.T NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08152 Danelle M. Sadler, (Claimant) vs. Citigroup Global Markets, Inc. and Domenic Tomaro, (Respondents) ATTORNEYS: " ~~~~ Claimant appeared pro se, Naples, FL. For Respondents appeared Citigroup Global Markets, Inc.'s in-house counsel Ann Parry, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: November 24, 2004 CASE SUMMARY: Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Kathleen Davidson and Jeffrey Davidson v. 04-08148 Minneapolis, Minnesota Respondent UBS Financial Services, Inc. NATURE OF DISPUTE Customers v. Member REPRESENTATION OF PARTIES Kathleen Davidson and Jeffrey Davidson ("Claimants") were represented by Rosalind M. Robertson, Esq., and Nicholas P. lavarone, Esq., of Simmons Cooper, P.C., East Alton, Ill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00373 Buckman, Buckman & Reid, Inc., claimant/counterclaim respondent vs. Kuljot S. Bhasin, respondent/counterclaim claimant. ATTORNEYS: For Claimant/Counterclaim Respondent appeared Martin P. Unger, Esq., of the firm Blank Rome Tenzer Greenblatt, LLP, New York, NY. Respondent/Counterclaim Claimant appeared pro. se, New York, NY. DATE FILED: January 23, 2001 CASE SUMMARY: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lien Tang, Claimant v. Cybertrader, Inc., Respondent Case Number: 04-08141 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Lien Tang, Vincent Tang San Jose, California For Respondent: Brandon K. Hemley Charles Schwab & Co. Inc. San Francisco, California CASE INFORMATION Statement of Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Allison Blair Kumble Hilary Alexandra Rumble-Freeman Names of the Respondents Daniel F. Keisman Myrna Keisman Case Number: 04-08136 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Allison Blair Kumble and Hilary Alexandra Kumble-Freeman, hereinafter collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plflimanf ragpTsTnrnhfir- 04-08 1 33 Willie E.Climer Edward D, Jones & Co. and Greg Pharris H ftar *ns Site.- Dallas, Texas Public Customer v. Member Firm and Associated Person OF PTTFS Claimant Willie E. Climer, hereinafter referred to as "Claimant": Appeared pro se. Respondents Edward D. Jones & Co. ("Jones") and Greg Pharris ("Pharris"), hereinafter collec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles J. Woelfel & Colette Woelfel nf the Respondent Bear, Stearns & Co., Inc. Case Number- 04-08132 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customers vs. Member. i KF,PKF,SJTT,NTATTON OF PARTIES * Claimants, Charles J. Woelfel and Colette Woelfel, hereinafter collectively referred to as "Claimants", were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salvatore L. Genualdo, IRA, Mary S. Genualdo, IRA, and Salvatore L. and Mary S. Genualdo (Claimants) vs. Commonwealth Financial Network a/k/a Commonwealth Equity Services, Inc. and Nicholas Giacoumakis (Respondents) Case Number: 04-08120 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Salva

r • Award NASD Dispute Resolution In the Matter of the Arbitration Between: Devora Tilson, Individually and as Co-Guardian of the Property Management of Jack Tilson (Claimants) v. Thomas R. Kershner, Kennerman Associates, Inc., and Wachovia Securities, Inc. [as Successor-in-Interest to First Union Securities, Inc. and First Albany Corp.] (Respondents) Case Number: 04-08119 Hearing Site: New York City, New York Nature of the Dispute: Customers v. Member,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Gennaro and Carol M. Gennaro (Claimants) v. Quick & Reilly, Inc., Bane of America Investment Services, Inc., Bank of America and Daniel J. McDonald (Respondents) Case Number: 04-08118 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Members, Non-Member, and Associated Person. REPRESENTATION OF PARTIES r Claimants Richard L. Gennaro ("R.G