Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ehrenkrantz King Nussbaum, Inc., (Claimant) v. Jason Konior (Respondent) Case Number: 05-00484 Hearing Site: New York City, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Ehrenkrantz King Nussbaum, Inc., ("Claimant"): Robert M. Bursky, Esq., Law Office of Robert Bursky, Garden City, NY. Respondent Jason Konior ("Respondent"): Lawr

I' Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: IMS Securities, Inc. (Claimant) v. Stephanie Hrycyk, d/b/a Hrycyk Financial Services (Respondent). Case Number: 01-00459 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, IMS Securities, Inc. ("IMS") was represented by Gregory J. Casas of Locke Liddell & Sapp LLP, Houston, Texas. Respondent, Stephanie A. Hrycyk ("Ms. Hrycyk") was represented by Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citadel Derivatives Group, LLC (Claimant) vs. AGS Specialist Partners (Respondent) Case Number: 05-00478 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member REPRESENTATION OF PARTIES Claimant Citadel Derivatives Group, LLC hereinafter referred to as ("Claimant"): F. Joseph Warm, Esq., and Andrew S. Tulumello, Esq., Gibson, Dunn & Crutcher, LLP Washington, D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Jeffrey DuBowy Martin Rebhun Names nf the Respondents Three Rivers Trading, LLC Glenn S. Lorantas Case T- 05-00473 Hearing SitR: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons vs. Non-Member with a Contract to Arbitrate and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Jeffrey DuBowy ("DuBowy") and Martin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00458 Dominic and Alfonsina Milano i Names of the Respondents Hearing Site: Tampa, Florida Earl Morton Slosberg FFP! Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dominic and Alfonsina Milano, hereinafter collectively referred to as "Claimants": Richard R. Logsdo

NASD DISPUTE RESOLUTION AWAJRD NASD DISPUTE RESOLUTION CASE: 05-00454 Maxium Group LLC, (Claimant) vs. Ernest J. Silano, (Respondent) A T T G R K E Y S : ~ ~ ~ For Claimant appeared in-house counsel, James B. SiegeL Esq., New York, NY, For Respondent appeared Michael Utilla, Esq., of the firm The Law Office of Utilla and Associates, Brooklyn, NY. NATURE OF DISPUTE; Member v. Associated Person """""'~" ~

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00451 Raleigh Truitt, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Westfield, NJ. For Respondent appeared in-house counsel Alan S. Rafterman, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 17, 2005 CASE SUMMARY: Claimant alleged that Respondent charged fees for trades in an account that h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice Kelly, Pearl Daniels and Phyllis Crank ("Claimants") v. Gilbert C. Varnes, Jr., USAllianz Securities, Inc., i/k/a LifeUSA Securities, Inc. ("Respondents") Case Number: 05-00449 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Alice Kelly ("Kelly"), Pearl Daniels ("Daniels"), and Phyllis Crank

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynda Woods Cleary (Claimant) v. USAllianz Securities, Inc. (Respondent) Case Number: 05-00447 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Lynda Woods Cleary ("Cleary") hereinafter referred to as "Claimant" appeared pro se. Respondent USAllianz Securities, Inc. ("USAllianz") hereinafter referred to as "Respo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James R. "Jim" Merrick and Marieda Joyce Merrick and Case Number: 05-00443 Hearing Site: Houston, Texas Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member REPRESENTATION OF PARTIES James R. "Jim" Merrick and Marieda Joyce Merrick ("Claimants") were represented by Rosalind. M. Robertson, Esq., and Sean M. Keane, Esq., Simmons Cooper