Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04902 Jim Liberty Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc., Charles Lawrence Sheridan and James Clyde Hansberger Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jim Liberty, hereinafter referr

Corrected Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dr. Joseph Taubman Case Number: 03-04901 Names of the Respondents APB Financial Group a/k/a Abernathy Technology Research Institute Steven Abernathy Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Joseph Taubman, hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Vladimir Naroditsky, Respondent Case Number: 03-04896 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brent A. Burns, Esq. Davidson, Manchel & Brennan, TIP Northvale, New Jersey For Respondent: Nancy L. Fineman, Esq. Law Office of Cotchett, Pitre,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sadru Patel and Case Number: 03-04895 Hearing Site: Chicago, Illinois Names of Respondents McDonald Investments, inc. and Larry R. Bishop NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Sadru Patel ("Claimant") was represented by Stephen S. Berkeley, Esq., Shaheen, Novoselsky, Staat & Filipo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Cherie Mondragon v. 03-04894 Denver, Colorado Respondents Stanford Group Company and George Lares Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Cherie Mondragon ("Claimant") was represented by Linda M. Deola, Esq., of Reynolds Motl & Sherwood, PLLP, Helena Montana. Stanford Group Company ("Stanford Group") and Georg

* f f Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant P.asft Number 03-04891 Louis Basso Names of the Respondents Hearing Site: Pittsburgh, PA Parker/Hunter Incorporated Ronald V. Miller Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFNTATTON OF PARTTFS Claimant, Louis Basso, hereinafter referred to as "Claimant", was initially represented by Warren J. Archer, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Austin G. Habib (Claimant) v. Morgan Stanley DW, Inc., Geoffrey Mann, and A. Michael Nemeth (Respondents) Case Number: 03-04888 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Austin G. Habib ("Habib") hereinafter referred to as "Claimant": James A. Prestiano, Esq. And Billy Vassos, Esq., The La

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 01-01512 Ed D. Davis and Elizabeth M. Davis, claimants vs. Joseph J. Piscopo, respondent. ATTORNEYS: Claimants appeared pro se, Austin. TX. Respondent did not respond to the Statement of Claim. DATE FILED: March 27, 2001 CASE SUMMARY: Claimants alleged that respondent purchased 10,000 shares of WTS Netcruise.com without their approval. Claimants maintained that due to respondent's act

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:03-04882 Seymour A. Zitovsky and Lila R. Zitovsky, JTWROS, Claimants v. Citigroup Global Markets, Inc. f/k/a Slomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: ~~ For Claimants, Seymour A. Zitovsky and Lila R. Zitovsky ("Claimants") appeared James R. Hooper, Esq. of Hooper & Weiss, L.L.C., Orlando, Florida. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill A. Tanner, Trustee FBO Merrill A. Tanner Revocable Trust Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 03-04880 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Merrill A, Tanner, Tru