NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00145 Roger Picard and Doris Picard, Claimants vs. Noble International Investments, Inc., Wayne Home, and Nicolas Prank, Respondents ATTORNEYS: For Claimants Roger Picard and Doris Picard ("Claimants") appeared April I. Halle, Esq. of the firm Stollman & Grubman, P.A., Boca Raton, FL. For Respondents Noble Investments, Inc., Wayne Horne, and Nicolas Pronk ("Respondents") appeared Peter J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00141 Thelma Janowitz, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Thelma Janowitz ("Claimant") appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert and Bettty Goldstein, (Claimants) vs. John Hancock Financial Services, Inc., Signator Investors, Inc.J and Charles Carinda, (Respondents) Case Number: 01-01735 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Robert and Betty Goldstein, hereinafter collectively referred to as "Claimants": Thomas H, Tubker, Esq., a sole practitioner, Duxbury, MA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00140 Harry Becker, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B Grubman, Respondents. ATTORNEYS: " For Claimant, Harry Becker, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B, Grubman, ("Respondents"),

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Spelman & Company, Inc. and Respondent James A. Parrelly Case Number: 04-00133 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Speiman & Company, Inc. ("Claimant") was represented by John Fahey, Esq., SunAmerica Securities, Phoenix, Arizona. James A. Parrelly ("Respondent") was represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Marvin Friedman and Rivka Friedman (Claimants) v. Chase Investment Services Corp. and Neil Cunningham (Respondents) Case Number: 04-00127 . Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants S. Marvin Friedman and Rivka Friedman hereinafter collectively referred to as "Claimants": Brian H. Reis, Esq., New York, NY. Respondent Chase Investment Serv

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Caroline G. Gardiner (Claimant) v. McLaughlin, Piven, Vogel Securities, Inc. and Steven Ircha (Respondents) Case Number: 04-00126 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Caroline G. Gardiner ("Claimant"): Dan Brecher, Esq., Law Office of Dan Brecher, New York, New York. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00123 Phyllis A. Port, Claimant v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Phyllis A. Port ("Claimant"), appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Respondents")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: * * Joseph Geliebter and Florence Geliebter (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith and Daniel B. Dunn (Respondents) ~ Case Number: 04-00122 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Geliebter and Florence Geliebter, hereinafter referred to as "Claimants" ap

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Midwest Neurosurgery Associates P.C. Profit Sharing Plan dtd 10/28/72 and 04-00113 Kansas City, Missouri Name of Respondents Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Midwest Neurosurgery Associates P.C. Profit Sharing Plan dtd 10/28/72 ("Claimant") was represented by Barry D. Estell, Esq., Missio