AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Anita Rockwell v. 04-05463 Minneapolis, Minnesota Respondents Securities America, Inc., SII Investments and Edward Pappas Nature of Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Anita Rockwell ("Claimant") was represented by Aaron R. Hartman, Esq., of Anthony Ostlund & Baer, P.A., Minneapolis, Minnesota. Securities Ameri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gastroenterology Associates, P.C., Pension Plan (Claimant) v. Prime Capital Services, Inc. and Gabriel Kramer (Respndents) Case Number: 04-05454 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Gastroenterology Associates, P.C., Pension Plan hereinafter referred to as "Claimant": William D. Frumki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David M. Goldblatt (Claimant) vs. Seaboard Securities, Inc. (Respondent) Case Number: 04-05453 = Hearing Site: New York, New York. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David M. Goldblatt hereinafter referred to as "Claimant": Benjamin Geizhals, Esq., Davidoff Malito & Hutcher LLP, Garden City, NY. Respondent Seaboard Securities,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05448 Robert S. Pearson, TTEE and Robert S. Pearson, Individually, Claimant v. Citigroup Global Markets, Inc. f/k/a. Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Robert S. Pearson, TTEE and Robert S. Pearson, Individually, ("Claimant"), appeared Richard L. Lantinberg, Esq. of the firm Cooper, Ridge & Lantinberg, Jacksonville, FL. For Respondents, Cit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: gfi Mnrnhpr- 01-00239 Gladys L. Drew and Nancy Amey Sanderson fTp.arjnp Site.- St. Louis, Missouri Fahnestock & Co., Inc. OP PAT?TTy.S Claimant Gladys L. Drew ("Drew") and Nancy Amey Sanderson ("Sanderson") (together referred to as "Claimants") were represented by Donald J. Mehan, Esq., of the firm of Moline, Shostak & Mehan, LLC. Respondent Fahnestock & Co., Inc. ("Fahn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lana C. Geiger (Claimant) v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Douglas Bean (Respondents) Case Number: 04-05446 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Lana C. Geiger ("Geiger"), hereinafter referred to as "Claimant": J. William Batten, Esq., Jabar, Batte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diann Haynes Custodian For Michael Joseph Haynes, Daniel James Haynes, and Megan Patricia Haynes (Claimants) v. Quick & Reilly, Inc. (Respondent) Case Number: 04-05445 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Diann Haynes Custodian For Michael Joseph Haynes ("Custodian for Michael Haynes"), Daniel James Hayn

;\ 05/05/06 FRI 14:37 FAX NASD REGULATION AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harry D. Wampler, Jr. and Case Number 04-05439 Hearing Site: Louisville, Kentucky Names of Respondents UBS Financial Services, Inc. f/k/a PaineWebber Inc., Oppenheimer & Co., Inc. f/k/a Fahnestock & Co.. Inc.. Sands Brothers & Co., Ltd., James Yong Song, and Johnson Vinh Ngo OF Customer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05429 James Patrick Hannley, Claimant v. Stephen A. Kohn & Associates, Ltd., Respondent ATTORNEYS: Claimant James Patrick Hannley ("Claimant") appeared pro se, Tucson, AZ. For Respondent Stephen A. Kohn & Associates, Ltd., ("Respondent") appeared Stephen A. Kohn, President, Stephen A. Kohn & Associates, Ltd., Lakewood, CO. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: July

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant ( . Case Number: 04-05427 Simon Edwards Name nf the Respondent Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant, Simon Edwards, hereinafter referred to as "Claimant", was represented by Dena B. Calo, Esq., Gall