Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Herbert S. Kassner, Trustee Name of the Respondent Citigroup Global Markets, Inc. Case Number: 04-04094 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Herbert S. Kassner, Trustee, hereinafter referred to as "Claimant", appeared pro-se. For Citigroup Global Markets, Inc., hereinafter referre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04092 Danforth E. Holley, Claimant v. UBS Financial Services, Inc., Respondent ATTORNEYS: Claimant Danforth E. Holley ("Claimant") appeared pro se, Detroit, ML For Respondent UBS Financial Services, Inc. ("Respondent") appeared Joel E. Davidson, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. NATURE OF DISPUTE: Associated Person vs. Member. DATE FILED: June 10, 2004. CASE S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Linton H. Erdmann IRA Lin Erdmann Linton Industries Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney., Inc. Jack B. Grubman Case Number: 04-04088 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linton H. Erdmann IRA, Lin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04087 Elmer E. and Barbara J. Hehl JTWROS Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., fk/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elmer E. and Barbara J. Hehl JTWROS, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-04086 Melvin and Mattie Cook JTWROS Names of the Respondents Hearing Site: Orlando, 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 Melvin and Mattie Cook JTWROS, hereinafter collectively referred to a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Comet Enterprises, LLC v. 04-04080 Denver, Colorado Respondents / Counter-Claimants Merrill Lynch, Pierce Fenner & Smith, Inc., and James D. Pell and Third-Party Claimants Merrill Lynch, Pierce Fenner & Smith, Inc., and James D. Pell v. Third-Party Respondents Watch Hill Capital Management, LLC, Golden Heritage, LLC,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Houman as Trustee for the South Western Management Services, Inc., Pension Plan, Inc., Claimant v. Lawrence Joseph Pagano, Mary Pagano, John T. Abrahamson, Romaic T. Mongillo, and The Beacon Companies, Inc., Respondents Case Number: 00-00581 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Bruce Houman, Trustee, South Western Managemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Rice, Claimant v. Cohig & Associates, Inc. a/k/a EBI Securities Corporation and Lawrence Jack Vink, Respondents Case Number: 00-00070 REPRESENTATION OF PARTIES For Claimant: Jeffrey S. Salisbury, Esq. Law Offices of Jeffrey S. Salisbury Eugene, Oregon For Respondents Cohig & Associates, Inc. a/k/a EBI Securities Corporation and Lawrence Jack Vink: Russell K. Be

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Benjamin T. Weinberg v. 04-04077 Denver, Colorado Respondent Lincoln Financial Advisors Corporation Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Benjamin T. Weinberg ("Claimant") was represented by Jeffrey J. Scott, Esq., of Scott & Associates, Denver, Colorado. Lincoln Financial Advisors Corporation ("Respondent") was represen

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: H&R Block Financial Advisors, Inc. vs. Charles Thomas Campbell, III Case Number: 04-4076 SITUS: Washington, D.C. NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant, H&R Block Financial Advisors, Inc. ("H&R Block"), hereinafter referred to as "Claimant", was represented by Kathleen A. Dedenbach, Esq., H&R Block, Detroit, Michigan. Respondent, C