STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald Barrens and Carmen Barrons and Names of Respondents Leonard & Company, Lawrence Edward Bullock and John Michael Fluetsch Case Number: 03-04932 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Ronald Barrons and Carmen Barrons ("Claimants") were represented b

I I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Aufderhar (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Jonathan D. Eskridge (Respondents) Case Number: 03-04928 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joan Aufderhar ("Aufderhar") hereinafter referred to as "Claimant": George L. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04924 Frank Leatherwood i Names of the Respondents Hearing Site: Memphis, TN A.G. Edwards & Sons, Inc. KelleySims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frank Leatherwood, hereinafter referred to as "Claimant": Saul C. Belz, Esq. and Jeremy G. Alpert, Esq., Glankler Brown, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Cohen, Individually, and the Harry Cohen Trust, Harry Cohen and Cynthia Alba, Co-Trustees (Claimants) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc. and John T. Day (Respondents) Case Number: 03-04923 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harry Cohen, Ind

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Jeffries (Claimant) v. John Hancock Financial Services, Inc., Signator Financial Services, Inc., Signator Insurance Agency, Inc., Signator Investors, Inc., John Hancock Life Insurance Company, John Hancock Variable Life Insurance Company, Hancock Partners Insurance Agency, Hancock Partners Insurance General Partnership, LLP, Jeremiah R. Healey, Jr., Grant David Ward, and Robert

Award NASDDispute Resolution In the Matter of the Arbitration Between: Name nftVie Claimant P.n^ftNnmhpr- 01-01514 Kenneth T. Show 15 Sits- Pittsburgh, Pennsylvania Joseph M. Morgan and First Union Securities, Inc. RPPRF.SFNTATrOM OF PARTIES Claimant Kenneth T. Show, hereinafter referred to as "Claimant", was represented by William T. Jorden, Law Offices of Jorden and White, Meadville, Pennsylvania. Respondents Joseph M. Morgan ("Morgan") an

K Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Larry C. Grossman Names of Respondents Dunwoody Brokerage Services, Inc. Robert Lee Hopkins Case No. 00-00736 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Larry C. Grossman ("Grossman"), hereinafter referred to as "Claimant": Brenda M. Combs, Esq. of Williams Schifmo Mangione & Steady, P.A., Tampa, Florida. For

NASD DIS£UTJ£ RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04918 Nathan and Jane Feinstein, Claimants vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimants, Nathan and Jane Feinstein, (collectively"Claimants"), appeared pro se, Las Vegas, NV. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. ("Respondent"), appeared through its in-house counsel, Ann Parry, Esq., New York, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04913 Dolores Sancetta, individually and on behalf of various trusts Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dolores Sancetta, individually and on behalf of various trusts, hereinafter referred to as "Claimant": Scott J

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant ,^________ ________ Jake DeGroote v. 03-04905 Minneapolis, Minnesota Respondents A.G. Edwards & Sons, Inc. and Paul Lovegren Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jake DeGroote ("Claimant") was represented by Martin Peterson, Esq., of Klinkenborg, Hansmann & Petersen, Parkersburg, Iowa. A.G. Edwar