NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01146 Stella W. Woo, Claimant v. Gilbert M. Gonzales and Cal Fed Bank, Respondents. ATTORNEYS: Claimant, Stella W. Woo, ("Claimant"), appeared through her daughter, Christina A. Woo, Los Angeles, CA. Respondents, (collectively "Respondents"): Respondent Gilbert M. Gonzales, ("Gonzales"), appeared through his in-house counsel, Jennifer Sendor of Citicorp Investment Services, Long Island C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cosimo Venneri, (Claimant) vs. Spencer-Winston Securities Corporation, Jason Weisz, and Oscar Echman, (Respondents) Case Number: 00-04432 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cosimo Venneri, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP, New York, NY. Previously represented by: Mary C. Freeze, Esq., a

••f t Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chandra G. Muni ERA (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Vincent Petrucelli (Respondents) Case Number: 03-01144 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Chandra G. Muni ERA ("Muni") hereinafter referred to as "Claimant": Ralph A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian Woolsey (Claimant) v. C.B. Hill & Associates, Michael Salvatore Buccellato, Mark Allen a/k/a Mark Allen Lefkowitz, Samuel Sherr, Wise A. Skillman HI, Stonehenge Partners, LLC, and CIBC Oppenheimer n/k/a CIBC World Markets Corp. (Respondents) Case Number: 03-01143 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Persons REPR

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jeanne Bearmon v. 03-01138 Minneapolis, Minnesota Respondents Financial Network Investment Corporation, Thomas W. Taylor, and Lifelong Financial Services Corporation Nature of Dispute: Customer v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Jeanne Bearmon ("Claimant") was represented by Vincent D. Louwagie, Esq., Anthony Ostl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor Kazan v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Stephen Mark Friedman Case Number: 03-01128 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Victor Hazan ("Hazan") hereinafter referred to as "Claimant": Jerome Olitt, Esq. Arbitration & Mediation Specialists, Inc., Stamford,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marc Singer (Claimant) v. Investment Counseling, Inc., Capital Markets Advisory Group, LLC, Arigato Investment International, Inc., Lewis Hodge, Nicholas Sichi, Bill Fabiano (Respondents) Case Number: 03-01127 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Non-Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Marc Singe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant George Calvi, Trustee F/B/O The George Calvi Trust Names of the Respondents Bane of America Securities, LLC Ian O. Mausner Montgomery Private Client Services Case Number: 03-01123 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For George Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riai'mant Donald P. Smith Names Citigroup Global Markets, Inc. f?k/a Salomon Smith Barney, Inc. Theodore A. Schwab Number 03-01120 Site: Washington, D.C. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Donald P. Smith, hereinafter referred to as "Claimant", was represented by John P, Connolly, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Phillip and Doris Blazer Name of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Richard Leon Kendrick, HI, and Lawson H. Ballard CaseJNiimher: 03-01119 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRFSFNTATTONF OF PARTIES emafter collective