Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Despres (Claimant) vs. William Fellows and Morgan Stanley DW, Inc. (Respondent) Case Number: 06-01004 Hearing Site: Montpelier, Vermont Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Robert W. Despres hereinafter referred to as "Claimant" appeared pro-se. Respondents William Fellows ("Fellows") and Morgan Stanley DW,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia L. Coughlin Individually and on behalf of the Patricia L. Coughlin Rollover IRA (Claimants) vs. Legg Mason Wood Walker, Inc. (Respondent) Case Number: 05-05632 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Patricia L. Coughlin Individually ("Coughlin") and on behalf of the Patricia L. Coughlin Rol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nutmeg Securities, Ltd. (Claimant) v. Utendahl Capital Partners, L.P. (Respondent) Case Number: 01-03004 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Nutmeg Securities, Ltd. ("Nutmeg") hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia, Ross & Friedman, LLP, New York, NY. Respondent Ute

*-.ward NASD Dispute Resolution In the Matter of the Arbitration Between: Erica Chigounis (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-01613 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Erica Chigounis hereinafter referred to as "Claimant": Anne L. Clark, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York. Respondent Citigroup Global Marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan Arnett (Claimant) vs. Whale Securities Co. L.P., Sands Brothers & Co., Carl Garceran, and SG Cowen Securities Corp. (Respondents) Case Number: 04-07257 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Jan Arnett hereinafter referred to as "Claimant" appeared pro se. Respondent SG Cowen Secu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Steiner (Claimant) vs. Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 03-09224 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Steiner hereinafter referred to as "Claimant": Bruce Nagel, Esq., Nagel Rice & Mazie, LLP, Roseland, NJ. Respondent Smith Barney, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Reginald B. Smith 94-01240 Name of Respondents Invest Financial Corp. Stephen Michael Angelis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Reginald B. Smith, who appeared Pro Se, alleged that Respondent Stephen Michael Angelis of the Respondent firm Inves

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William & Florence Rosenblitt 94-01239 Name of Respondents Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 51, 1994, Claimants William & Florence Rosenblitt, who appeared Pro Se, alleged that on December 26, 1993 they placed an order with Respondent Fide

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sheila H. and Guy B. DiAmbrosio 94-01236 Name of Respondents Escalator Securities Inc. Howard A. Seala REPRESENTATION For Claimants Sheila H. and Guy B. DiAmbrosio ("Claimants"): Guy B. DiAmbrosio For Respondents Escalator Securities, Inc. ("Escalator") and Howard A. Scala ("Scala 11 ): Edwin Kagan, Attorney at

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John Sabo Case Number: 01-3002 Name of the Respondent Hearing Site: New York, NY Tucker Anthony Incorporated REPRESENTATION OF PARTIES Claimant, John Sabo ("Sabo"), hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, New York, NY. Previously represented by Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New