Award NASD Dispute Resolution In the Matter of the Arbitration Between: * WumViRr- 04-04332 Donald R. Johnston ^ flf thf F^ s p nnf ^nt Hearing Sit fil Dallas, Texas InterSecurities, Inc. and Gregory James Hildebrand OT F. Public Customer v. Member Firm and Associated Person OF Claimant Donald R. Johnston, hereinafter referred to as "Claimant": Richard H. Elliot, Esq. of the Law Offices of Richard H. Elliot, locat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin Patrick Gerard and Case Number: 04-04330 Hearing Site: Milwaukee, Wisconsin Name of Respondents Carl M. Hennig, Inc., Thomas Alan Harenburg, Mark Allen Stoffel, Jack W. Schloesser, Tom Nigil, and William R. Holtz NATURE OF DISPUTE Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Kevin Patrick Gerard, ("Gera

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04316 Gail Osburn TTEE for Gail Osburn Trust 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 Gail Osburn TTEE for Gail Osburn Trust, hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04305 Angelo DePergola and Debra A. DePergola, JT TEN, Claimants v. Ameritrade, Inc., Respondent ATTORNEYS: Claimants Angelo DePergola and Debra A. DePergola, JT TEN (collectively "Claimants") appeared pro se, through Angelo DePergola, Palm Harbor, FL. For Respondent Ameritrade, Inc. ("Respondent") appeared James J. Vihstadt, Esq., in-house counsel, Ameritrade, Inc., Omaha, ME. NATURE OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Claimants Abigail S. Anderson and Alexandra Anderson Name of the Respondents Advest, Inc. Advest Bank & Trust Company rase Nnmher 04-04301 ng Site! Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Non-Member. RFPRF,SF.NTATTON OF PARTTFS Claimants, Abigail S. Anderson and Alexandra Anderson, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David M. Rosen (Claimant) v. Bear Stearns & Co., Inc., and Paul S. Greenberg (Respondents) Hearing Site: New York, New York Case Number: 01-00167 REPRESENTATION OF PARTIES Claimant David M. Rosen, hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondents, Bear Stearns & Co., Inc., ("Bear Stearns") and Paul S. Greenberg ("G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carolyn Kenton, Claimant v. Stephen A. "Steve" Johnston and Salomon Smith Barney Inc n/k/a Citigroup Global Markets Inc., Respondents Case Number: 04-04291 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04288 J. Robert Herring, Claimant v. Oxford Financial Group, Respondent ATTORNEYS: Claimant, J. Robert Herring, ("Claimant"), appeared pro se, Pasadena, TX. Respondent, Oxford Financial Group, ("Respondent"), appeared through its in-house counsel, Thomas John Cloud, Jr., Houston, TX. NATURE OF DISPUTE: Customer vs. Terminated Member. DATE FILED: June 29, 2004. CASE SUMMARY: Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04284 Elisabeth C. Fisher IRA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Elisabeth C. Fisher IRA, ("Claimant"), appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV & Associates, Gulfport, MS. For Respondents, Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jack B.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04283 Brookman & Brookman PC Pension Plan, Claimant v. Pershing LLC/Division of DLJ Securities Corp., and Vanguard Brokerage Services, Respondents ATTORNEYS: Claimant Brookman & Brookman PC Pension Plan ("Claimant") appeared pro se through Michael D. Brookman, New York, NY. For Respondent Pershing LLC/Division of DLJ Securities Corp. appeared Jesse Lawrence, Esq., in-house counsel, Persh