AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant H & R Block Financial Advisors, Inc. and 04-02820 Phoenix, Arizona Name of Respondent William M. Deegan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES H & R Block Financial Advisors, Inc. ("Claimant") was represented by Kathleen A. Dedenbach, Esq., H & R Block Financial Advisors, Inc., Detroit, Michigan. William M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Norman and Kim Holmes Case Number: 01-00030 of the Respondents Sands Brothers & Company, Ltd. Robert K. Connors Hearing Site: Washington, DC RFPRFSFNTATTON OF PARTTFS Claimants, Norman and Kim Holmes, hereinafter collectively referred to as "Claimants", were represented by Larry M. Keller, Esq., Sidkoff, Pincus & Green, P.C., Philadel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Larson, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Case Number: 98-04958 Hearing Site: Milwaukee. Wisconsin REPRESgNTATIQN OF PARTIES Claimant, Craig Larson, "Larson", hereinafter referred to as "Claimanf, was represented by James J. Eccleston, Esq., of Eccleston & Associates, P.O., Chicago, Illinois. Respondent, Merrill Lynch, Pierce,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02815 Rose M. Pallitto and John Pallitto, Claimant vs. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc., Respondent ATTORNEYS: For Claimants Rose M. Pallitto and John Pallitto (collectively "Claimants") appeared Renuka Jayasekera, Lincoln Square Legal Services, New York, NY. For Respondent Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. ("Respondent") appeare

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tbe Claimant Hallee P. Morgan Names of the Oppenheimer & Co. Inc. Gerald D. Levine Case Number- 04-02810 Hearing Site: Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. •RKPRRSFNTATTON OF PARTTRS Claimant Hallee P. Morgan, hereinafter referred to as "Claimant", was represented by John P. Connolly, Esq., Law Offices of Jo

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpeg of the Plflimante (^agp Numhftr 04-02808 Robert R. Hof&nan, Jr. Kathleen A. Hof&nan Names off he RpspnnHpntg H 631 * 1 '* 1 P^Site* Pittsburgh Pennsylvania Merrill Lynch, Pierce, Fenner & Smith, Inc. Larry Goehring Nature of the Dispute: Customers vs. Member and Associated Person. RFPPFSFNTATION fVF PARTIES Claimants, Robert R. Hof&

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Robert R. Hoflhian, Jr. Kathleen A. Hoffman Names nf thq ft fispnnripnt^ Merrill Lynch, Pierce, Fenner & Smith, Inc. Larry Goehring f!flgft Number 04-02808 Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATION OFPAttTTFS Claimants, Robert R. Hoffman, Jr. and Kathleen A. Hoffinan, h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02807 Andrew Fleiss, Claimant v. Fidelity Brokerage Services, LLC, Respondent ATTORNEYS: For Claimant Andrew Fleiss ("Claimant") appeared Norman Lawi, Esq., New York, NY. For Respondent Citigroup Fidelity Brokerage Services, LLC ("Respondent") appeared Melissa Hegger Shea, Esq., in-house counsel, Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member. DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Joseph L. Boain, Individually and On Behalf of His IRA Accounts and as Co-Trustee of the Boain Family Trust Name of the Respondent Prudential Equity Group, LLC asp Number: 04-02804 Hearing Site: St Louis, Missouri Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant, Joseph L. Boain, Individually and on Behalf o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter Fink and Case Number: 04-02803 Hearing Site: Milwaukee, Wisconsin Name of Respondents Salomon Smith Barney and William R. Merkley NATURE OF DISPUTE Customer v. Member and Associated Person. Claimant Peter Fink, ("Fink"),or .("Claimant"), was represented by Sean Lanphier Esq., of Mallery & Zimmerman, S.C. located in Milwaukee, Wisconsin.