Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Joseph M. Vitale Case Number: 04-01143 Names of the Respondents Citigroup Global Markers, hie. f/k/a Salomon Smith Barney, Inc., Andrew Guzzetti, and Lawrence Liebman Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Joseph M. Vitale ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Ginzton and Linda Gintzon, David Ginzton Studio, LTD PSP, and Edward L. Ginzton Exempt Trust, Claimants v. D.A. Davidson & Co., Davidson Companies, and Thomas L. Gibson, Respondents Case Number: 04-01142 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Michael J. Hines, E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Maltz, Susan J. Maltz, Scott and Susan Maltz Trust Dated 7/16/96, and Maltz Associates, L.P., Claimants v. Padraig McBrien (erroneously sued as Patrick McBrien), Scott Evan Zelnick, and Lehman Brothers Inc., Respondents Case Number: 04-01140 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin T. McGuire (Claimant) v. HSBC Brokerage (USA) Inc. (Respondent) Case Number: 04-01137 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kevin T. McGuire ("McGuire") hereinafter referred to as "Claimant" appeared pro se. Respondent HSBC Brokerage (USA), Inc. ("HSBC") hereinafter referred to as "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01136 Ryan Beck & Co., Inc, Claimant v. Theodore Clark Rosen, Respondent ATTORNEYS: For Claimant Ryan Beck & Co., Inc. ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Theodore Clark Rosen ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 20, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles E. Ryan, Claimant v. Raymond James Financial Services, Inc. and Investors Capital Corp., Respondents Investors Capital Corp., Third Party Claimant v. James Calvin Abel, Jr., Third Party Respondent Case Number: 04-01133 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Members Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Jan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01132 Brian D. Fylak, Claimant vs. ,Citigroup Global Market, Inc. f/k/a Salomon Smith Barney, Inc. and J. Palmer Patton Respondents. ATTORNEYS: Claimant, Brian D. Fylak ("Claimant") appeared pro se, Charlotte, NC. For Respondents, Citigroup Global Market, Inc. f/k/a Salomon Smith Barney, Inc. J. Palmer Patton (collectively "Respondents' 1 ) appeared Louis G. Santangelo, Esq., in-hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George W. Stillwaggon (Claimant) vs. Morgan Stanley Dean Witter Inc. and Kevin Burke (Respondents) Case Number: 04-01130 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George W. Stillwaggon ("Claimant"): Richard L. Burstein, Esq., Tuczinski, Cavalier, Burstein & Collura Albany, NY. Claimant prev

} Jf: Award NASD Dispute Resolution Li the Matter of the Arbitration Between: ffl" 04-01128 Fred D. and Amanda N. George Jiie: Dallas, Texas Prudential Equity Group, LLC; and, Justin T. Cummings NATTTpF OF ^TTF mfiPTTTF. Public Customers v. Member Firm and Former Associated Person Claimants Fred D. and Amanda N. George, hereinafter collectively referred to as "Claimants": H. Grady Tenill, Esq. and Janna Kay Fulfer, Esq., of the firm

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bane of America Investment Services, Inc. and 04-01127 Oklahoma City, Oklahoma Respondent James Billingsley Counter-Claimant James Billingsley and Counter-Respondent Bane of America Investment Services, Inc. NATURE OF THE DISPUTE Member Firm vs. Associated Person, Associated Person vs. Member Firm REPRESENTATION OF PARTIES Bane of America