Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carl L. Dworman (Claimant) v. Prudential Securities. Inc. (Respondent) Case Number: 04-00047 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Carl L. Dworman hereinafter referred to as "Claimant": Joseph R. Palumbo, Jr., Esq., Law Offices of Joseph R. Palumbo. Jr., Middletown, RI. Respondent Prudential Securities, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Joel A. Kooyman Case No. 01-01725 U.S. Bancorp Investments, Inc.; Firstar Investment Services, Inc.; and, Michael R. Johnson Hearing Site- St. LOUIS, Missouri Claimant Joel A. Kooyman ("Kooyman") represented himself at the hearing. Respondents U.S. Bancorp Investments, Inc. ("U.S. Bancorp"), Firstar Investment Services, Inc. ("Firstar") and Michael R. Johnson ("John

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number 04-00040 Joyce Gladstone Names of the Respondents Hearing Site" Washington, D.C. Raymond Melcher State Farm Mutual Auto Insurance Company State Farm Fire & Casualty Company State-Farm Life^surance_Comp£uiy State Farm General Insurance Company Nature of the Dispute: Associated Person vs. Associated Person and Non-Member.. OF PARTTF.S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Nancy and Ronald Toney Names American Express Financial Advisors Rebecca Loftin Johnson Case Number- 04-00039 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRFSFNTATTON OF PAKTTP.S Claimants, Nancy and Ronald Toney, hereinafter collectively referred to as "Claimants", were repr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sadanand Singh and Sheha S. Singh JTTEN and Robert Caplan, Trustee, Singh Children's Life Insurance Trust Dated June 19,1986, Claimants v. Morgan Stanley DW Inc., Michael D. Schneickert, and Richard M. Blosser, Respondents Case Number: 04-00035 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00029 Wayne Diller, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Resjjondent. ATTORNEYS: For Claimant, Wayne Diller, ("Claimant"), appeared Wn>. Jeroison Mima, Jr., Esq., of the tirm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, IFL. For Respondent, Merrill Lynch Pierce Fentier & Smith, Inc., ("Respondent"), appeared Edward "Ted" A. Hosp, Esq., of the fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p r 04-00022 C. Dean Wolfe f* F?sp fy n^fiT!' g H^flrirg Sit*?' Dallas, Texas Morgan Stanley & Co., Incorporated and Alan Glazner ]S[ATTTRI7 OF TTTTT nTSPTTTTT Public Customer v. Member Firm and Associated Person Claimant C. Dean Wolfe, hereinafter referred to as "Claimant": N. Henry Simpson, m, Esq. of the firm of Simpson, Woolley & McConachie, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Hobbs, Claimant v. Lehman Brothers Inc., Karen J. Coviello, Richard S. Fuld, Jr., Elizabeth Liu, David Smythe, and Carlos Velasquez, Respondents Case Number: 04-00012 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member, Associated Persons, and Non-Associated Persons REPRESENTATION OF PARTIES For Claimant: R. Jeffery Ward, Esq. Bosco

Award NASD Dispute Resolution In the Matter of the Arbitrations Between: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc., Claimant v. Kimela K. Seay, Respondent Kimela K. Seay, Counter-Claimant v. Citigroup Global Markets Inc. ffkJa Salomon Smith Barney, Inc., Counter-Respondent Case Number: 04-00009 Hearing Site: Los Angeles, California Nature of the Disputes: Member v. Associated Person Associated Person v. Member REPRESENTA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00004 Luisa Lozano and Pierre Antoine Berniard, Claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants Luisa Lozano & Pierre Antoine Berniard, ("Claimants"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("Res