Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thfi flaimant CVf^imbfT' 04-02893 Audrey Stein Goldings Name of th p P ps p n n f lfnt^ M^aH^g Sit p ' Dallas, Texas Prudential Equity Group, LLC; and, Francisco Gonzalez- Soldevilla TTTF Public Customer v. Member Firm and Associated Person OF Audrey Stein Goldings ("Claimant") was represented by Thomas S. Reavely, Esq. and Nich

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley DW, Inc., f/k/a/ Dean Witter Reynolds, Inc., Claimant v. Sheriff A. Demetri, Respondent. Case Number: 01-00044 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Catherine Dellecker, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald 601 South Figueroa Street 27 th Floor Los Angeles, CA 90017. For Respondent; Sheriff

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02891 Erik Stephen Zenger, Claimant vs. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Respondent. ATTORNEYS: For Claimant, Erik Stephen Zenger, ("Claimant") appeared Jan Graham, Esq., Salt Lake City, UT Respondent, Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. ('Respondent") appeared through its in house counsel, Ann Parry, Esq., New York, NY. NATURE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian J. Allena (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., John S. O'Donnell and Mark Hyde (Respondents) Case Number: 04-02884 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ian J. Allena ("Allena") hereinafter referred to as "Claimant": Richard M. Mortner, Es

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02883 Samuel Obiomon, Claimant v. American Express Financial Advisors, Inc., Respondent ATTORNEYS: Claimant Samuel Obiomon ("Claimant") appeared pro se, Friendswood, TX. For Respondent American Express Financial Advisors, Inc. ("Respondent") appeared David Flower, Esq., in-house counsel, American Express Financial Advisors, Inc., Minneapolis, MN. NATURE OF DISPUTE: Associated Person vs. Memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02882 Christian C. Cornwell, Claimant v. Sean Robert Waltz, Respondent ATTORNEYS: Claimant Christian C. Cornwell ("Claimant") appeared pro se, Scottsdale, AZ. Respondent Sean Robert Waltz ("Respondent") did not make an appearance in this matter. NATURE OF DISPUTE: Customer vs. Associated Person. DATE FILED: April 20, 2004. CASE SUMMARY: Claimant alleged that Respondent placed him in inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roni Cohen, Claimant v. Redwood Trading, LLC, Cody Starrett, Richard Kenny, and John Stookey, Respondents Case Number: 04-02875 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Neil J. Beller, Esq. Las Vegas, Nevada For Respondents: Brian Dennen, CCO Redwood Trading, LLC San Franc

Award COPY NASD Dispute Resolution ^^ ^^ • B In the Matter of the Arbitration Between: Calanthia A. Barrociere, Claimant v. Morgan Stanley & Co., Inc. and Morgan Stanley DW Inc., Respondents Case Number: 04-02873 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California For Respondent Mo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Stifel, Nicholas & Company, Inc. v. 04-02871 Denver, Colorado Respondent William J. Brown Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Stifel, Nicholas & Company, Inc. ("Claimant") was represented by Bradford E. Dempsey, Esq., of Holme Roberts & Owen, LLP. William J. Brown ("Respondent") was represented by Andrew I. Friedman, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Rose Marie Hartshorn v. 04-02869 Denver, Colorado Respondents UBS Financial Services, Inc. and James M. Olson Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Rose Marie Hartshorn ("Claimant") was represented by Jack M. Merritts, Esq., of Bums, Wall, Smith and Mueller, P.C., Denver, Colorado. UBS Financial Services, In