Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neal Solomon (Claimant) v. Lincoln Investment Planning, Inc. and Edward Forst, Jr. (Respondents) Case Number: 05-00869 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Neal Solomon hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker & Selvers, P.C., Fr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert J. Robinson, Sr. and Case Number: 05-00801 Hearing Site: Detroit, Michigan Respondents Pruco Securities, LLC, Prudential Insurance Company of America and Thomas L. Boyd NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Robert J. Robinson, Sr. ("Claimant") appeared pro se. Claimant was represented by David

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Barone, Alan Billings, Eugene Carfora, Coleman Christie, John Fuller, Margaret Fuller, Kevin Gilligan, Rudi Harbauer, Leo J. Hengstler, Craig Jeffrey, Peter Jenko, John Kamin, Kevin Kennedy, Kevin J. Krazit, Matthew Lancto, Roger Loughran, Barbara Loughran, William Loughran, Edward Maassmann, Gerald McCloskey, Michael McKeefrey, Otto Mermelstein, Tibor Mermelstein, Magda Mermelst

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ella Veverka and 05-00623 Chicago, Illinois Name of Respondents Securities America, Inc. Ronald A. Harczak Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ella Veverka ("Claimant") was represented by Edward A. Scott, ffl, Esq., Riffner, Barber Rowden & Manassa, P.C., Schaumburg, Illinois. Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Steele (Claimant) vs. Morgan Stanley Dean Witter (Respondent) Case Number: 05-00564 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Susan Steele hereinafter referred to as "Claimant": James M McCreedy, Esq., Wiley, Malehom & Sirota, Morristown, NJ. Respondent Morgan Stanley Dean Witter, Inc. hereinaft

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mike Small and 05-00464 Chicago, Illinois Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Mike Small ("Claimant") was represented by Erwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. Claimant was originally represented by Martin Q. Ryan, Esq. and Al

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Monick and Mary Monick (Claimants) vs. Deutsche Bank Securities, Inc. and Stephen P. Collins (Respondents) Case Number: 05-00339 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Nicholas Monick ("N. Monick") and Mary Monick ("M. Monick") hereinafter collectively referred to

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ronald B. Drinks Name of the Respondent Legacy Financial Services, Inc. Joseph R. Karsner, IV Joe Karsner & Associates Case Number: 05-00275 Hearing Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Ronald B. Drinks, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph S. Gamer, Jr. Case No. 99-02229 Names of Respondents Edward D. Jones & Co. Rodney Lee Cantrell Craig Joseph Easier REPRESENTATION OF PARTIES For Joseph S. Garner, Jr., hereinafter referred to as "Claimant": Margaret A. Garner, Esq. of Margaret Arm Garner, Newport, North Carolina. For Edward D. Jones & Co. ("Edward"), Rodney Lee Cantre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Perrotti, Ind. and as Trustee Claimant vs. Award Crowell, Heedon & Co. and Steven A. Housman Respondents Case #90-03547 CASE SUMMARY Anthony Perrotti, individually and as Trustee, in a claim filed with the National Association of Securities Dealers, Inc. by Michael L. Paul of Investors Arbitration Services, Woodland Hills, CA., on De