Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jack Giannola DBS PC Employee Pension FD U/A 07/01/76 (Claimant) v. Morgan Stanley DW, Inc. (Respondent) Case Number: 03-04665 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Dr. Jack Giannola DDS PC Employee Pension FD U/A 07/01/76 hereinafter referred to as "Claimant": Howard B. Sirota, Esq., Sirota & Sirota,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: JK Entertainment, Inc. and Joel Krantz, (Claimants) vs. First Liberty Investment Group, Inc. and Andrew Scott Rosenbaum, (Respondents) Case Number: 01-01486 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, JK Entertainment, Inc. ("JKE") and Joel Krantz ("Krantz"), hereinafter collectively referred to as "Claimants": Larry Krantz, Esq., Krantz & Herman LLP, New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irwin E. Cohen, Irwin E. Cohen IRA, Sanford Cohen, and C. B. Consulting Services, Inc. (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-04661 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Irwin E. Cohen ("I. Cohen"), Irwin E. Cohen IRA ("I. Cohen IRA"), Sanford Cohen ("S. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Gualtier (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Richard F. Sofka (Respondents) Case Number: 03-04658 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Margaret Gualtier ("Gualtier") hereinafter referred to as "Claimant": James J. Gutbrod, Esq., Akron, OH. P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell Rudolph and Rosemarie Rudolph, JTWRQS, Russell Rudolph IRA, and Rosemarie Rudolph (Claimants) v. Citigroup Global Markets, Inc. f?k/a Salomon Smith Barney, Inc. and Glenn LeBoeuf (Respondents) Case Number: 03-04654 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Russell Rudolph and Ros

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Juan Esteve Uribe and Isabel Gamez Velasquez de Esteve (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Federico Luis Pier (Respondents) Case Number: 03-04653 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Juan Esteve Uribe ("Uribe") and Isabel Gamez Velasquez de

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants Case Number! 03-04652 John and Wanda dePiccoleliis Names nf the Respondents Hearing Site: Pittsburgh, PA Russell S. Sherred, HI and Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Associated Person and Member RF.PRF.SF.NTATTON OF PAKTTF.S Claimants, John and Wanda dePiccolellis, hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04644 Michael Myers, M.D., as Trustee of the Michael Myers, M.D., P.A. Profit Sharing Trust and Myers Family Limited Partnership Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Keith Dunn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc., Claimant v. Kenneth A. Diamond, Respondent Case Number: 03-04641 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Laura Martin, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: In Propria Persona CASE INFORMATION Statement of Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p of the Plqjrnarfts Pflgfr NlUT^"" 03-04636 Charles and Carol Ann Thompson A.G. Edwards & Sons, Inc. and Jeffrey B. Coffinan Hearing Sjfp 1 Dallas, Texas VATTTRF OF TTF Public Customers v. Member Firm and Associated Person Claimants Charles and Carol Ann Thompson, hereinafter collectively referred to as "Claimants": H. Dale Langley, Jr., Esq., of The Law Fir