) ATTORNEYS: ~~ Claimant appeared pro se, Whitehouse Station, NJ. For Respondents appeared in-house counsel, Amy DePippo, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 23, 2005 CASE SUMMARY: Claimant alleged that Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Chen (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-03301 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES i Claimant John Chen hereinafter referred to as "Claimant": Julian R. Birnbaum, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondent Citigroup Global Market

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ben Wood, Jr., Claimant, v. Daedalus Capital, LLC, Steven M. Coleman and Charles Schwab & Co., Respondents. Case Number: 05-03274 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Non-Member, Associated Person and Member REPRESENTATION OF PARTIES Ben Wood, Jr. ("Wood"), hereinafter referred to as "Claimant": Steven W. Koslovsky, Esq. of Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03266 Jane Bakalor Revocable Living Trust Names of the Respondents Hearing Site: Tampa, Florida GunnAllen Financial, Inc. Brian Velten Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES i For Jane Bakalor Revocable Living Trust, hereinafter referred to as "Claimant": Nicholas J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ,' Name nf the Claimant Page Number: 05-03262 Joyce M. Sills Names nf the Kftspondents Hearing Site' Richmond, VA SunTrust Investment Services, Inc. Wachovia Securities, LLC Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant, Joyce M. Sills, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sentra Securities Corporation, Claimant v. Michael R. Zent, Jr., Respondent Case Number: 05-03259 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: John K. Fahey Sentra Securities Corporation Phoenix, Arizona For Respondent: Kathleen A. Herdell, Esq. Law Offices of Kathleen A. Herdell St. Helena,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joy S. Bloom v. 05-03253 Denver, Colorado Respondents Citigroup Global Markets, Inc. and Richard Parker NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Joy S. Bloom ("Claimant") of Denver, Colorado, appeared pro se. Citigroup Global Markets, Inc. ("Citigroup") and Richard Parker ("Parker"), hereinafter collectively

I AWARD ' NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven L. Baru and 05-03247 Kansas City, Missouri Name of Respondent Archer Alexander Securities Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Steven L. Baru ("Claimant") was represented by Robert B. Van Cleave, Esq., Overland Park, Kansas. Archer Alexander Securities Corporation ("AASC") was rep

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-00588 First Union Securities, Inc., claimant vs. Joseph C. Allen, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Renan I. Sugarman, Esq., Chicago, 3L. Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay his remaining overdraw deficit balance upon termination of his employment. Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) vs. Yosef Bleier a/k/a J. Bleier (Respondent) Case Number: 05-03236 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, MA. Respo