Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victoria Moran (Claimant) v. Citibank, N.A. (Respondent) Case Number: 04-03908 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Victoria Moran ("Moran") hereinafter referred to as "Claimant" appeared pro se. Respondent Citibank, N.A. ("Citibank") hereinafter referred to as "Respondent": Nancy L. Sommer,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03907 John L. Schoderbek, Claimant vs. Wachovia Securities, LLC, and Erin L. Cockman, Respondents ATTORNEYS: Claimant John L. Schoderbek ("Claimant") appeared through Joanne S. Rogol, Power of Attorney, Charlottesville, VA. For Respondents Wachovia Securities, LLC and Erin 1. Cockinan (collectively "Respondents") appeared Andrew W. Davitt, Esq., of the firm Marshall, Dennehy Warner, Cole

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathleen Holmes and 04-03904 Phoenix, Arizona Name of Respondent Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Kathleen Holmes ("Claimant") was represented by Jeffrey B. Musslewhite, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce Fenner & Smith ("Respondent") was represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03894 Andrew Prizzi and Lisa Prizzi Name of the Respondent Hearing Site: Tampa, Florida Suntrust Nature Coast, a subsidiary of Suntrust Bank, a Georgia Corporation Nature of the Dispute: Customer vs. Non-Member. i REPRESENTATION OF PARTIES For Andrew Prizzi ("A. Prizzi") and Lisa Prizzi ("L. Prizzi"), hereinafter collectively referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary DiRollo (Claimant) v. Prudential Financial, Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Wachovia Securities, LLC, and Eric E. Lawton, III (Respondents) Case Number: 04-03889 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Mary DiRollo ("DiRollo") hereinafter referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03888 Reva Sue Mosier, Claimant v. Morgan Stanley DW, Inc., Respondent ATTORNEYS: " ~ For Claimant Reva Sue Mosier ("Claimant") appeared William S. Bonnheim, Esq., of the firm William S. Bonnheim, PLC, Palm Desert, CA. For Respondent Morgan Stanley DW, Inc. ("Respondent") appeared Mukya A. Porter, Esq., in- house counsel, previously Thomas V. Christopher, Esq., in-house counsel, Morgan Stanl

CASE: 04-03882 Luana D. Strickland, Claimant v, Citigroup Global Markets, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant D. Strickland ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Respondents") appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, P.A., New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03881 Susan Marie Adams IRA 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 Susan Marie Adams IRA, hereinafter referred to as "Claimant": Douglas H. Glic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03879 Howard S. Tuttman and Marilyn Tuttman JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets* Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Howard S. Tuttman and Marilyn Tuttman JTWROS, hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lillian Horowitz Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. JackB. Grubman Case Number: 04-03878 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lillian Horowitz, hereinafter referred to as "Claimant": Douglas H. Glic