Award NASD Dispute Resolution In the Matter of the Arbitration Between: BE: 04-04203 Eva E. Pedrazzini TTEE FBO Eva E, Pedrazzini Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB.Grubman Heari I tig-Site: TampHj Florida Nature of the Dispute: Customer vs. Member and Associated Person. For Eva E. Pedrazzini TTEE FBO Eva E. Pedrazzini, hereinafter referred to as "Claimant": Douglas H. Glicken, Esq., Orlando, Florida a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sue Ellen Young Knolle and Names of Respondents Lucien, Stirling & Grey Financial Corp., and Robert Stirling Phipps Case Number: 04-04195 Hearing Site: Houston, Texas NATURE QF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Sue Ellen Young Knolle ("Claimant") was represented by Robert E. Lapin, Esq., Lapin &

06/18/2005 14:34 FAX NASD REGULATION ilOOl Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerry L. DeMuesy (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gregory W. Hartrum (Respondents). Case Number: 04-04174 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gerry L. DeMuesy hereinafter referred to as "Claimant"; Peter F. von Mei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION .CASE: 04-04172 Susan E. Michalsen IRRA, Claimant v. Merrill Lynch, Pierce, Former & Smith, Inc., Angela Rose Zollner, Jeffry Diacono, and Rhonda K. Wolfe, Respondents ATTORNEYS: " " " ~ " Claimant Susan E. Michalsen IRRA ("Claimant") appeared pro se, Asheville, NC. For Respondents Merrill Lynch, Pierce, Fanner & Smith, Inc., Angela Rose Zollner, Jeffry Diacono, and Rhonda K, Wolfe (collectively "Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04171 Virinderpal Singh and Suchet Kandhari, Claimants v. GunnAllen Financial, Inc., Steven A. Busto, and Vincent J. Fuca, Respondents ATTORNEYS: Claimants Virinderpal Singh and Suchet Kandhari (collectively "Claimants") appeared pro se, Fairfield, NJ. For Respondents GunnAllen Financial, Inc., Steven A. Busto, and Vincent J. Fuca (collectively "Respondents" appeared Jay Marc Israel, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Norma Schonwetter and Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Carole E. Kaufman Case Number: 04-04168 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Norma Schonwetter ("Claimant") was represented by Joel H. Kaufman, Esq., Law Offices o

Award NA§D E)ispute Resolution, Inc. In the Matter of the Arbitration Between: Ravi Myneni, (Claimant) vs. CAL FP (US) Inc., (Respondent) Case Number: 01-00160 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ravi Myneni, hereinafter referred to as "Claimant", appeared pro se. Respondent, CAL FP (US) Inc., hereinafter referred to as "Respondent": Mary P. Watson, Esq., Cleary, Gottlieb, Steen & Hamilton, New York, NY. CASE INFORMA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04166 Delores F. Heilman IRA, Claimant v. Intersecurities, Inc. and Brian P. Connor, Respondents ATTORNEYS: Claimant Delores F. Heilman IRA ("Claimant") appeared pro se, Englewood, FL. For Respondents Intersecurities, Inc. and Brian P. Connor (collectively "Respondents") appeared Adrianne L. Hoehner, in-house counsel, Intersecurities, Inc., Clearwater, FL. NATURE OF DISPUTE: Customer v. Memb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Anderson, Claimant v. Arne R. Domas and A.G. Edwards & Sons, Inc., Respondents Case Number: 04-04160 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Michael Zeno, Jr., Esq. Zeno, Drake and Hively, P.S. Kirkland, Washington For Respondents: Matthew Salamon, Esq. A.G. Edw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04158 David G. and Patricia M. Guild JTWROS Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David G. and Patricia M. Guild JTWROS, hereinafter collective