Award NASD Dispute Resolution In the Matter of the Arbitration Between: Seth D. Blumenfeld (Claimant) vs. Citigroup Markets, Inc., f/k/a Salomon Smith Barney (Respondent) Case Number: 04-06341 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Seth D. Blumenfeld hereinafter referred to as "Claimant": T. Michael Kennedy, Esq., The Law Office of T. Michael Kennedy, P.C., Irving, TX and De

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Alan Lupa, individually and as Trustee of Neil A. Lupa Trust U/A/D 04/23/98, Claimants v. Goodwyn, Long & Black Investment Inc., Charles Schwab & Co. Inc., Robert F. Black, and Dan S. Federman, Respondents Case Number. 04-06140 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Non-Members REPRESENTATION OF PARTIES For Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06092 Donald Allen Name of the Respondent Hearing Site: Charlotte, North Carolina A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Donald Allen, hereinafter referred to as "Claimant", was represented by Julie H. Fosbinder, Esq., and Joshua R. Van Kampen, Esq., Fosbinder Law

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CAS& 01-03108 Joseph Gunnar & Co., claimant vs. Antonio Anastasopoulos, respondent. ATTORNEYS: For Claimant appeared Brian Clendenin, in house counsel, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay loan in breach of employment contract. Claim Data Award Data Claim: $7,500.00 Awa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Peter W. Adolph (Respondent) Case Number: 04-05626 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Peter W. Adolph ("Adolph") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Sharon Wright Names nf the Respondents UBS Financial Services, Inc. J.C. Bradford & Co. n/k/a UBS Financial Services, Inc. Sterling M. Zerbe Case Number; 04-04829 Hearing Site: Pittsburgh, Pennslvania Nature of the Dispute: Customer vs. Members and Associated Person. RFPRF.SF.NTATTON OF PARTTFS Claimant, Sharon Wright, hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sim C. Hoffman, M.D., Claimant v. National Financial Services LLC and Henry Fereydouni a/k/a Hamid Fereydouni, Respondents Case Number: 04-04302 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent National Financial Services LLC: For Respondent Henry Fereydouni a/k/a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03697 Ryan Beck & Co., Inc., Claimant v. Michael G. Tepperman, Respondent ATTORNEYS: For Claimant Ryan Beck & Co., Inc. ("Claimant") appeared Jennifer Woods Burke, Esq., previously David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Michael G. Tepperman ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03445 Gale M. Kuznicki, Individually and as Trustee for the Henry Kuznicki Trust, and on behalf of her IRA Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gale M. Kuznicki, Individually and as Trustee for the Henry Kuznicki Trus

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Winston K. Smart and 04-03442 Nashville, Tennessee Name of Respondent Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Winston K. Smart ("Claimant") was represented by John B. Veach, ffl, Esq., Falls & Veach, Asheville, North Carolina. Morgan Stanley DW Inc. ("Respondent") was represented by James F. San