Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Impact Trading, LLC, (Claimant) vs. Investment Services Capital Corp., Jeffrey Tognetti, and Nicholas Piazza, (Respondents) Case Number: 00-05660 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Impact Trading, LLC, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondents, Investment Services Capital Cor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number; 04-01 121 Anthony and Frances D' Ambrosio Names nf thg Respondents Hearing Site! Philadelphia, PA H&R Block Financial Advisors, Inc. Mark Gillespie Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Anthony and Frances D'Ambrosio, hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01114 J. P. Turner & Company, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Composite Technology Corp. Nature of the Dispute: Member vs. Non-Member With Agreement to Arbitrate. REPRESENTATION OF PARTIES For J. P. Turner & Company, LLC, hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia Ross Freidma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01107 Stephen L. Braslow, Claimant v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc., and Daniel Liff, Respondents ATTORNEYS; Claimant appeared Pro Se, Stephen L. Braslow, Amityville, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Daniel Liff, ("Respondents"), appeared Ann Parry, Esq., of Citigroup Global Markets, Inc., New York,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01106 James GoldmanIRRA, Claimant v. UBS Financial Services, Inc. f/k/aUBS PaineWebber, Inc., Respondent. ATTORNEYS: Claimant, James Goldman IRRA, ("Claimant"), appeared pro se, Los Angeles, CA. Respondent, UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., ("Respondent"), appeared through its in-house counsel, Diana L. Carbonell, Esq., Weebawkeo, NJ. NATURE OF DISPUTE: Customer v

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01105 Richard Giles IRRA FBO Richard Giles, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Richard Giles IRRA FBO Richard Giles, ("Claimant"), appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eli Epstein and Laurie Bilger (Claimants) v. Chase Investment Services Corp., J.P. Morgan Chase Bank, and David Ferman (Respondents) Case Number: 04-01104 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimants Eli Epstein ("Epstein") and Laurie Bilger ("Bilger") hereinafter collectively referr

STIPULATED AWARD NASD Dispute Resolution In the Matter of Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. and Name of Respondent David Ray Rodriguez Case Number: 04-01097 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Legg Mason Wood Walker, Inc. ("Claimant" or "Legg Mason") was represented by Gretchen L. Klebasko, Esq., Legg Mason Wood Walker, Baltimore

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 04-01096 Hearing Site: Houston, Texas Name of Respondent Thomas B. Sanchez, Jr. NATURE QF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Laura Martin, Esq., of Davidson & Grannum, LLP, of Northvale, New

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant SSIHM Charitable Trust and Names of Respondents First Affirmative Financial Network, LLC and Brandes Investment Partners, LLC Case Number: 04-01093 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Members with contracts to arbitrate REPRESENTATION QF PARTIES SSIHM Charitable Trust-("Claimant") was represented by Gary M. Sar