Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Giampa (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Veronica McLeod (Respondents) Case Number: 03-05759 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Giampa ("Giampa") hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05755 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Orlando, Florida Brian Jon Van Anne Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Kathleen A. Dedenbach, Assistant General Counsel with Claimant, Detr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert and Mariann Ulam Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Bos Mary Humelsine Case Number: 03-05753 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert and Mariann Ulam, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05752 Diane Matusik Name of the Respondent Hearing Site: Tampa, Florida Northern Trust Securities, Inc. Customer vs. Member. Diane Matusik, hereinafter referred to as "Claimant", appeared pro se. For Northern Trust Securities, Inc., hereinafter referred to as "Respondent": Steven M. Malina, Esq. and Brandon L. Spurlock, Esq., Ungaretti &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05751 Clarence Geyer Patricia Geyer Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Scott Housel Chris Desimio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF P^ For Clarence Geyer and Patricia Geyer, hereinafter collectively r

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Scott A. Hayden and Melody W. Hayden, individually, and on behalf of the Hayden Family Limited Family Partnership and on behalf of the Cheyenne Radiology and MRI P.C. Qualified Pension Profit Plan v. 03-05748 Denver, Colorado Respondents Raymond James Financial Services and Fred L. Dowd Nature of Dispute: Customers v. Member and Associated Per

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charles and Marian Roelent and Case Number: 03-05747 Hearing Site: Detroit, Michigan Names of Respondents McDonald Investments, Inc., Charles W. Rashid, and Ronald P. Rashid NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Charles and Marian Roelent ("Claimants") was represented by Anthony V. Tro

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05744 Tom C. Schock Roth IRA, Claimant v. U.S. Bancorp Piper Jaffray, Inc., Respondent. ATTORNEYS: Claimant, Tom C. Schock Roth IRA, ("Claimant"), appeared pro se, Mahtomedi, MN. Respondent, U.S. Bancorp Piper Jaffray, Inc., ("Respondent"), appeared through their in-house counsel, Mark S. Reed, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 6, 2003 CA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: H&R Block Financial Advisors } Inc., Claimant v. Kevin M. Reed, Respondent Case Number: 03-05742 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: CASE INFORMAT Timothy N. Will, Esq. A ~ &Will,LLP ice, California opria Persona Statement of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01610 Drew Bagdasarian, Claimant vs. Ted Miller and Wells Fargo Securities, Inc. Respondents. ATTORNEYS: Claimant, Drew Bagdasarian, ("Claimant"), appeared Pro Se., San Francisco, CA. For Respondents, Ted Miller and Wells Fargo Securities, Inc. (Collectively "Respondents"), appeared Robert T. Sullwold, Esq., of the firm Sullwold & Hughes, San Francisco, CA. DATE FILED: March 30, 2001