Award NASD Dispute Resolution In the Matter of the Arbitration Between: i i f>gft Niimhftf • 01-00200 First Union Securities, Inc. r?f t^p F£spQnd p Ttf.^ RpaT-jpg Site- Philadelphia, PA John M. Mulvihill R. John Giannone ° Claimant, First Union Securities, Inc. ("First Union"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, John M. Mulvihili ("Mulvihill"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Greg G. Grimes (Claimant) v. Morgan Stanley DW, Inc. and Barbara R. Kaplan (Respondents) Case Number: 04-04804 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Greg G. Grimes hereinafter referred to as "Claimant": Stephen H. Weiner, Esq., Law Office of Stephen H. Weiner, New York, NY. Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04797 Katharine B. Thibideau, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Edward Burkhart, Respondents ATTORNEYS: For Claimant {Catherine B. Thibideau ("Claimant") appeared David N. Cole, Esq., Hanover, NH. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and James Edward Burkhart (collectively "Respondents") appeared Emillia M. DeMeo, Esq., in-house counsel,

05/09/200G 08:44 FAX NASD ©002/013 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Vinay and Nehaben Patel, Claimants Case Number: 04-04793 v. Hearing Site: Indianapolis, Indiana Max International Broker-Dealer Corporation, Sandeep Bardia, Eton Chan, Nigel Allister Gilbert and David Scott Isolano, Respondents. Customer vs. Member Firm and Associated Persons RE&RESENTATION OF PARJIES Vinay and Nehaben Pa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gerald W. Spranger Name of the Respondents SII Investments, Inc., and Mick J. McDermott Case Number: 04-04791 Hearing Site: Milwaukee, Wisconsin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Gerald W. Spranger, ("Spranger"), or, ("Claimant"), was represented by Gregory Pitts, Esq., of Sc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis F. Hook, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-04790 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: John F. Kunath, Jr., Esq. Attorney at Law Irvine, California For Respondent: Jeffrey W. Coverdell, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE IN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Richard E. Stevens and Betty J. Stevens, Individually and on behalf of The Richard and Betty Stevens Living Trust v. 04-04787 Denver, Colorado Respondents John Vincent Genna, Jr., Nicholas Varano and James Michael Palladino and Counter-Claimant Nicholas Varano v. Counter-Respondents Richard E. Stevens and Betty J. Stevens, Individuall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04781 Mark B. Goodman Sara H. Goodman Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mark B. Goodman and Sara H. Goodman, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patricia Veach, IRA Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-04779 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia Veach, IRA, hereinafter referred as "Claimant": Douglas H. Gl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Burton Schwartz Trust Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubinan Case Number: 04-04774 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Burton Schwartz Trust, hereinafter referred to as "Claimant": Do