Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimants; P.ase Number 03-0641 S Robert and Darlene Stuart Names; of the Respondents Hearing Site* Pittsburgh, Pennsylvania Tradestation Securities, Inc. Michael A. Klem Bear Stearns Securities., Corp. Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Robert and Darlene Stuart, hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06411 Beverly Bombicino Names of the Respondents Hearing Site: Boca Raton, Florida PMG Securities Corporation Paul Gonzalez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Beverly Bombicino, hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jennie Chicarilla (Claimant) v. Steven L. Falk & Associates, Inc. and Morton Erenstein (Respondents) Case Number: 03-06409 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jennie Chicarilla ("Chicarilla") hereinafter referred to as "Claimant": Richard Gantner, Esq., Nee, Beacham & Gantn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06406 Barbara Rapoport, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Stephen Kittenplan, Respondents. ATTORNEYS: Claimant, Barbara Rapoport, ("Claimant"), appeared pro se, New York, NY. Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Stephen Kittenplan, ("Respondents"), appeared through then* in-house counsel, Ann Parry, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, (Claimant) vs. Tasin & Co., Inc., (Respondent) Case Number: 01-01677 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter, hereinafter referred to as "Claimant": Peter D. Doyle, Esq., Kirkland & Ellis, New York, NY. Respondent, Tasin & Co., Inc., hereinafter referred to as "Respondent", did not make an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06405 GunnAUen Financial, Inc., Claimant v. Damien J. Castine, Respondent. ATTORNEYS: Claimant, GunnAUen Financial, Inc., ("Claimant"), appeared through its in-house counsel Jay Marc Israel, Esq., Hauppauge, NY. Respondent, Damien J. Castine, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 4, 2003 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06401 Melba Jones Name of the Respondent Hearing Site: Little Rock, Arkansas Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Melba Jones, hereinafter referred to as "Claimant": Donald L. Kneipp, Esq., Office of Donald L. Kneipp, Monroe, Louisiana. For Merrill Lynch,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06393 Larry L. and Linda K. Boevers, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Larry L. and Linda K. Boevers (collectively "Claimants") appeared Kathleen P. Toolan, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James A. Mitarotonda, Claimant v. Herbert Coulee and Lorine Coutee, Respondents Case Number: 03-06390 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Stuart A. Jackson, Esq. Re, Parser & Partners New York, New York For Respondents: Robert A. Uhl, Esq. Law Offices of Aidikoff &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Arcuri (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Gary M. Grzybowski, Donald Minor, and Brad Smithy (Respondents) Case Number: 03-06389 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Kathleen Arcuri ("Arcuri") hereinafter referred to as "Claimant" appeared pro se, Roc