Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Raice (Claimant) v. Fidelity Brokerage Services, LLC (Respondent) Case Number: 04-06342 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Edward Raice hereinafter referred to as "Claimant": Marc O. Sheridan, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent Fidelity Brokerage Services, LLC hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret A. McGlaun successor Trustee of The McGlaun Family Trust, Claimant v. UBS Financial Services Inc., Geraldine Elaine Beaudin, and James Paul Vansteenhuyse, Respondents Case Numbcr:04-06339 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents UBS Financial Servic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter C. Neumann, Peter C. Neumann as Trustee for the Peter Chase Neumann Professional Corporation, Peter C. Neumann as Trustee for the Peter Chase Neumann Professional Corporation Profit Sharing Plan, and Renate M. Neumann, Claimants v. UBS Securities LLC (f/k/a UBS Warburg LLC) and UBS Financial Services Inc., Respondents Case Number: 04-06338 Hearing Site: Reno, Nevada Nature of

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Citigroup Global Markets, Inc. vs. David Bradley Brooks Case Number: 04-06334 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant", was represented by William O. L. Hutchinson, Esq., Kennedy Covington Lobdell & Hickman, LLP, Charlotte, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration BetWeeh Names of Claimants Johnny J. Torrez and Sylvia A. Torrez and Names of Respondent Brookstreet Securities Corporation Case Number: 04-06327 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Johnny J. Torrez and Sylvia A. Torrez ("Claimants") were represented by Steven D. Urban, Esq. and David E. Dunham, Esq., Taylo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06320 Malcolm B. Friedman IRA, Claimant v. Fidelity Investments, Fidelity Management Trust Co., and Fidelity Brokerage Services, Respondents ATTORNEYS: ~ Claimant appeared pro se, Hamden, CT. For Respondents Fidelity Investments, Fidelity Management Trust Co., and Fidelity Brokerage Services (collectively "Respondents") appeared Melissa Hegger Shea, Esq., in-house counsel, Fidelity Broke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06309 Carole S. Rice Names of the Respondents Hearing Site: New Orleans, Louisiana Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carole S. Rice, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philad

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06295 James R. Rush ^Tame of the Respondent ffearing Site: Dallas, Texas Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant James R. Rush, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., located in Philadelphia

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00289 First Allied Securities, Inc., claimant vs. Barry Bruner, respondent. ATTORNEYS: For Claimant appeared Marion J. Vomhof, Esq., in-house counsel, San Diego, CA. Respondent appeared Pro Se, Denver, CO. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a Forgivable Loan. Claim Data Claim: $9,253.45 Interest: pre- and post judgemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant RBC Dain Rauscher, Inc. Name of the Respondent Scott William Stubbe Case Number: 04-06289 Hearing Site: Milwaukee, Wisconsin Nature of the Dispute: Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc. ("RBC"), hereinafter referred to as "Claimant": Jonathan M. Harris, Esq. and Sandra S. Smalley, Esq. of th