Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, (Claimant) vs. John J. Kurz, (Respondent) Case Number: 01-00126 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, PaineWebber Incorporated, hereinafter referred to as "Claimant": Joel E. Davidson, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, John J. Kurz, hereinafter referred to as "Respondent", pro se, did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paula Lewis, individually and as Executrix on behalf of the Estate of George Lewis (Claimant) vs. Paul L. Forchheimer & Co., Inc., Mark D. Goldsmith and US Clearing a/k/a US Clearing Services (Respondents) Case Number: 04-03 795 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants Paula

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kashner Davidson Securities Corporation (Claimant) v. Steven Mscisz, Mark Mscisz, and Lynda Mscisz (Respondents) v. Victor Kashner, Matthew Meister, and Timothy Varchetto (Third-Party Respondents) Case Number: 04-03793 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customers (Initial Claim). Customers vs. Member (Counterclaim) Customers vs. Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03786 James R. and Elizabeth A. McCarthy JTWROS 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 James R. and Elizabeth A. McCarthy JTWROS, hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03783 Stanley Rogoff 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 Stanley Rogoff, hereinafter referred to as "Claimant": Douglas H. Glicken, P.A., L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nariies of the Claimants Lee Gold and Rita Gold Trustees, The Lee Gold Revocable Living Trust Names of the Respondents UBS PaineWebber, Inc. Susan E. Arnold Case Number: 04-03781 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lee Gold and Rita Gold Trustees, The Lee Gold

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Irving Steinberg and Shirley Steinberg JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Case Number: 04-03778 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Irving Steinberg and Shirley Steinbe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03776 Sally U. Jones, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Sally U. Jones ("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 "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Rose-Marie Coppola Names 'nf the Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. David H. Marx rase Number 04-03766 aring Site- Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTTFS Claimant, Rose-Marie Coppola, hereinafter referred to as "Claimant", was represented by J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03761 John Herron, Executor of the Estate of Vincent Herron, Claimant v. Quick & Reilly, Inc. and Christopher F. Duffy, Respondents ATTORNEYS: Claimant John Herron, Executor of the Estate of Vincent Herron ("Claimant") appeared pro se, Noblesville, IN. For Respondent Quick & Reilly, Inc. appeared Matthew S. Diggins, Esq., in-house counsel, Quick & Reilly, Inc., New York, NY. Responde